g ^\ \, UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
| ^5^7 1 Washington, DC 20460
OFFICE OF SOLID
WASTE AND
EMERGENCY
RESPONSE
OSWER9200.3-15-1G-Z
September 3 0,2015
MEMORANDUM
SUBJECT: FY 2016 Superfund Program Implementation Manual (SPIM)
Digitally signed byJennings, Robert
ert,
t@epa.gov
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FROM: Robert Jennings, Director |pnninn<; RnhprtDN:cn=Jenningsl!obert
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Resources Management Division Date:2015.09.2915:2651 -M
Office of Superfund Remediation and Technology Innovation (OSRTI)
TO: Superfund Branch Chiefs (Regions I - X)
Regional Counsel Branch Chiefs (Regions I - X)
PURPOSE
This memorandum announces the release of Office of Solid Waste and Emergency Response (OSWER)
Directive 9200.3-15-1G-Z, the Fiscal Year (FY) 2016 edition of the Super fund Program Implementation
Manual (SPIM).
DOCUMENT
Headquarters and Regional staff have continued to work collaboratively for more than a year to produce
this updated SPIM, which reflects the Superfund program's recent migration from the Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS) to the Superfund
Enterprise Management System (SEMS). Due to the magnitude of the changes dictated by the migration
to SEMS, not all chapters were updated in the previous edition of this document. Those efforts are now
complete, and this FY 2016 SPIM is a comprehensive update to this essential program document.
IMPACT ANALYSIS
The Summary of Changes included in the attached manual describes the nature of updates made to this
edition of the SPIM. The most substantive changes were necessitated by the migration from CERCLIS
to SEMS, which resulted in changes to screen and data element names, reports, and some business
processes. Additional edits were made to this edition of the SPIM in order to eliminate duplicative
content and present a more streamlined guidance document. Impacts to the system and reports as a result
of these SPIM revisions are expected to be minimal, as the updated document is primarily intended to
reflect the new tools and functionality provided by SEMS.
177097
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CONCLUSION
If you have specific program questions, please contact the appropriate Subject Matter Expert (SME)
identified within Appendix B of the SPIM. For general SPIM questions, please contact Jennifer Hovis,
Chief of the Information Management Branch, at 703-603-8888 or hovis.jennifer@epa.gov. The FY
2016 SPIM will be available on the Superfund webpage at
. alongside earlier editions for reference.
Attachment
CC: OSRTI Division Directors and Branch Chiefs
Superfund National Policy Managers (Regions I - X)
Regional Counsels (Regions 1- X)
Headquarters Data Sponsors (OSRTI, OSRE, OEM, FFRRO, FFEO)
Information Management Coordinators (Regions 1- X)
Budget Coordinators (Regions I - X)
Financial Management Coordinators (Regions I - X)
Records Managers (Regions I - X)
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United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
OSWER 9200.3-15-1G-Z
September 30,2015
Superfund
http://www2.epa.gov/superfund/superfund-program-implementation-manual
SEPA Superfund Program Implementation Manual
Fiscal Year 2016
Program Implementation Guidance for OSRTI, OSRE, FFRRO,
FFEO and OEM (Headquarters and Regional Offices)
Program Goals and Planning Requirements
Program Implementation Procedures
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OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
September 30, 2015 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Superfund Program Implementation Manual FY 16
Table of Contents
Managers' Schedule of Significant Events
Acronyms
Summary of Changes
Chapter I: Introduction
LA Purpose 1-1
I.B Introduction 1-2
I.B.I Superfund Legislative Background 1-2
I.B.2 Description of Superfund Response and Enforcement Programs 1-3
a. Superfund Remedial (303DD2) 1-3
b. Superfund Emergency Response and Removal (303DC6) 1-4
c. Federal Facilities Response (303DC9) 1-4
d. Superfund Enforcement (501EC7) 1-4
e. Base Realignment and Closure (303D41 and 303D41B4) 1-4
f. Federal Facilities Enforcement (501EH2) 1-5
I.C Superfund Enterprise Management System (SEMS) 1-5
Chapter II: Performance Measures, Planning and Reporting
Requirements
II.A Introduction II-l
II.B Performance Goals and Measures II-l
II.B.l Removal Program Measure II-5
a. Removal Actions Completed II-5
II.B.2 Remedial and Federal Facilities Program Measures II-5
a. Number of Superfund Remedial Site Assessments Completed (Site Assessments)
77-5
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects) 77-5
c. Annual Number of Superfund Sites with Remedy Construction Completed (CCs)
II-6
d. Number of Superfund Sites with Human Exposure Under Control II-6
e. Superfund Sites with Contaminated Groundwater Migration Under Control ..II-6
f. Number of Superfund sites Ready for Anticipated Use Sitewide (SWRA U) 11-6
g. Acres 'Protective for People Under Current Conditions' (PfP) 77-7
h. Acres 'Ready for Anticipated Use ' (RAU) 77-7
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OSWER Directive 9200.3-15-1G-Z
II.B.3 Enforcement Program Measures II-7
a. Pre-Remedial Enforcement Action 77-7
b. Past Costs Addressed > $500,000 77-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater 77-7
d. Total Response Commitments 77-5
e. Total Cost Recovery Settlements 77-5
/ Value of PRP Over sight 77-5
II. C Annual Performance Plan and Budget Development Cycle II-8
II.C.l Outyear II-8
II.C.2 Planning Year II-9
II.C.3 Current Year II-9
II.D Planning and Reporting Cycle 11-12
II.D.l Third Quarter 11-12
a. Current Year Performance Tracking 77-72
b. Planning for the Upcoming Year 77-73
II.D.2 Fourth Quarter 11-13
a. Planning for the Upcoming Year 77-73
b. Endof Year Performance Tracking 77-73
II.D.3 First Quarter (of the subsequent year) 11-14
a. Planning for the Current Year 77-74
b. Prior Year Performance Tracking 77-74
II.E Planning, Target, and Accomplishment Reports 11-14
II.E. 1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 11-14
II.E.2 OSRE Management Reports 11-15
II.E.3 FFRRO Management Reports 11-16
Chapter III: Financial Management
III.A Introduction III-l
III.B Financial Management Roles and Responsibilities III-l
III.B. 1 Regional Organization Financial Roles and Responsibilities Ill-1
a. Regional Administrator (unless delegated) 777-7
b. Regional Finance Office (RFO) 777-7
c. Regional Program Office (RPO) 777-2
d. Administrative Support Unit 777-2
III.B .2 Regional Staff Financial Roles and Responsibilities III-3
a. On-Scene Coordinator (OSC) 777-3
b. Remedial Project Manager (RPM) 777-3
c. Regional Project Officer or Deputy Project Officer 777-4
III.B.3 Headquarters Support Office Financial Roles and Responsibilities III-4
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO 777-4
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO 777-4
c. Office of Acquisition Management (OAM), OARM. 777-5
d. Office of Budget, OCFO 777-5
e. Office of Financial Management (OFM), OCFO 777-5
/ Office of Grants and Debarment(OGD), OARM. 777-5
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OSWER Directive 9200.3-15-1G-Z
g. Research Triangle Park (RTF) Finance Center, Office of Financial Services,
OCFO III-5
III.C SuperfundAccounting Information 7/7-6
III.C.I Superfund Account Number III-6
777.7) Financial Data Management Tools 777-70
III.D.l Budget Automation System (BAS) 111-10
III.D.2 Compass 111-10
III.D.3 Compass Data Warehouse (CDW) 111-10
III.D.4 Compass Business Objects Reporting Tool III-ll
III.D.5 Superfund Enterprise Management System (SEMS) III-ll
777.7i Handling Financial Data in the SEMS Environment III-ll
III.F Financial Vehicles 777-72
III.F.l Contracts 111-12
III.F.2 Interagency Agreements (IAs) 111-12
III.F.3 Cooperative Agreements (CAs) 111-12
III.F.4 Grants 111-13
777. G Allocating Superfund Resources Among the Regions 111-13
III.G.l Managing Site Allowance Resources in SEMS 111-14
III.G.2 Using Prior Year Funds 111-14
a. Carryover 111-14
b. Deobligations 111-15
III.G.3 Removal Program Resources (PRC 303DC6) 111-15
III.G.4 Homeland Security Resources (PRC 303D72) 111-16
III.G.5 Remedial Response Program Resources (PRC 303DD2) 111-16
a. Remedial Action Site Allowance 111-16
b. Pipeline Operations Site Allowance 111-17
III.G.6 Superfund Federal Facilities Response Program (PRC 303DC9) 111-18
III.G.7 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) HI-18
III.G.8 Enforcement Program (PRC 501EC7) 111-18
III.G.9 Federal Facilities Enforcement Program Resources (PRC 501EH2) 111-19
777.77 Cost Recovery 777-79
III.H.l Recoverable Costs 111-20
a. Direct Costs 111-20
b. Contractors' Annual Allocation Costs 111-20
c. Indirect Costs 111-20
777.7 Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 777-27
III.I.l WQ SSID and WQ Action Code 111-21
a. WQSSID 777-27
b. WQ Action Code 777-22
III.I.2 ZZSSID 111-22
III.I.3 00 SSID 111-22
777.7 Superfund State Contracts (SSC) 777-25
III.J.l Cost Share Provisions 111-23
III.J.2 Constraints on Obligating Funds for RA 111-24
III.J.3 Cost Share Payments 111-24
III.J.4 Using Funds from State Cost Share Payments 111-25
FY16SPIM
TOC-3
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
III.K Special Accounts 7/7-25
777.L Using the Fiduciary Reserve to Address Cost Overruns 777-26
Chapter IV: SEMS Data Management and Coding
IV.A Introduction IV-1
IV.B SEMS Regional/Headquarters Roles and Responsibilities IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-3
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
b. Data Owners IV-3
c. Office ofSuperfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch IV-4
d. OSRTI Resource Management Division - Information Management Branch. IV-4
e. OSRTI Assessment and Remediation Division (ARD) Regional Support IV-4
f. Office of Site Remediation Enforcement (OSRE) Regional Support IV-4
g. Office of Emergency Management (OEM) Regional Support IV-4
h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5
IV.C General SEMS Data Entry/Quality Control Requirements IV-5
IV.C.I Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in SEMS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
d. Removal Program IV-6
IV.C.3 Changes to Historical Accomplishments IV-7
IV.C.4 Data Validation and Verification IV-7
IV.D Activity Lead Codes IV-8
IV.E Activity Codes Available for Financial Transactions IV-9
IV.F Anomalies and Other SEMS Codes IV-14
IV.F.I Takeovers, Phased Indicators and Other Activity Code Anomalies IV-14
a. Takeovers IV-14
b. SEMS Coding For Takeovers IV-15
c. Phased Projects IV-17
d. Other Anomalies IV-17
e. Mega-Sites IV-18
Chapter V: Site Information
V.A Introduction V-l
V.B Initiating Program V-l
V.C Identification (ID) Numbers V-l
V.D Site Name V-2
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OSWER Directive 9200.3-15-1G-Z
V.E Site Location/Geospatial Information V-3
V.F Alias Name/Location V-4
V. G Federal Facility Status V-4
V.H Formerly Used Defense Sites (FUDS) V-5
V.I Preliminary Assessment (PA) Petitions V-5
V.J Site Type Category/Sub-Category V-5
V.K NPL Status V-6
V.L Non-NPL Status V-8
V.M Tribal Data V-9
V.N Special Interest V-10
V. O Eligible Response Site and No Further Federal Action Designations V-ll
V.P Site Inventory Designations V-12
V.Q Archive Indicator V-13
V.R Parent/Child Relationships V-15
V.S Final Assessment Decisions (FAD) V-16
V. T Operable Unit (OU) V-l 7
V. U Site Description V-l 7
V. V Site Comments V-18
Chapter VI: Remedial Site Assessment
VI.A Introduction VI-1
VI.A.l Remedial Site Assessment Priorities VI-2
VI.A.2 Remedial Site Assessment Backlogs VI-3
VI. A.3 Overview of Remedial Site Assessment Targets and Measures VI-3
VI.A.4 Data Quality and Data Entry Timeliness Requirement VI-6
a. Data Quality VI-6
b. Data Entry Timeliness Requirement VI-7
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities VI-7
a. No Further Remedial Action Planned (NFRAP) VI-8
b. Higher Priority /Lower Priority VI-8
c. Refer to Removal VI-8
d. Site Addressed as Part of Another NPL or Non-NPL site VI-8
e. Referred From RCRA VI-9
f. Assessment Complete - Decision Needed VI-9
VI.A.6 Remedial Site Assessment Critical Indicators VI-11
VI.A.7 Remedial Site Assessment Activities VI-11
a. Pre-CERCLA Screening VI-11
b. Remedial Site Initiation (Discovery) VI-14
c. Preliminary Assessments (PA) at Non-Federal Sites VI-16
d. Site Inspections (SI) at Non-Federal Sites VI-18
e. Site Reassessments at Non-Federal Sites VI-19
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OSWER Directive 9200.3-15-1G-Z
/ Expanded Site Inspections (ESI) at Non-Federal Sites VI-21
g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites VI-22
h. Hazard Ranking System (HRS) Packages VI-24
i. Other Cleanup Activity (OCA) VI-26
j. Formal State Deferral VI-29
k. NPL Li sting Activities VI-30
VI.A.8 Cleanup Alternatives VI-32
a. Referral to EPA Removal VI-32
b. Deferral to RCRA VI-33
c. Deferral to Nuclear Regulatory Commission (NRC) VI-33
d. Other Cleanup Activity VI-33
e. Formal State Deferral VI-35
f. Superfund Alternative Approach (SAA) VI-35
g. NPL Listing VI-36
Chapter VII: Removal Program
VILA Protect Human Health and the Environment VII-1
VII .A.I Overview of Removal Actions Target and Measures VII-1
VII.A.2Removal Program Performance Activity Leads VII-1
VII.A.SData Entry Timeliness VII-2
VII.A.4Removal Initiation VII-2
VII.A.5 Action Memorandum VII-2
VII.A.6Removal Action VII-3
Chapter VIII: Remedial Program
VIII.A Remedial Program Targets and Measures VIII-1
VIII.A.l Remedial Program Targets and Measures VIII-1
VIII.A.2 Remedial Program Performance Activity Leads VIII-3
VIII.A.3 Data Entry Timeliness VIII-3
VIII.A.4 Remedial Program Definitions VIII-3
Part I. Remedy Selection VIII-3
a. Remedial Investigation VIII-3
b. Feasibility Study VIII-4
c. Combined RI/FS VIII-4
d. Treatability Studies VIII-5
e. Proposed Plan (Start of Public Comment Period) VIII-6
f. Non-Time Critical Removal Action VIII-6
g. Remedial Decision Documents VIII-7
Part II. Remedial Implementation VIII-8
h. Remedial Design VIII-8
i. Remedial Action VIII-9
j. Start of On-Site Construction VIII-11
k. Operational and Functional (O&F) VIII-12
1. Final Inspection by EPA VIII-13
m. Construction Completion VIII-14
Part III. Post Construction Completion VIII-15
n. Long Term Response Action VIII-15
o. Operation and Maintenance (O&M) VIII-15
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OSWER Directive 9200.3-15-1G-Z
p. Cleanup Goals Achieved VIII-17
q. Groundwater Monitoring VIII-17
r. NPL Site Completions VIII-18
s. Five Year Reviews VIII-18
t. Sitewide Ready for Anticipated Use (SWRAU) VHI-20
u. Partial NPL Deletion VIII-21
v. Final NPL Deletion VUI-22
Part IV. Cross Program Revitalization Measures (CPRM) VIII-23
w. Protective for People Under Current Conditions (PFP) VIII-23
x. Ready for Anticipated Use (RAU) VIII-24
y. Cross Program Revitalization Measures (CPRM) Indicators VIII-25
Part V. Environmental Indicators VIII-28
z. Human Exposure Under Control VIII-28
aa. Migration of Contaminated Groundwater Under Control VIII-3 3
bb. Population Protected. VIII-36
cc. Cleanup Volume VIII-3 7
Part VI. Support Activities VIII-37
dd. Support Agency Assistance VIII-37
ee. Technical Assistance VIII-38
Chapter IX: Federal Facility Program
IX.A Federal Facilities Goals and Priorities IX-3
IX.A.l Overview IX-3
IX.A.2 Superfund Federal Facility Goals IX-3
a. Strategic Federal Facility Goals IX-3
b. Cross Program Revitalization Measure Implementation IX-5
IX.A.3 EPA's Federal Facility Superfund Cleanup Principles IX-6
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment IX-8
a. Overview IX-8
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process IX-9
c. Federal Facility Site Assessment Process and Time Frames IX-10
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580... IX-10
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation IX-
11
f. Tracking of Federal Facility Sites in SEMS IX-12
IX.A.5 BRAC Budget and Financial Guidance IX-12
a. Resources and Tracking Mechanisms IX-12
b. Accountability for Resources IX-13
IX.A.6 Cleanup Privatization at BRAC NPL Sites IX-14
IX.A.7 Military Munitions Response Program IX-15
IX.A.8 Stakeholder Involvement IX-16
IX.B Federal Facilities Targets and Measures IX-16
IX.B.I Overview of Federal Facilities Targets and Measures IX-16
IX.B.2 Data Entry Timeliness IX-18
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions IX-18
a. Remedial Site Initiation (Discovery) IX-18
b. Federal Facility Preliminary Assessment Reviews IX-19
c. Federal Facility Site Inspection Reviews IX-21
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OSWER Directive 9200.3-15-1G-Z
d. Federal Facility Expanded Site Inspection (ESI) Reviews IX-22
IX.B.4 Federal Facilities Accomplishment Definitions IX-23
a. Base Closure Decisions IX-23
b. Non-BRAC Property Actions IX-24
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) IX-25
d. Federal Facility Dispute Resolution IX-26
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) IX-26
f. Decision Documents IX-27
g. Final Remedy Selected IX-27
h. Remedy Decision Changes IX-28
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) IX-29
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)IX-29
k. Removal or RCRA Interim/Stabilization Measure (ISM) IX-31
1. Operation and Maintenance (O&M) IX-32
m. Cleanup Goals Achieved IX-32
n. Percent Construction Completion IX-33
o. Federal Facility Five Year Reviews IX-33
IX.B.5 Community Involvement Definitions IX-36
a. Restoration Advisory Boards (RABs)/Site-Spedfie Advisory Boards (SSABs) .. IX-
36
b. Technical Assistance Grants (TAGs) IX-36
IX.B.6 Cleanup Privatization at BRAC NPL Sites IX-37
Chapter X: Enforcement
X.A Enforcement X-l
X.A.I Promoting the Superfund Enforcement Program X-l
X.A.2 Overview of Enforcement Program Targets and Measures X-2
X.A.3 Superfund Alternative Approach (SAA) Sites X-4
X.A.4 Enforcement Program Performance Activity Leads X-5
X.A.5 Data Entry Timeliness X-5
X.A.6 Enforcement Program Definitions X-6
a. Potentially Responsible Party (PRP) Search Starts X-6
b. PRP Search Completions X-6
c. Preliminary PRP Search Completion X-6
d. Section 104(e) Referrals and Orders Issued X-8
e. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor RD/RA
Negotiations X-9
f. Issuance of General Notice Letters (GNLs) X-9
g. Issuance of Special Notice Letters (SNLs) X-9
h. Issuance of Demand Letter X-10
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic X-10
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic) X-l 2
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations).. X-l3
1. Total Response Commitments (Including Dollar Value) X-l 4
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OSWER Directive 9200.3-15-1G-Z
m. Volume of'ContaminatedMedia Addressed (VCMA) X-17
n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement X-l 8
o. Total Amount of Response Commitments Secured through Financial Assurance
X-20
p. De Minimi s Settlements and Number of Parties X-21
q. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)X-22
r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy X-23
s. Total Cost Recovery Settlements (Including Dollar Value) X-25
t. Total Value of PRP Oversight X-26
u. Number and Amount of CERCLA Penalties Assessed X-27
v. Number of Settlements Where EPA Settled Based on Ability-to-pay
Determinations X-27
w. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs) X-28
x. Issuance of 'Comfort/Status Letters X-29
y. Contiguous Property Owners (CPOs) X-30
z. Windfall Lien Resolution -Finalized. X-30
aa. PRP Oversight Administration X-31
bb. Settlements Designating Funds for Deposit to Special Accounts X-32
cc. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
X-33
dd. Pre-Remedial Enforcement Action at Superfund Sites X-34
X.A.7 Institutional Controls and Site Revitalization X-35
a. Institutional Controls X-35
b. Site Revitalization X-35
Chapter XI: Community Involvement
XI.A Introduction XI-1
XI.B National Program Requirements XI-1
XI.B.I Program Goals and Objectives XI-1
XI.B.2 Regulatory and Policy Requirements XI-1
XI.B.3 Roles and Responsibilities XI-1
XI.B.4 Data Entry Timeliness XI-2
XI.C Community Involvement Activities XI-2
XI.C.I Overview of Community Involvement Activities XI-2
a. Community Advisory Groups (CAGs) XI-3
b. Technical Assistance Grants (TAGs) XI-3
c. Technical Assistance Services for Communities (TASC) XI-4
Chapter XII: Information Systems
XII. A Information Systems XII-1
XII.A.1 Overview of SEMS XII-1
a. Remedial Site Assessment (See chapter VI) XII-2
b. Removal Program (See chapter VII) XII-2
c. Remedial Program (See chapter VIII) XII-2
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OSWER Directive 9200.3-15-1G-Z
d. Federal Facility Program (See chapter IX) XII-3
e. Enforcement Program (See chapter X) XII-3
f. Community Involvement (See chapter XI) XII-4
g. Project Management XII-4
h. Program Management XII-5
XII.A.2 SEMS System Components XII-5
XII.A.3 Reporting Superfund Information XII-6
XII.A.4 Data Owners/Sponsorship XII-6
Chapter XIII: Superfund Records Management
XIII.A Overview of Records Management XIII-1
XIII.A.1 What is a Record? XIII-1
XIII.A.2 Purpose of Records for Superfund XIII-1
XIII.B Records Management Requirements XIII-2
XIII.B.l Records Management Goals and Objectives XIII-2
XIII.B.2 Regulatory and Policy Requirements XIII-2
XIII.B.3 Roles and Responsibilities XIII-3
XIII. C Capturing Superfund Records XIII-3
XIII.C.I Program Required/Recommended Documents XIII-3
a. Program Required Documents (exhibit XIII. 2) XIII-3
b. Program Recommended Documents (exhibit XIII. 3) XIII-4
XIII.C.2 Other Program Records XIII-4
XIII.C.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)
XIII-4
XIII.C.4 Superfund Records Reports XIII-5
XIII.C.5 Disclosure and Disposition XIII-5
Appendix A: Work Planning Memorandum
Appendix B: Regional and Headquarters Contacts
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B OSRTIRegional Coordinators (Pre-Remedial) B-3
B.C OSRTI Regional Coordinators (Remedy Selection) B-3
B.D OSRTI Regional Coordinators (Construction & Post Construction) B-4
B.E FFRRO Regional Coordinators B-4
B.F OSRE Regional Coordinators B-4
B. G Office of Emergency Management (OEM) HQ Removal Coordinators B-5
B.H Regional Information Management Coordinators B-5
B.I Regional Budget Coordinators B-6
B.J HQ Superfund Cost Recovery Contacts B-6
B.K Regional Cost Recovery Contacts B-7
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OSWER Directive 9200.3-15-1G-Z
List of Exhibits
Exhibit ILL Superfund Performance Measures II-2
Exhibit II.2. Budget Planning Timeline 11-10
Exhibit III.1. Superfund Account Number Structure III-6
Exhibit III.2. Sample Superfund Appropriation Codes (Not Inclusive) III-9
Exhibit III.3. Superfund Program Results Codes and Site Allowance Codes III-9
Exhibit IV. 1. Regional/HQ SEMS Responsibilities IV-2
Exhibit IV.2. Activity Lead Codes In SEMS IV-8
Exhibit IV.3. Activity Codes Available for Financial Transactions Sorted by SEMS activity Name ('Who
Pays for What') IV-10
Exhibit IV.4. SEMS Activity Anomaly Reference Table IV-14
Exhibit IV.5a. Takeovers IV-16
Exhibit IV.5b. Phased Projects IV-17
Exhibit IV.5c. Other Anomalies IV-18
Exhibit VI.1. Superfund Remedial Site Assessment Process VI-2
Exhibit VI.2. Remedial Site Assessment Activities VI-6
Exhibit VI.3. Remedial Site Assessment Activity Qualifiers VI-10
Exhibit VI.4. Pre-CERCLA Screening Requirements VI-14
Exhibit VI.5. Remedial Site Initiation (Discovery) Requirements VI-15
Exhibit VI.6. Preliminary Assessment Requirements VI-17
Exhibit VI.7. Site Inspection Requirements VI-19
Exhibit VI.8. Site Reassesment Requirements VI-20
Exhibit VI.9. Expanded Site Inspection Requirements VI-22
Exhibit VI. 10. ESI/RI Requirements VI-23
Exhibit VI.ll.HRS Package Requirements VI-25
Exhibit VI. 12. Other Cleanup Activity Requirements VI-28
Exhibit VI.13. State Deferral Requirements VI-30
Exhibit VI. 14. NPL Listing Requirements VI-31
Exhibit VII. 1. Removal Program Activities VII-1
Exhibit VII.2. Action Memorandum Requirements VII-2
Exhibit VII.3. Removal Action Requirements VII-3
Exhibit VIII. 1. Remedial Program Activities VIII-1
Exhibit VIII.2.RI,FS, and Combined RI/FS Requirements VIII-4
Exhibit VIII.3. Treatability Study Requirements VIII-6
Exhibit VIII.4. Proposed Plan Requirements VIII-6
Exhibit VIII.5. Non-Time Critical EE/CA and NTCRA Requirements VIII-7
Exhibit VIII.6. Remedial Action Decision Document Requirements VIII-8
Exhibit VIII.7. Remedial Design Requirements VIII-8
Exhibit VIII.8. Remedial Action Requirements VIII-10
Exhibit VIII.9. Start of On-Site Construction Requirements VIII-11
Exhibit VIII. 10. Operational and Functional Requirements VIII-13
ExhibitVIII.il. Final Inspection by EPA Requirements VIII-13
Exhibit VIII. 12. Construction Completion Requirements VIII-14
Exhibit VIII. 13. LTRA Requirements VIII-15
FY 16 SPIM TOC -11 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Exhibit VIII. 14. Operations & Maintenance Requirements VIII-16
Exhibit VIII. 15. Cleanup Goals Achieved Requirements VIII-17
Exhibit VIII. 16. Groundwater Monitoring Requirements VIII-17
Exhibit VIII. 17. NPL Site Completions Requirements VIII-18
Exhibit VIII. 18. Five Year Review Requirements VIII-19
Exhibit VIII. 19. Partial NPL Deletion Requirements VIII-22
Exhibit VIII.20. NPL Deletion Requirements VIII-23
Exhibit VIII.21.PFP/RAU Checklist Requirements VIII-25
Exhibit VIII.22. Human Exposure Evaluation Flowchart VIII-32
Exhibit VIII.23. Superfund Migration of Contaminated Groundwater Under Control Worksheet ....VIII-35
Exhibit VIII.24. Support Agency Assistance Requirements VIII-38
Exhibit VIII.25. Technical Assistance Requirements VIII-38
Exhibit IX. la. Federal Facilities NPL Sites IX-17
Exhibit IX. Ib. Federal Facilities FAST-TRACK BRAC Sites IX-17
Exhibit IX.2. Remedial Site Initiation (Discovery) Requirements IX-19
Exhibit IX.3. Federal Facility Preliminary Assessment Review Requirements IX-20
Exhibit IX.4. Federal Facility Site Inspection Review Requirements IX-21
Exhibit IX.5. Federal Facility Expanded Site Inspection Review Requirements IX-22
Exhibit IX.6. Base Closure Decision Requirements IX-23
Exhibit IX.7. Non-BRAC Property Action Requirements IX-25
Exhibit IX.8.FFA/IA Requirements IX-25
Exhibit IX.9. Federal Facility Dispute Resolution Requirements IX-26
Exhibit IX. 10. RI/FS or RCRA Facility Investigation (RFI) Requirements IX-26
ExhibitIX.ll. Decision Document Requirements IX-27
Exhibit IX.12. Final Remedy Selected Requirements IX-28
Exhibit IX.13. Remedy Decision Change Requirements IX-29
Exhibit IX. 14. RD or RCRA CMD Requirements IX-29
Exhibit IX. 15. RA or RCRA CMI Requirements IX-30
Exhibit IX. 16. Remedial Pipeline Flow Charts IX-31
Exhibit IX. 17. Removal or RCRA ISM Requirements IX-32
Exhibit IX.18. Operation and Maintenance Requirements IX-32
Exhibit IX.19. Cleanup Goals Achieved Requirements IX-33
Exhibit IX.20. Percent Construction Complete Calculations IX-33
Exhibit IX.21. Federal Facility Five Year Review Requirements IX-34
Exhibit IX.22. RAB/SSAB Requirements IX-36
Exhibit IX.23. Technical Assistance Grant Requirements IX-36
Exhibit IX.24. Cleanup Privatization at BRAC NPL Sites Requirements IX-38
Exhibit X.I. Enforcement Program Performance Measures X-2
Exhibit X.2. PRP Search Requirements X-8
Exhibit X.3. Section 104(e) Referrals and Orders Requirements X-8
Exhibit X.4. Pre-Referral Negotiation Package Requirements X-9
Exhibit X.5. General Notice and 104(e) Information Request Letter Requirements X-9
Exhibit X.6. Special Notice Letter Requirements X-10
Exhibit X.7. Demand Letter Requirements X-10
Exhibit X.8. Negotiation Start Requirements X-10
Exhibit X.9. Completion or Termination of Negotiations Requirements X-12
Exhibit X.10. Ability to Pay (ATP) Party Insurance Negotiations Requirements X-14
Exhibit X.I 1. Total Response Commitment Requirements X-14
Exhibit X.12. Summary of SEMS Compliance Status Values X-18
September 30, 2015 TOC -12 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Exhibit X. 13. De Minimis Settlement Requirements X-21
Exhibit X. 14. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) Requirements
X-22
Exhibit X.15. Past Costs Addressed >$500,000 Requirements X-23
Exhibit X.16. Total Cost Recovery Settlements Requirements X-25
Exhibit X.17. Ability-to-pay Determination Requirements X-28
Exhibit X.I8. BFPP Agreement, PPA, and PLA Requirements X-29
Exhibit X. 19. Comfort Status Letter Requirements X-29
Exhibit X.20. Contiguous Property Owner Requirements X-30
Exhibit X.21. Windfall Lien Resolution Requirements X-31
Exhibit X.22. PRP Oversight Administration Requirements X-31
Exhibit X.23. Settlements Designating Funds for Deposit to Special Accounts Requirements X-32
Exhibit X.24. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Requirements X-33
Exhibit XI.1. HQ and Regional Roles and Responsibilities XI-2
Exhibit XI.2. Community Advisory Groups Requirements XI-3
Exhibit XI.3. Technical Assistance Grants Requirements XI-3
Exhibit XI.4.TASC Requirements XI-4
Exhibit XIII. 1. Records Management Goals and Objectives XIII-2
Exhibit XIII.2. Program Required Documents XIII-7
Exhibit XIII.3. Program Recommended Documents XIII-17
FY16SPIM TOC-13 September 30,2015
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Superfund Program Implementation Manual
FY16
Managers' Schedule of Significant Events
FY 16 SPIM Managers' Schedule -1 September 30, 2015
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MANAGERS' SCHEDULE OF SIGNIFICANT EVENTS
The Superfund Enterprise Management System (SEMS) was deployed to production in fiscal year (FY) 2014,
and is now the official repository for Superfund data. Data are expected to be kept complete, current, and
consistent in order to be readily available for routine, unexpected, and immediate needs. The schedule below is
provided as a general timeline which may be modified to account for any unique circumstances the program
may experience.
FY 2016
OCTOBER 2015 QUARTER 1 (FY 16)
1 Data entry for Special Accounts begins in SEMS
F , Office of the Chief Financial Officer (OCFO) allocates Pipeline and Remedial resources per the
draft Agency operating plan, adjusted to reflect Continuing Resolution decisions
End-of-year reporting deadline for FY 2015 Pipeline activities and Annual Commitment System
(ACS) measures accomplishments
FY 2016 regional final commitment information reflecting Deputy Regional Administrator
(DRA) approval due in ACS
M'H/T t Office of Superfund Remediation and Technology Innovation (OSRTI) drafts initial FY 2016
Remedial Action (RA) funding plan
23 Regions complete entry of Special Account planning data in SEMS by close of business (COB)
26 Headquarters (HQ) runs SEMS reports with Special Account planning data
Late Oct / Hold Fall FY 2016 Work Planning meetings with regions at which time regions enter final FY
Early Nov 2016 site-specific Pipeline Activity targets in SEMS
NOVEMBER 2015
Mid Regions submit Superfund remedial unliquidated obligations review results to OSRTI
Late ACS is locked to prevent further adjustments to FY 2016 commitments
23 OSRTI sends Special Account work planning data analysis and questions to regions
FY 16 SPIM Managers' Schedule - 3 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
DECEMBER 2016
Early/Mid OSRTI runs draft Pipeline Operations Site Allowance allocation model
TBD Office of Management and Budget (OMB) passback of FY 2017 budget request
TBD Agency appeal of the OMB FY 2017 budget passback
14 21 OSRTI and Office of Site Remediation Enforcement (OSRE) hold Special Account specific
planning discussions with regions
21 Regional response to Special Account work planning questions due to OSRTI and OSRE
A X-A n t OSRTI sends memo to regions to set target for national remedial pool deobligations and request
JVLiu/.Late * ~ * * *. ,. *
draft deobligation plans
JANUARY 2016 QUARTER 2 (FY 16)
Superfund Comprehensive Accomplishments Plan (SCAP) pull for 1st Quarter FY 2016
accomplishments and financial data - COB 6th working day of the month
Mid Draft FY 2017-2018 National Program Manager (NPM) Guidance due to OCFO
Mid/Late Regions submit draft deobligation plans to OSRTI
FEBRUARY 2016
Early President submits FY 2017 Annual Performance Plan (APR) and budget request to Congress
Mid NPMs issue draft National guidance for FY 2017 and 2018
MARCH 2016
Early/Mid OSRTI/OSRE send preliminary mid-year work planning details to the regions
APRIL 2016 QUARTER 3 (FY 16)
HQ pulls 2nd quarter FY 2016 accomplishment data from SEMS for mid-year ACS
^ accomplishments review as well as mid-year work planning review
Mid Data entry for Special Accounts
Late HQ pulls financial data from SEMS for Special Accounts
September 30, 2015 Managers' Schedule - 4 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
APRIL 2016 QUARTER 3 (FY 16) (cont.)
Late NPMs/regions begin the bidding process for FY 2017 ACS performance measures
A '1/M OSRTI/OSRE conduct mid-year work planning meetings with regions to review FY 2016
progress and begin planning for FY 2017
April/May OSRTI and OSRE hold Special Account specific planning discussions with regions
MAY 2016
., Annual Goal Team Meetings with Deputy Administrator on FY 2016 progress and FY 2017
priorities
JUNE 2016
Early Regions draft FY 20 17 initial bids for ACS performance measures
M'H/T t ^Q presents FY 20 16 Superfund goals and priorities and FY 20 17 investments to the
Administrator and Regional Administrators
Mid/Late OCFO provides HQ program offices and regions with policy for FY 20 17 budget formulation
JULY 2016 QUARTER 4 (FY 16)
9 HQ pulls 3rd quarter FY 2016 accomplishment data from SEMS
Early/Mid NPMs submit proposed FY 2018 budgets to OCFO/Administrator
,,., HQ program offices and lead regions make presentation to Administrator/Deputy Administrator
on FY 2018
Late Administrator pass-back of FY 2018 budget request
AUGUST 2016
Mid Agency develops FY 2018 budget for submission to OMB
Final revisions to FY 2018 Annual Performance Goals (APG) and Annual Performance
Measures (APM) due to OCFO
August/Sept NPMs begin drafting FY 2016 Annual Performance Report
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OSWER Directive 9200.3-15-1G-Z
AUGUST 2016 (cont.)
. , OSRTI/OSRE sends work planning memorandum to regions on proposed budgets, ACS
performance goals and program targets/measures for FY 2017
SEPTEMBER 2016
F , Last date for requests for recertification of deobligated funds for Superfund. Request must be
made in Recertification database, and reprogramming must be entered in COMPASS
Last day for any reprogrammings (no-year, reimbursable, Budget Object Class [BOC]
y realignment) in COMPASS
Mid Agency submits FY 2018 budget to OMB
September 30, 2015 Managers' Schedule - 6 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Superfund Program Implementation Manual
FY16
Acronyms
FY 16 SPIM September 30, 2015
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September 30, 2015 FY 16 SPIM
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A/T
AA
ACS
AH
AHRC
AML
AOC
APA
APG
APM
APR
ARAR
ARD
ARRA
ATP
ATSDR
BAS
BC
BCP
BCT
BFPP
BFY
BOC
BPEB
BRAC
CA
CA
CAG
CBD
CBOR
CC
CCDS
CD
CDR
CDW
CERCLA
CERCLIS
CERFA
CFC
CIC
CIP
CIPIB
CLP
Arranger/Transporter
Assistant Administrator
Annual Commitment System
Allowance Holder
Allowance Holder/Responsibility Center
Abandoned Uranium Mine Lands
Administrative Order On Consent
Abbreviated Preliminary Assessment
Annual Performance Goals
Annual Performance Measures
Annual Performance Plan
Applicable or Relevant and Appropriate Requirements
Assessment and Remediation Division
American Recovery and Reinvestment Act
Ability To Pay
Agency For Toxic Substances and Disease Registry
Budget Automation System
Budget Coordinator
Base Realignment and Closure (BRAC) Cleanup Plan
Base Cleanup Teams
Bone Fide Prospective Purchaser
Budget Fiscal Year
Budget Object Class
Budget Planning and Evaluation Branch
Base Realignment and Closure
Cooperative Agreement
Consent Agreement
Community Advisory Groups
Commerce Business Daily
Compass Business Objects Reporting Tool
Construction Complete
Case Conclusion Data Sheet
Consent Decree
Covenant Deferral Request
Compass Data Warehouse
Comprehensive Environmental Response, Compensation, and Liability Act
Comprehensive Environmental Response, Compensation, and Liability Information System
Community Environmental Response Facilitation Act
Cincinnati Finance Center
Community Involvement Coordinator
Community Involvement Plan
Community Involvement and Program Initiatives Branch
Contract Laboratory Program
FY 16 SPIM
Acronyms - 1
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
CMD
CMI
CMS
CN
CO
COB
CPO
CPRM
CPS
CR
DCN
DERP
DNPV
DoD
DOE
DOJ
DRA
EAS
EBS
EE/CA
El
EJ
EPA
EPCRA
EPM
ERNS
ERR
ERRS
ERS
ESAT
ESCA
ESD
ESI
ESI/RI
FAD
FAS
FCOR
FDMS
FDW
FE&C
FEMA
FF
FFA
Corrective Measure Design
Corrective Measure Implementation
Corrective Measure Study
Commitment Notices
Contracting Officer
Close of Business
Contiguous Property Owners
Cross Program Revitalization Measures
Contract Payment System
Continuing Resolutions
Document Control Number
Defense Environmental Restoration Program
Decision Not To Pursue Violations
Department of Defense
Department of Energy
Department of Justice
Deputy Regional Administrator
EPA Acquisition System
Environmental Baseline Survey
Engineering Evaluation/Cost Analysis
Environmental Indicator
Environmental Justice
Environmental Protection Agency
Emergency Planning and Community Right-To-Know Act
Environmental Programs and Management
Emergency Response Notification System
Emergency Response and Removal
Emergency and Rapid Response Services
Eligible Response Site
Environmental Services Assistance Team
Environmental Services Cooperative Agreement
Explanation of Significant Differences
Expanded Site Inspection
Expanded Site Investigation/Remedial Investigation
Final Assessment Decision
Field Analytical Sampling
Final Close-Out Report
Federal Docket Management System
Financial Data Warehouse
Federal Enforcement and Compliance
Federal Emergency Management Agency
Federal Facility
Federal Facility Agreements
September 3 0,2015
Acronyms - 2
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
FFEO
FFERDC
FFLC
FFRRO
FFSEP
FMD
FOIA
FOSET
FOSL
POST
FPS
FR
FS
FTE
FUDS
FUSRAP
FWS
FY
FY/Q
FYR
GAAP
GAD
GAO
GL
GM
GNL
GPAS
GPRA
GSA
GWMUC
HE
HEUC
HPPG
HQ
HRS
IA
1C
ICIS
ICTS
ID
IDOJ
IFAC
IFAP
Federal Facilities Enforcement Office
Federal Facilities Environmental Restoration Dialogue Committee
Federal Facilities Leadership Council
Federal Facilities Restoration and Reuse Office
Federal Facilities Site Evaluation Project
Financial Management Division
Freedom of Information Act
Finding of Suitability To Early Transfer
Finding of Suitability To Lease
Finding of Suitability To Transfer
Fellowship Payment System
Federal Register
Feasibility Study
Full-time Equivalent
Formerly Used Defense Site
Formerly Used Sites Remediation Action Program
Fish and Wildlife Service
Fiscal Year
Fiscal Year/Quarter
Five Year Review
Generally Accepted Accounting Principles
Grants Administration Division
Government Accountability Office
Great Lakes
Groundwater Migration
General Notice Letter
Grants Payment Allocation System
Government Performance and Results Act
General Services Administration
Groundwater Migration Under Control
Human Exposure
Human Exposure Under Control
High Priority Performance Goals
Headquarters
Hazard Ranking System
Interagency Agreement
Institutional Controls
Integrated Compliance Information System
Institutional Controls Tracking System
Identification
In SNC - Referred To DOJ
In SNC - Formal Action Taken and Compliance Accomplished
In SNC - Formal Action Planned
FY 16 SPIM
Acronyms - 3
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
IFAT In SNC - Formal Action Taken
IFMS Integrated Financial Management System
IFTO In SNC - Fund Takeover
IGCE Independent Government Cost Estimate
IGMS Integrated Grants Management System
IIAC In SNC - Informal Action Taken and Compliance Accomplished
IIAP In SNC - Informal Action Planned
HAT In SNC - Informal Action Taken
IIDR In SNC - In Dispute Resolution
1MB Information Management Branch
IMC Information Management Coordinator
IRMS Integrated Resource Management System
ISM Interim/Stabilization Measure
IT Information Technology
JG Judicial/Civil Judgments
KPI Key Performance Indicator
LGR Local Government Reimbursement
LTRA Long Term Response Action
LVFC Las Vegas Finance Center
MC Munitions Constituents
MEC Munitions and Explosives of Concern
MIPR Military Interdepartmental Purchase Request
MM/DD/YY Month/Day/Year
MMRP Military Munitions Response Program
MOA Memorandum of Agreement
MOU Memorandum of Understanding
MRS Munitions Response Sites
NARA National Archives and Records Administration
NCP National Contingency Plan
NEPA National Environmental Protection Act
NFFA No Further Federal Action
NFRAP No Further Remedial Action Planned
NN Navajo Nation
NOA New Obligating Authority
NOAA National Oceanic and Atmospheric Administration
NOD Notice of Deletion
NOID Notice of Intent To Delete
NPL National Priorities List
NPM National Program Manager
NRC Nuclear Regulatory Commission
NTC Non-Time-Critical
NTC Non-Time Critical
NTCRA Non-Time Critical Removal Action
September 3 0,2015
Acronyms - 4
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
O&F
O&M
0AM
OARM
OB
OB/OD
OC
OCA
OCFO
OECA
OEM
OERR
OFM
OGD
OIG
OMB
OPS
OS
OSC
OSRE
OSRTI
OSWER
OU
PA
PAR
PAT
PCOR
PCS
PECB
PFP
PII
PIN
PLA
POLREP
PPA
PPED
PR
PRC
PRN
PROD
PRP
QA
QC
Operational and Functional
Operation and Maintenance
Office of Acquisition Management
Office of Administration and Resources Management
Office of Budget
Open Burn/Open Detonation
Office of Compliance
Other Cleanup Activity
Office of the Chief Financial Officer
Office of Enforcement and Compliance Assurance
Office of Emergency Management
Office of Emergency and Remedial Response
Office of Financial Management
Office of Grants and Debarment
Office of the Inspector General
Office of Management and Budget
Operating Properly and Successfully
Other Start Anomaly
On-Scene Coordinator
Office of Site Remediation Enforcement
Office of Superfund Remediation and Technology Innovation
Office of Solid Waste and Emergency Response
Operable Unit
Preliminary Assessment
Performance and Accountability Report
Performance Assessment Tool
Preliminary Close-Out Report
Pre-CERCLA Screening
Program Evaluation and Coordination Branch
Protective for People Under Current Conditions
Personally Identifiable Information
Procurement Initiation Notifications
Prospective Lessee Agreement
Pollution Report
Prospective Purchaser Agreement
Policy and Program Evaluation Division
Procurement Request
Program Results Code
Pre-Referral Negotiation
Preparedness and Response Operations Division
Potentially Responsible Party
Quality Assurance
Quality Control
FY 16 SPIM
Acronyms - 5
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
QRG Quick Reference Guide
RA Remedial Action
RA Regional Administrator
RAB Restoration Advisory Board
RAC Remedial Action Contract
RAD Radiation
RAO Remedial Action Objectives
RAPC Remedial Action Project Completion
RAU Ready For Anticipated Use
RCRA Resource Conservation and Recovery Act
RD Remedial Design
RD/RA Remedial Design/Remedial Action
REQ Requisitions
RFA RCRA Facility Assessment
RFI RCRA Facility Investigation
RFO Regional Finance Office
RFP Request For Proposals
RI Remedial Investigation
RI/FS Remedial Investigation/Feasibility Study
RMD Resources Management Division
RMDS Resource Management Directives System
ROC Remedial Oversight Contract
ROD Record of Decision
RP Responsible Party
RPIO Responsible Program Implementation Office
RPM Remedial Project Manager
RPO Regional Program Office
RSAC Remedial Site Assessment Completion
RTP Research Triangle Park
RV Removal
SA Site Allowances
SA Superfund Alternative
SAA Superfund Alternative Approach
SACM Superfund Accelerated Cleanup Model
SAM Site Assessment Manager
SARA Superfund Amendments and Reauthorization Act
SCAP Superfund Comprehensive Accomplishments Plan
SCORPIOS Superfund Cost Recovery Package and Image On-Line System
SD State Deferral
SDMS Superfund Document Management System
SDWA Safe Drinking Water Act
SEE Senior Environmental Employee
SEMS Superfund Enterprise Management System
September 3 0,2015
Acronyms - 6
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
SEMS-RM
SEMS-SM
SEP
SI
SME
SMOA
SNC
SNL
SOL
SPIM
SPITS
SRNF
SSAB
SSC
SSID
START
SWRAU
SX
TAG
TAPP
TASC
TASWER
TC
TCE
TDD
TMOA
TOSC
TSD
UAO
USAGE
USCG
UST
UU/UE
VCMA
WA
WEBOS
WL
WOSC
WQ
ZZ
SEMS Records Management Module
SEMS Site Management Module
Supplemental Environmental Project
Site Inspection
Subject Matter Expert
Superfund Memorandum of Agreement
Substantial Noncompliance
Special Notice Letter
Statute of Limitations
Superfund Program Implementation Manual
Small Payment Information Tracking System
Compliance Status Reviewed - Not In SNC
Site-Specific Advisory Boards
Superfund State Contract
Site/Spill Identification Code
Superfund Technical Assistance and Response Team
Sitewide Ready For Anticipated Use
Status Not Specified
Technical Assistance Grant
Technical Assistance For Public Participation
Technical Assistance Services For Communities
Tribal Association On Solid Waste and Emergency Response
Time Critical
Trichloroethylene
Technical Direction Document
Tribal Memorandum of Agreement
Technical Outreach Services For Communities
Treatment, Storage, and Disposal
Unilateral Administrative Order
United States Army Corps of Engineers
U.S. Coast Guard
Underground Storage Tank
Unlimited Use and Unrestricted Exposure
Volume of Contaminated Media Addressed
Work Assignments
Web Order System
Windfall Lien Agreements
Work Under Order/Settlement Completed
Bulk Funding
Site Related
FY 16 SPIM
Acronyms - 7
September 30, 2015
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September 3 0,2015 Acronyms - 8 FY 16 SPIM
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Superfund Program Implementation Manual
FY16
Summary of Changes
FY 16 SPIM September 30, 2015
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Summary of Changes to FY 16 SPIM
Superfund Program Implementation Manual (SPIM) Leads
Jennifer Hovis - Chapters I, II, III, IV, IX, XI, XII
Randy Hippen - Chapters V, VI
Brenda Haslett & Parti Ludwig - Chapters VII, X
Chip Love - Chapter VIII
Ross Gilleland & Paul Van Reed - Chapter XIII
The most notable changes to the SPIM include:
Content that was duplicative or outdated was removed to present a more streamlined
guidance document
Content was updated to reflect the migration from the Comprehensive Environmental
Response, Compensation, and Liability Information System (CERCLIS) to the Superfund
Enterprise Management System (SEMS)
Additional summary level changes can be seen in the sections below for each chapter. In addition
to these changes, there were other minor edits and corrections made throughout.
Chapter I: Introduction
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Other minor edits and corrections
Chapter II: Performance Measures, Planning and Reporting Requirements
Eliminated reference to Superfund Comprehensive Accomplishments Plan (SCAP)-016
report, which has been incorporated into the SCAP-014B report
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Other minor edits and corrections
Chapter III: Financial Management
Added language and made action code changes clarifying the types of activities that can
be funded using Removal and Removal Support Site Allowances
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Other minor edits and corrections
Chapter IV: SEMS Data Management and Coding
Added guidance on the use of two lead code fields in SEMS (Performance lead and
Financial lead)
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
FY 16 SPIM Summary of Changes - 1 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Other minor edits and corrections
Chapter V: Site Information
New chapter designed to define and provide information on key site level information
required for reporting
Pulled and updated existing sections/information from other chapters of the SPIM over to
the new Site Information chapter, including Non-National Priorities List (NPL) Status,
Formerly Used Defense Site (FUDS), Tribal data, Eligible Response Site (ERS) and No
Further Federal Actions (NFFA), Archive Indicator, and Final Assessment Decision
(FAD) designations
Included a new section for 'Preliminary Assessment Petition'
Included a new definition for the 'Great Lakes' Special Interest flag
Included a new definition for the Site Type Sub-Category of 'Uranium Mining'
Chapter VI: Remedial Site Assessment
Moved sections pertaining to Site Information that were previously included in the
Remedial Site Assessment chapter (chapter VI), to the new Site Information chapter
(chapter V)
Removed section on 'Type of Use' Indicator
Added language to the Overview of Remedial Site Assessment Targets and Measures
section to clarify that FUDS are excluded from the universe of sites tracked under the two
sub-measures
Converted the 'Referred from Resource Conservation and Recovery Act (RCRA)'
activity to a qualifier associated with the 'Remedial Site Initiation (Discovery)' activity
Added language to the Other Cleanup Activity (OCA) measure stating the status should
only be used for sites that have completed a Preliminary Assessment (PA) within the
Superfund site assessment process
Updated the State Deferral Definition of Accomplishment to reflect the removal of the
State Deferral lead code; and added a Special Planning/Reporting Requirement noting
that when a State Deferral is completed, the State Deferral (SD) anomaly code is required
Updated text where appropriate to include reference to relevant SEMS data entry
screens/fields
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Other minor edits and corrections
Chapter VII: Removal Program
Added definitional requirements for Potentially Responsible Party (PRP) Removals with
No Enforcement Instrument (PJ)
Removed SEMS Record Management Doc ID requirements associated with Action
Memos
Clarified text under the definition for 'Classic Emergencies'
Other minor edits and corrections
September 30, 2015 Summary of Changes - 2 FY 16 SPIM
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Chapter VIII: Remedial Program
Definitional changes were revised for clarification or added for activities not previously
addressed (i.e., Remedial Action Project Completions, inclusion of Superfund Alternative
Approach [SAA] sites as accomplishments)
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Revised structure of accomplishment definition sections to more clearly identify data
requirements, utilizing exhibits and streamlined text
Other minor edits and corrections
Chapter IX: Federal Facility Program
Updated content to reflect the migration to SEMS
Updated the Federal Agency Hazardous Waste Compliance Docket to include data from
WebEOC, which replaced the Emergency Response Notification System (ERNS)
Clarification of Regional contractors reviewing site inspections
Updated to more accurately reflect the Federal Facilities Program involvement and
participation from Headquarters and the regions
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Revised structure of accomplishment definition sections to more clearly identify data
requirements, utilizing exhibits and streamlined text
Other minor edits and corrections
Chapter X: Enforcement
Updated content to reflect the migration to SEMS
Removed duplicative and outdated content
Revised structure of accomplishment definition sections to more clearly identify data
requirements, utilizing exhibits and streamlined text
Other minor edits and corrections
Chapter XI: Community Involvement
No Changes
Chapter XII: Information Systems
Minor edits and corrections
Chapter XIII: Superfund Records Management
Existing content was rearranged into new sections
Content not uniquely specific to the Superfund Program was deleted (e.g., Freedom of
Information Act [FOIA] and generic records management information)
Specific records management goals for the Superfund program were added
The concept of Program Required and Program Recommended documents was
introduced
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Tables listing the universe of Program Required and Program Recommended documents
were developed showing the relationship to program activities and national document
collections to which documents should be associated
Appendix A: Work Planning Memorandum
Updated with the fiscal year (FY) 2016 Superfund Remedial and Enforcement Work
Planning Memorandum
Appendix B: Regional and Headquarters Contacts
Updated Subject Matter Experts and contacts as of September 2015
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Superfund Program Implementation Manual
FY16
Chapter I: Introduction
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CHAPTER I: Introduction
Table of Contents
LA Purpose 1-1
I.B Introduction 1-2
I.B.I Superfund Legislative Background 1-2
I.B.2 Description of Superfund Response and Enforcement Programs 1-3
a. Superfund Remedial (303DD2) 1-3
b. Superfund Emergency Response and Removal (303DC6) 1-4
c. Federal Facilities Response (303DC9) 1-4
d. Superfund Enforcement (501EC7) 1-4
e. Base Realignment and Closure (303D41 and 303D41B4) 1-4
f. Federal Facilities Enforcement (501EH2) 1-5
I.C Superfund Enterprise Management System (SEMS) 1-5
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CHAPTER I: INTRODUCTION
LA PURPOSE
The Environmental Protection Agency (EPA), working in collaboration with other federal
agencies, states, Indian tribes, local governments and affected community members, manages
programs designed to clean up priority hazardous waste sites and releases. These programs include
Superfund, Resource Conservation and Recovery Act (RCRA) Corrective Action, and
Underground Storage Tanks (UST). The focus of these programs is to maximize the protection of
human health and the environment.
The Superfund Program Implementation Manual (SPIM) provides overarching program
management priorities, procedures, and practices for the Superfund remedial, removal,
enforcement, and Federal Facilities programs, providing the link between the Government
Performance and Results Act (GPRA), EPA's Strategic Plan, and Superfund program internal
processes. The SPIM provides standardized and common definitions for Superfund program
accomplishments and processes for planning and tracking these accomplishments through program
targets and measures.
The SPIM is part of EPA's internal control structure, and, as required by the Comptroller
General of the United States through generally accepted accounting principles (GAAP) and
auditing standards, this document defines program scope and schedule in relation to budget, and
is used for audits and inspections by the Government Accountability Office (GAO) and the Office
of the Inspector General (OIG). The SPIM is typically updated annually but may also be revised
during the year as needed.
The SPIM is divided into thirteen separate chapters. Chapter I offers an introduction of
Superfund along with descriptions of each of the Superfund programs and the Superfund
Enterprise Management System (SEMS). Chapter II describes the Superfund program measures,
budget and program planning, and reporting requirements. Chapter III describes the financial
management mechanisms within the Superfund program and addresses resource management
topics, financial vehicles for obligating resources, systems and tools that manage financial data,
Superfund resource allocation procedures, Superfund State Contracts (SSCs), and special
accounts. Chapter IV describes SEMS data elements, including codes used for targeting and
reporting accomplishments, codes that describe specific budget sources and actions, and the 'Who
Pays for What' chart. Chapter V describes the structure and key elements of the site-level
information tracked for each Superfund site.
The next six chapters highlight program priorities and initiatives and provide detailed
information on annual targets for GPRA performance measures and targets for Key Programmatic
Measures for Superfund programmatic areas, and for the removal, remedial, and Federal Facility
programs. The chapters are given in the following order: Chapter VI: Remedial Site Assessment,
Chapter VII: Removal Program, Chapter VIII: Remedial Program, Chapter IX: Federal Facility
Program, Chapter X: Enforcement, and Chapter XI: Community Involvement.
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The last two chapters of the SPIM are Chapter XII: Information Systems and Chapter XIII:
Records and Information Management. Chapter XII describes the various modules of SEMS.
Chapter XIII describes the process of documenting records and information in the SEMS Records
Management module (SEMS-RM).
In addition, there are four appendices that provide supplemental information to the SPIM.
Appendix A provides details on new and future data initiatives and data reporting requirements.
Appendix B includes subject matter expert and data sponsor contact information for both
Headquarters (HQ) and regional offices. Appendix C contains the most recent remedial program
Work Planning Memo that identifies the scope and schedule of work planning activities and
priorities. Appendix D describes in detail the provisions, reporting requirements, budget execution
guidance and financial management as it relates to American Recovery and Reinvestment Act
(ARRA).
LB INTRODUCTION
I.B.1 Superfund Legislative Background
Congress passed the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), commonly called Superfund, in 1980. The Superfund program addresses
contamination from uncontrolled releases at Superfund hazardous waste sites that threaten human
health and the environment. The overarching goals of the program are to ensure the protection of
human health and the environment and to maximize the participation of potentially responsible parties
(PRP) in conducting cleanups at sites, also known as 'enforcement first.' EPA continues to generally
address the worst sites first, while balancing the need to complete response actions at all contaminated
sites.
Prior to CERCLA, there was no authority for direct federal response to hazards posed by
abandoned and uncontrolled hazardous waste sites. Existing environmental laws, such as RCRA,
provided regulatory requirements to address present activities and prevent future catastrophes, but
lacked authority to allow federal emergency and long-term responses to past hazardous waste
disposal problems.
CERCLA is unique in that it provided the first federal response authority to address the
problem of uncontrolled hazardous waste sites. CERCLA, for the first time, required EPA to step
beyond its traditional regulatory role and provide response authority to clean up hazardous waste
sites.
In October 1986, Congress reauthorized CERCLA by enacting the Superfund Amendments
and Reauthorization Act (SARA). SARA included Title III, a freestanding statute that created the
Emergency Planning and Community Right-to-Know Act (EPCRA). EPCRA is designed to help
communities prepare to respond in the event of a chemical emergency, and to increase the public's
knowledge of the presence and threat of hazardous chemicals. SARA also included the Defense
Environmental Restoration Program (DERP) which authorized the Department of Defense to
create a response program similar to EPA's Superfund remedial program.
The major regulatory framework that guides Superfund response efforts is the National Oil
and Hazardous Substances Pollution Contingency Plan (NCP). The NCP outlines a step-by-step
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process for implementing Superfund responses and defines the roles and responsibilities of EPA,
other federal agencies, states, tribes, private parties, and the communities in response to situations
in which hazardous substances are released into the environment.
The Omnibus Reconciliation Act of 1990, which extended Superfund authority, expired in
1994. Since 1994, many Congressional bills have been advanced to reauthorize the Superfund
program, but none have been enacted. Many aspects of the program that have been subject to
reauthorization proposals have been addressed through Superfund administrative reform. Through
the act of appropriations, SARA authority for the Superfund program has been extended annually.
During the 1990s, through various Defense Authorization Acts, Congress has modified provisions
of section 120, particularly those related to transfer of contaminated properties.
On January 11, 2002, President Bush signed into law the Small Business Liability Relief
and Brownfields Revitalization Act (Public Law 107-188; H.R. 2869). The law provides a new
definition of Brownfields as real property, the expansion, redevelopment, or reuse of which may
be complicated by the presence or potential presence of a hazardous substance, pollutant, or
contaminant. The law expands potential financial and technical assistance for Brownfields cleanup
and revitalization, including grants for assessment, cleanup, and job training. In addition, the law
provides limited liability relief to certain contiguous property owners and prospective purchasers
of contaminated properties, and clarifies the innocent landowner defense to encourage Brownfields
cleanup and redevelopment. The law also enhances the roles and funding for state and tribal
response programs.
I.B.2 Description of Superfund Response and Enforcement Programs
The Superfund budget reflects a continued commitment to implementing GPRA with
emphasis on completing construction at contaminated waste sites and maximizing PRP
involvement in site cleanup. Each Superfund program/project addresses a different set of goals
and priorities to achieve these objectives. The following descriptions are adapted from the Agency
Program Project Description Book.
a. Superfund Remedial (303DD2)
The Superfund remedial program implements numerous processes to determine the need
for and to conduct response actions. These processes include collecting data on sites to
determine the need for CERCLA response, adding sites to the National Priorities List
(NPL) conducting or overseeing investigations and studies to select remedies, designing
and constructing or overseeing construction of remedies and post-construction activities at
non-Federal Facility sites, including returning sites to productive use. Additionally, the
remedial program works closely with states and communities to ensure their meaningful
involvement in cleanup decisions and implementation activities. The remedial program
also conducts technical and administrative support activities to assist, monitor, and track
response actions to ensure remedies are and remain protective, to provide public
accountability, and to recover costs from PRPs, redevelopment functions, participation of
states, tribes, and communities in cleanups, and enhancement of response capabilities of
states and tribes.
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b. Superfund Emergency Response and Removal (303DC6)
EPA's Emergency Response and Removal (ERR) program responds to chemical, oil,
biological, and radiological releases and large-scale national emergencies, including
homeland security incidents. More than 250 On-Scene Coordinators and other ERR staff
ensure that releases of hazardous substances and oil in the inland zone are appropriately
addressed when state and local first responder capabilities have been exceeded or where
additional support is needed. They also direct or monitor responses by responsible parties
or other agencies. The first priority is to prevent, reduce, or mitigate threats posed by
releases or potential releases of hazardous pollutants. The ERR program prioritizes and
provides services to sites that are known to pose greater actual or potential risk to public
health and the environment. In carrying out these responsibilities, the ERR program
coordinates with other EPA programs (including the Superfund remedial program), other
federal agencies, states, tribes, and local governments.
c. Federal Facilities Response (303DC9)
The Agency's Superfund Federal Facilities response program provides technical and
regulatory oversight at Federal Facilities, including Formerly Used Defense Sites (FUDS),
to ensure protection of human health and the environment, effective program
implementation, and meaningful public involvement, while facilitating restoration and
reuse of the properties. The Federal Facilities program provides oversight of removal,
remedial, and post-remedial work conducted by other federal agencies; this may include
technical assistance, document review, and stakeholder involvement assistance to other
federal agencies when their facilities are on the NPL.
d. Superfund Enforcement (501EC7)
The Superfund enforcement program works to ensure that PRPs either clean up
contaminated sites themselves or pay for a cleanup performed by others (i.e., EPA, a state,
or other PRPs). Superfund enforcement activities include finding the companies or people
responsible for contamination at a site; determining whether those PRPs have an ability to
pay for the cleanup; maximizing PRP performance of cleanups by negotiating Remedial
Design/Remedial Action (RD/RA) and removal settlement agreements or issuing
Unilateral Administrative Orders to all appropriate parties; monitoring and ensuring PRP
compliance with performance or payment obligations under those enforcement instruments
to ensure timely and protective cleanups at Superfund sites; and addressing cost recovery
cases where Trust Fund dollars have been used to clean up sites.
e. Base Realignment and Closure (303D41 and 303D41B4)
Base Realignment and Closure (BRAC) is an EPA/Department of Defense (DoD)
supported reimbursable program carrying out accelerated cleanup at selected BRAC sites
with the ultimate goal of providing for rapid economic conversion and redevelopment for
the local communities affected by base closure. DoD provides reimbursement to EPA on
an annual basis to fund EPA work years (FTEs) for the Agency's participation at selected
DoD BRAC installations. EPA's role is to ensure protection of human health, effective
program implementation, and meaningful public involvement while facilitating restoration
and reuse of DoD's excess properties.
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f. Federal Facilities Enforcement (501EH2)
The Federal Facilities Enforcement Office as well as the Federal Facilities regional
programs ensures that federal agencies who own sites currently listed on the NPL have an
Interagency Agreement (IA) in place to ensure clean up and compliance with federal
environmental statutes and regulations. lAs are also referred to as Federal Facilities
Agreements (FFAs). The following is a detailed list of activities supporting this program.
Developing CERCLA guidance and policies for the Federal Facilities enforcement
program;
Negotiating FFAs/IAs with federal agencies whose sites are listed on the NPL;
Monitoring milestones provided in the FFAs/IAs to ensure full implementation;
Using dispute resolution to ensure full implementation of FFA/IA; and
Assessing stipulated penalties and using supplemental environmental projects when
appropriate.
LC SUPERFUND ENTERPRISE MANAGEMENT SYSTEM (SEMS)
In fiscal year (FY) 2014, the Office of Superfund Remediation and Technology Innovation
(OSRTI) completed the integration of several legacy systems into SEMS, including the
Comprehensive Environmental Response, Compensation, and Liability Information System
(CERCLIS), Superfund Document Management System (SDMS), the Institutional Controls
Tracking System (ICTS), the eFacts reporting tool, and ReportLink. The following points outline
the purpose of SEMS:
Integrating the primary Superfund data collections, reporting and tracking systems into a
single system;
Meeting both immediate and strategic, long-term Superfund needs;
Serving as an official source of primary Superfund site activity data, records, and support
documentation for internal and external stakeholders;
Improving operational effectiveness, reducing costs, streamlining business processes, and
enhancing information management capabilities; and
Adapting to meet ever-changing environmental, federal and agency needs yet tailored to
meet the unique requirements of the Superfund program.
SEMS is the Superfund program's accomplishment planning and tracking data
management system. It is the Superfund program's primary data source to answer questions from
the public, Superfund stakeholders, Congress, federal and state agencies, and EPA national
program managers on the status of Superfund program accomplishments. Regions plan current and
outyear site and non-site-specific accomplishments and resource use in SEMS as well as using the
system to report on actual accomplishments. EPA response and enforcement program activities
and milestones as well as state and PRP performance are tracked in SEMS. HQ uses SEMS data
as the basis for tracking, managing, and reporting on national program performance. SEMS also
continues to serve as the Superfund program's official repository of electronic records.
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Superfund Program Implementation Manual
FY16
Chapter II: Performance Measures, Planning and Reporting
Requirements
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CHAPTER II: Performance Measures, Planning and Reporting
Requirements
Table of Contents
II.A Introduction II-l
II.B Performance Goals and Measures II-l
II.B.l Removal Program Measure II-5
a. Removal Actions Completed II-5
II.B.2 Remedial and Federal Facilities Program Measures II-5
a. Number ofSuperfund Remedial Site Assessments Completed (Site Assessments). II-
5
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects) 77-5
c. Annual Number ofSuperfund Sites with Remedy Construction Completed (CCs) II-
6
d. Number ofSuperfund Sites with Human Exposure Under Control 11-6
e. Superfund Sites with Contaminated Groundwater Migration Under Control 11-6
f Number ofSuperfund sites Ready for Anticipated Use Sitewide (SWRA U) 11-6
g. Acres 'Protective for People Under Current Conditions' (PfP) 77-7
h. Acres 'Ready for Anticipated Use' (RAU) 77-7
II.B.3 Enforcement Program Measures II-7
a. Pre-Remedial Enforcement Action 77-7
b. Past Costs Addressed > $500,000 77-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater... II-7
d. Total Response Commitments 77-5
e. Total Cost Recovery Settlements 77-5
/ Value of PRP Oversight 77-5
II. C Annual Performance Plan and Budget Development Cycle II-8
II.C.l Outyear II-8
II.C.2 Planning Year II-9
II.C.3 Current Year II-9
II.D Planning and Reporting Cycle 11-12
II.D.l Third Quarter 11-12
a. Current Year Performance Tracking 77-72
b. Planning for the Upcoming Year 77-73
II.D.2 Fourth Quarter 11-13
a. Planning for the Upcoming Year 77-73
b. Endof Year Performance Tracking 77-73
II.D.3 First Quarter (of the subsequent year) 11-14
a. Planning for the Current Year 77-74
b. Prior Year Performance Tracking 77-74
II.E Planning, Target, and Accomplishment Reports 11-14
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II.E. 1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 11-14
II.E.2 OSRE Management Reports 11-15
II.E.3 FFRRO Management Reports 11-16
List of Exhibits
Exhibit II. 1. Superfund Performance Measures II-2
Exhibit II.2. Budget Planning Timeline 11-10
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CHAPTER II: PERFORMANCE MEASURES, PLANNING AND
REPORTING REQUIREMENTS
ILA INTRODUCTION
The Office of Emergency Management (OEM), Office of Superfund Remediation and
Technology Innovation (OSRTI), the Federal Facilities Enforcement Office (FFEO), the Office of
Site Remediation Enforcement (OSRE), and the Federal Facilities Restoration and Reuse Office
(FFRRO) are responsible for overall program planning and for reporting on Superfund program
accomplishments. This chapter describes the Environmental Protection Agency's (EPA)
performance measurement approach generally, and, more specifically, the Superfund program's
processes for planning, budgeting, tracking, and reporting progress internally and externally.
II.B PERFORMANCE GOALS AND MEASURES
The Government Performance and Results Act (GPRA) of 1993 provides a general
framework for government accountability through the use of strategic planning. Under this
framework, EPA develops strategic plans, annual performance goals and other measures, and
national program offices develop planning and tracking mechanisms as well as conduct program
evaluations to ensure the Agency meets its goals effectively and efficiently.
EPA's Strategic Plan is the foundation of the Agency's planning and budgeting process.
The Strategic Plan is a five-year plan outlining the Agency's mission that establishes quantifiable
goals and objectives, including GPRA Performance Measures, and describes the means and
strategies that EPA programs employ to accomplish environmental results over a multi-year
period. The Agency must update the Strategic Plan every three years or more often when there is
significant policy, programmatic, or other type of change to the current plan.
EPA's Annual Performance Plan defines the Agency's annual budget goals and objectives
in greater detail by linking the annual budget to the Strategic Plan. The Annual Performance Plan
contains Annual Performance Plan Commitments (Annual Commitments) for meeting the GPRA
Performance Measures in the Strategic Plan as well as additional agency performance measures.
The Annual Commitments are calculated to ensure the successful accomplishment of each five-
year cumulative GPRA Performance Measure set by the Strategic Plan. The President's annual
budget request to Congress, known as the Justification of Appropriation Estimates for the
Committee on Appropriations (also known as the Congressional Justification) also contains the
Annual Commitments.
Each year in November, the Agency publishes the Performance and Accountability Report
(PAR), which summarizes the program performance for the fiscal year (FY) just ended. The PAR
consists of three reports, a summary Highlights Report, the Agency Financial Report, and the
Annual Performance Report. The Annual Performance Report provides the results EPA achieved
against its Annual Commitments and progress toward the long-term goals established in the
Agency's Strategic Plan.
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EPA's senior leadership also tracks Key Performance Indicators (KPIs) to advance
Strategic Goals and Cross-Cutting Fundamental Strategies described in EPA's Strategic Plan. KPIs
are a subset of the existing Annual Commitments that are tracked in the Annual Commitment
System (ACS), which is a performance tracking module in the Agency's Budget Automated
System (BAS).
In addition, EPA maintains High Priority Performance Goals (HPPGs), which are
measurable commitments that represent high priorities for the Agency, have high relevance to the
public or reflect the achievement of key agency missions, and will produce significant, measurable
results over the next 12 to 24 months. The HPPGs for the Superfund program are also a subset of
the program's existing Annual Commitments.
Finally, Cross-Program Revitalization Measures are a collection of indicators and
performance measures that represent the Agency's effort to document progress toward land
revitalization across all of the Office of Solid Waste and Emergency Response's various cleanup
programs: Brownfields, Superfund, Resource Conservation and Recovery Act (RCRA) Corrective
Action, Underground Storage Tanks (UST), Federal Facilities Response, and Emergency
Response. With hundreds of communities having reclaimed formerly contaminated properties for
ecological, recreational, commercial, residential and other productive uses, EPA has recognized
the importance of measuring these revitalization accomplishments in order to better capture and
communicate their potential benefit and impact. These measures are reported through the
Superfund Program Redevelopment webpage at:
http://www.epa.gov/superfund/programs/recycle/effects/index.html.
Exhibit II. 1 identifies the venues where the Superfund measures are reported and also
identifies which Superfund programs are responsible for which measures. A description of each
measure is in the next section.
EXHIBIT ILL SUPERFUND PERFORMANCE MEASURES
Measure Name
Removal
actions
completed
annually
Number of
Superfund
remedial site
assessments
completed
(Site
Assessments)**
Strategic
Plan GPRA
Performanc
e Measures
X
X
Annual
Performance
Plan
Commitments*
X
(ACS#137)
X
(ACS #122)
Key
Performanc
e Indicators
High
Priority
Performanc
e Goals
Cross-
Program
Revitalizatio
n Measures
Responsible
Superfund
Program
Removal
Remedial,
Federal
Facilities
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Measure Name
Number of
Remedial
Action project
completions at
Superfund
National
Priorities List
(NPL) sites
(RA Projects)**
Annual number
of Superfund
sites with
remedy
construction
completed
(CCs)**
Number of
Superfund sites
with human
exposure under
control
(HEUC)**
Superfund sites
with
contaminated
groundwater
migration under
control
(GWMUC)**
Number of
Superfund sites
ready for
anticipated use
sitewide
(SWRAU)**
Acres
'Protective for
People Under
Current
Conditions'
(HP)
Acres 'Ready
for Anticipated
Use' (RAU)
Pre-Remedial
Enforcement
Action at
Superfund Sites
Strategic
Plan GPRA
Performanc
e Measures
X
X
X
Annual
Performance
Plan
Commitments *
X
(ACS #131)
X
(ACS #141)
X
(ACS #151)
X
(ACS #152)
X
(ACS #S10)
OSRE-01
Key
Performanc
e Indicators
X
(ACS #151)
X
(ACS#S10)
High
Priority
Performanc
e Goals
X
(ACS #S10)
Cross-
Program
Revitalizatio
n Measures
X
X
Responsible
Superfund
Program
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities,
Remedial,
Federal
Facilities,
Enforcement
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Measure Name
Past Costs
Addressed >
$500,000 via
Settlements,
Referral, Write-
off, or Claims
in Bankruptcy
Volume of
Contaminated
Media
Addressed
(VCMA)
Total Response
Commitments
Total Cost
Recovery
Settlements
Value of
Potentially
Responsible
Party (PRP)
Oversight
Strategic
Plan GPRA
Performanc
e Measures
X
X
Annual
Performance
Plan
Commitments *
OSRE-02
HQ-VOL
Key
Performanc
e Indicators
High
Priority
Performanc
e Goals
Cross-
Program
Revitalizatio
n Measures
Responsible
Superfund
Program
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
*Code numbers are provided for each measure tracked in ACS or the Integrated Compliance Information
System (ICIS).
**Beginning in FY 2014, performance measure results include non-NPL sites with Superfund Alternative
Approach (SAA) agreements
To support the GPRA framework, the Agency has several management and reporting tools
to track its plans and accomplishments. The Office of the Chief Financial Officer (OCFO) uses the
ACS to facilitate the development and tracking of the Annual Commitments by each EPA program,
including Superfund. OCFO annually issues National Program Manager (NPM) guidance
identifying the schedule for entering data into ACS. Coordinators in the Office of Solid Waste and
Emergency Response (OSWER) and the Office of Enforcement and Compliance Assurance
(OECA) work with their regional counterparts to ensure that the regional programs are aware of
the schedule for entering draft and final bids and final performance commitments into ACS.
Regions negotiate their own specific commitments with Headquarters (HQ) during annual work
planning sessions. The work planning process is discussed in section II.D.2 in more detail.
The Integrated Compliance Information System (ICIS) is a web-based national database
for federal (and some state) enforcement and compliance data, and is managed by OECA's Office
of Compliance. ICIS is a comprehensive tool which integrates data from all media, including
Superfund, and allows users to access multi-media enforcement and compliance data. The database
is primarily used for programmatic management of EPA's federal enforcement and compliance
(FE&C) program. ICIS is used by OECA and the regions to manage information associated with
the Volume of Contaminated Media Addressed (VCMA) GPRA measure. Annually, OECA issues
the Reporting Plan memorandum and its attachments which contain a schedule and detailed
instructions for reporting FE&C activities and results for the FY. Deputy Regional Administrators
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(DRAs) certify to the accuracy and completeness of the ICIS and the Superfund Enterprise
Management System (SEMS) data during a mid-year and end-of-year certification process lead by
the Office of Compliance.
SEMS is an internal management tool used by program staff and managers to plan and
track program activities and resource use. Various SEMS reports are used by senior Superfund
managers in the Office of Solid Waste and Emergency Response (AA OSWER), the Office of
Enforcement and Compliance Assurance (AA OECA), and the regions to monitor the progress
each region is making towards achieving annual performance goals described in the Agency's
Strategic Plan as well as help the program project future program performance.
II.B.l Removal Program Measure
a. Removal Actions Completed
This measure tracks the number of removal completions performed by EPA or overseen
by EPA where the primary responsible party has been identified and is performing the
cleanup with or without an enforcement instrument (e.g., Administrative Order on
Compliance [AOCs], Unilateral Administrative Order [UAOs] or voluntary agreements).
The Agency or Potentially Responsible Party (PRP) is responding to the release of
hazardous substances with the goal of cleaning the contamination and protecting human
health and the environment. Removal actions fall into one of three categories: 1)
emergency, 2) time-critical, and 3) non-time critical. EPA is the lead for Superfund-lead
removal actions when the responsible party cannot be identified or is unable to perform the
cleanup. Funding for these actions comes from Superfund, established as part of
Comprehensive Environmental Response, Compensation and Liability Act (CERCLA).
II.B.2 Remedial and Federal Facilities Program Measures
a. Number of Superfund Remedial Site Assessments Completed (Site Assessments)
Remedial site assessments are performed to determine and recommend the appropriate
responses to releases of hazardous substances to the environment, including whether or not
there is a need for remedial cleanup or further EPA involvement. Completing site
assessments determines which cleanup program is the best approach for addressing site
conditions (National Priorities List [NPL], removal, state voluntary cleanup program, etc.).
This also allows the program to show benefits earlier in the cleanup process. The remedial
site assessment measure also includes two related sub-measures: 1) reduce the number of
non-federal sites over five years old without a preliminary assessment completed by 10
percent; and 2) address 10 percent of non-federal sites over 16 years old without an NPL
listing decision. Federal Facilities site assessment is performed by federal agencies (E.O.
12580) and only reviewed by EPA in accordance with the Hazard Ranking System (FIRS)
criteria. More information about the site assessment measure can be found in chapter VI,
titled 'Remedial Site Assessment.'
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects)
This measure demonstrates progress in reducing risk to human health and the environment,
since multiple Remedial Action (RA) projects may be necessary prior to achieving sitewide
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construction completion. Completion of the RA is documented in a Remedial Action
Report (see Close Out Procedures for NPL Sites, OSWER 9320.2-22, May 2011}. More
information about the RA Projects measure can be found in chapter VIII, titled 'Remedial
Program.'
c. Annual Number of Superfund Sites with Remedy Construction Completed
(CCs)
Construction completion means physical construction of all cleanup actions is finished at
a site, including actions to address all immediate threats and to bring all long-term threats
under control. This measure tells the public that a site has generally entered a phase of
long-term, routine operation and maintenance. Construction completion is documented in
a Preliminary Close Out Report (see Close Out Procedures for NPL Sites, OSWER 9320.2-
22, May 2011), and requires HQ's concurrence. More information about the CCs measure
can be found in chapter VIII, titled 'Remedial Program.'
d. Number of Superfund Sites with Human Exposure Under Control
The Human Exposure Under Control (HEUC) environmental indicator documents long-
term human health protection on a sitewide basis by measuring the progress achieved in
controlling unacceptable human exposures to contamination at an NPL site. Information
about the HEUC indicator is available on EPA's website at:
http://www.epa.gov/superfund/accomp/ei/ei.htm.
More information about the HEUC indicator can be found in chapter VIII, titled 'Remedial
Program.'
e. Superfund Sites with Contaminated Groundwater Migration Under Control
The Groundwater Migration Under Control (GWMUC) environmental indicator
documents whether contamination is below protective, risk-based levels or, if not, whether
the migration of contaminated groundwater is stabilized and there is no unacceptable
discharge to surface water. Monitoring is conducted to confirm that affected groundwater
remains in the original area of contamination. Information about the GWMUC indicator is
available on EPA's website at:
http://www.epa.gov/superfund/accomp/ei/ei.htm.
More information about the GWMUC indicator can be found in chapter VIII, titled
'Remedial Program.'
f. Number of Superfund sites Ready for Anticipated Use Sitewide (SWRAU)
The Sitewide Ready for Anticipated Use (SWRAU) measure tracks sites where all physical
construction of remedies is complete, human exposure is under control, and all Institutional
Controls are in place. SWRAU demonstrates the Agency's efforts to make sites ready for
reuse. This is an integral part of the Superfund process and reflects the importance of
considering future land use as part of the cleanup. It also demonstrates that land at
Superfund sites is available for the anticipated reuse as specified in the Record of Decision
(ROD) or other decision documents. Information about the SWRAU measure is available
on EPA's website at:
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http ://www. epa. gov/superfund/programs/recycle/effects/swrau.html.
More information about the SWRAU measure can be found in chapter VIII, titled
'Remedial Program.'
g. Acres 'Protective for People Under Current Conditions' (PfP)
Before a site is ready for anticipated use, it can be protective for people. This means that
human exposure is under control, but not all remedial actions have necessarily been
completed and/or all ICs are not in place. Measuring land revitalization accomplishments
communicates the benefits of land cleanup. This measure is the number of acres and sites
where no complete pathway for human exposures to unacceptable levels of contamination
exists based on current site conditions. Information about Cross Program Revitalization
Measure (CPRM) measures, including eligible sites, is available on EPA's website at:
http://www.epa.gov/superfund/programs/recvcle/effects/cprm.html.
h. Acres 'Ready for Anticipated Use' (RAU)
Measuring land revitalization accomplishments communicates the benefits of land cleanup.
This measure communicates to the public the number of acres which are ready for
anticipated use. Information about CPRM measures, including eligible sites, is available
on EPA's website at:
http://www.epa.gov/superfund/programs/recycle/effects/cprm.html.
II.B.3 Enforcement Program Measures
a. Pre-Remedial Enforcement Action
Pre-Remedial Enforcement Action at Superfund sites is intended to maximize Potentially
Responsible Party (PRP) participation by reaching a settlement or taking an enforcement
action by the time of the RA start at 99% of non-federal Superfund sites (with RA starting
during the FY), that have known viable, liable parties. Also, see chapter X, titled
'Enforcement,' for further discussion on the measure.
b. Past Costs Addressed > $500,000
Past Costs Addressed is the decision either to take cost recovery action by use of
administrative cost recovery settlement, to transmit a section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a Consent Decree (CD)
(with no prior litigation referral); to prepare a decision document or 10-point settlement
analysis document not to pursue cost recovery, or to file a claim in bankruptcy at 100% of
sites with statute of limitations (SOL) cases and unaddressed past Superfund costs greater
than or equal to $500,000. Also, see chapter X, titled 'Enforcement,' for further discussion
on the measures.
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater
By 2018, the OECA program will obtain commitments to clean up 1,025 million cubic
yards of contaminated soil and groundwater media as a result of concluded CERCLA and
RCRA corrective action enforcement cases. Information for this target is entered into
OECA's ICIS database. Further information on calculating the VCMA may be found in
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the 'Final Methodology for Estimating Super/and and RCRA Corrective Action (CCDS)
Environmental Benefits 12-12-03.' Also, see chapter X, titled 'Enforcement,' for further
discussion on the measures.
d. Total Response Commitments
Total Response Commitments is the total universe of CERCLA enforcement instruments
(CDs, UAOs, AOCs, Consent Agreements [CAs], Bankruptcy Settlements and
Judicial/Civil Judgments [JGs]) where the parties agree to conduct cleanup work and/or
make cash payments toward future response costs at a site. The value of Total Response
Commitments is based on the estimated value of PRP response work and/or payments
(cashout) made by responsible parties toward response costs at a site. Also, see chapter X,
titled 'Enforcement,' for further discussion on the measures.
e. Total Cost Recovery Settlements
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements (CDs, AOCs, CDs, CAs, Bankruptcy Settlements, JGs, and
Administrative/Voluntary Cost Recovery actions i.e., demand letters) where the parties
agree to pay past costs to the Agency. Also, see chapter X, titled 'Enforcement,' for further
discussion on the measures.
f. Value of PRP Oversight
The Value of PRP Oversight is the total amount billed to PRPs for PRP-lead actions where
a settlement document is in place with EPA that provides for payment of federal oversight
costs. Also, see chapter X, titled 'Enforcement,' for further discussion on the measures.
// C ANNUAL PERFORMANCE PLAN AND BUDGET DEVELOPMENT
CYCLE
The Agency's budget and the Annual Performance Plan are developed hand-in-hand. The
budget development process is ongoing, and, in any given month, activities may be taking place
for several budget years at the same time. In any given year, the Agency is concurrently
formulating the President's request for the outyear budget, planning the upcoming year's budget,
and implementing (executing) the current year budget.
II.C.1 Outyear
Outyear preparation of the Annual Performance Plan and budget formulation process
begins in the spring, eighteen months prior to the start of the FY for which the budget is being
prepared. Budget formulation is guided by the Agency's Strategic Plan, the Annual Performance
Plan, agency initiatives, and other emerging priorities. The Annual Performance Plan includes
objective, results-oriented, quantifiable, and measurable performance goals; resources necessary
to meet goals; performance indicators to assess outputs, services, and outcomes; and verification
and validation procedures. Development of the budget requires identification of major program
issues, analysis of program costs, and alignment of resources among competing priorities. The
plan, initiatives, priorities, and the budget are established through a series of executive level
meetings, which take place in the late spring and early summer.
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EPA program offices generally submit budget formulation proposals to OCFO in the late
spring. SEMS outyear planning data are used to inform senior managers of Superfund program
resource trends and highlight opportunities to invest or disinvest in specific initiatives. As such,
high quality site planning data are essential. Once the proposals pass through an internal review
process, EPA submits its proposal to the Office of Management and Budget (OMB) in the late
summer. After the late fall OMB 'passback', during which time other revisions to EPA's proposals
may be made, the President submits a final budget (Annual Performance Plan and Congressional
Justification) to Congress by the first Monday in February for the new FY beginning on October
1.
II.C.2 Planning Year
The second component of the budgeting process begins the summer before the upcoming
FY and involves revising the budget in anticipation of enactment of an appropriation and
determination of the allocation of funds for the regions for the new FY. During Phase I of operating
plan development, OCFO sets preliminary targets, based on the President's budget request, for the
national programs to use for developing initial resource allocations for regional budgets by budget
object class (BOC) and other categories so that the financial system will be ready to make funds
available once an appropriation (or continuing resolution) is passed. OCFO pre-calculates the
regional targets for some of these categories, such as budgets for non-site travel, working capital
fund, workforce support, and payroll. The Superfund national program offices determine resource
allocations for the regions for the other BOC categories, including contracts and interagency
agreements, grants and cooperative agreements, and site travel, but are not required to distinguish
the allocations among these BOCs. OSWER program offices allocate most of these resources to
the regions using site allowance codes that allow these program offices to budget the use of
regional resources at a more detailed level in the Agency's financial system. OSRE does not use a
site allowance code for budgeting enforcement resources to the regions, but the OSRE regional
allocation is still often referred to as a site allowance.
Some HQ program offices (the remedial program in particular) initially assign most of the
resources to a Regional Reserve, which does not identify the specific amounts that individual
regions will receive in the upcoming year. Rather, during annual work planning meetings that start
in late summer, HQ program offices review and analyze regional Superfund implementation and
funding plans (based on SEMS data) and develop preliminary budget estimates for the regions for
the upcoming year. The financial management components of this manual focus on the use of
resources issued to the regions through the site allowances. A description of the financial
management process is outlined in chapter III, titled 'Financial Management.'
II.C.3 Current Year
Phase II of operating plan development advances the planning year into the budget
execution year as the new FY begins and the appropriation is enacted by Congress. Enacted
operating plans for HQ and regional offices are finalized in the Agency' s B AS by BOC, and OCFO
issues initial resources to the programs through the Agency's financial management system.
Those HQ Superfund program offices that maintain Regional Reserve resources will send
(issue or reprogram) these resources to individual regions throughout the course of the year in site
allowances according to site-specific allocation methodologies, formulas, or funding plans
(program-specific details are provided in the section on site allowances). For example, once funds
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become available, the HQ remedial program office will develop a preliminary ongoing
construction funding plan and issue first quarter RA and Pipeline Operations Site Allowance
resources to the regions. The HQ remedial program office will issue additional funds later in the
year, taking into consideration changing regional plans.
In some years, an appropriation is not enacted by the start of the FY, and Congress passes
one or more continuing resolutions (CR) to fund the government until a final appropriation is
enacted. Under a CR, only a portion of the annual appropriation is made available for the Agency' s
use. OCFO issues special guidance to address funding issues under the CR, and any increases,
reductions or mandated redirections are reflected in the Agency's final operating plan. Under short
term CRs, the program offices work very closely with the regions to determine the funding needs
on a monthly (or weekly) basis to ensure that the limited available resources are allocated where
needed.
Superfund HQ program offices expect regions to work within the annual regional
Superfund budgets allocated to them. Agency-wide policy allows regions and HQ offices to shift
resources among programs (e.g., Superfund remedial and Superfund enforcement) on a limited
basis throughout the year as long as they are consistent with specific program office and OCFO
policies regarding those shifts. Within a specific program (e.g., Superfund remedial), regional
Superfund program offices may shift appropriated funds among site allowances (e.g., Pipeline
Operations and Remedial Action), but only with prior HQ program office approval. HQ program
offices also use a mid-year evaluation/review process to assess progress in meeting performance
targets and to realign resources in the current FY. Current year resource adjustments focus on
changes needed due to cost and project schedule modifications. Changes may result in resource
shifts both within program areas and among regions.
Exhibit II.2 provides a timeline for the formulation, planning, and execution processes.
Timing for some activities is dependent on the completion of other actions; e.g., occasions when
Congress does not pass an appropriation by the beginning of the FY.
EXHIBIT II.2. BUDGET PLANNING TIMELINE
Month
Gutyear Budget
(FY2)
Planning Year Budget
(FY1),.''' '
Current Year Budget
(FYQ)
(From September Outyear
Budget FY)
October
(From September Plan Budget
FY)
Congress provides resources to
the Agency in the form of an
annual appropriation or
continuing resolution.
OCFO loads resources into
Compass enabling spending, and
once the appropriation is
enacted, EPA submits the
Agency's Operating Plan to
Congress to finalize the enacted
budget. OSWER develops
preliminary ongoing
construction funding plan and
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11-10
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Month
Gutyear Budget
(FY2)
Planning Year Budget
(FYlX/; '
Current Year Budget
(FYQ)
issues first quarter RA and
Pipeline Operations Site
Allowance resources to regions.
OECA and the Office of
Compliance (OC) approve
allocation of the initial technical
Enforcement Site Allowance and
the Full Year Site Allowance for
the legal case budget
November
OMB passback of budget
request
OCFO issues prior year
carryover
December
Revision to the Agency's
Strategic Plan begins
HQ appeal of the OMB budget
passback
January
OSWER issues second quarter
RA Site Allowance resources to
regions
February
President submits budget request
to Congress
March
Congressional Appropriation
Hearing on President's Budget
Third quarter Response Site
Allowances and remaining call
memo for Enforcement Site
Allowance are issued
April
Annual national goal meetings
are held
OSWER pulls programs and
financial planning information
from SEMS to help OSWER
managers develop proposals
Mid-year assessment held to
evaluate regional progress and
utilization of regional
programmatic budgets
OSWER issues third quarter RA
Site Allowance allocation to
regions. OECA issues second
allocation of Enforcement Site
Allowance resources.
May
National planning meetings are
held and NPMs submit
investment/disinvestment
proposals
OSWER generally begins to
approve recertification requests
of deobligated resources (may
occur earlier)
June
OMB sets budget targets and
OCFO issues policy for budget
formulation
Regions submit and OSWER
pulls program and financial
planning information from
SEMS (planning year budget
process begins here)
Fourth quarter response Site
Allowances calculated
July
OCFO begins review process of
national program proposals,
develops a straw budget, and
conducts a budget forum
OSWER reviews and analyzes
regional budget estimates.
Phase I operating plan
development data are entered
into BAS.
OECA develops allocation of
Enforcement Site Allowance for
Phase I operating plan.
OSWER issues fourth quarter
RA Site Allowance resources
and final allocation of Pipeline
Site Allowance resources.
HQ pulls target/accomplishment
and financial data from SEMS
for analysis of program
accomplishments and
obligation/commitment rate.
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11-11
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Month
Gutyear Budget
(FY2)
Planning Year Budget
Current Year Budget
(FYO)
August
Agency leadership makes budget
decisions and EPA submits
proposed budget to OMB on the
second Monday of the month.
OSWER/OECA/regions hold
work planning meetings to
establish budget/targets for
planning year.
OSWER/OECA continues to
pull target/accomplishment and
financial data from SEMS for
analysis of program
accomplishments and regional
obligation commitment rate.
September
(Go to beginning of Planning
Year Budget)
OSWER develops preliminary
ongoing construction funding
plan
(Go to beginning of Current
Year Budget).
II.D PLANNING AND REPORTING CYCLE
The Superfund planning and reporting process is roughly a 16-month cycle beginning in
June. The cycle ends with final accomplishment reporting after the completion of the fiscal
implementation year. Because the duration of this cycle exceeds a year, multiple cycles overlap,
which means the regions and HQ conduct reporting activity for the current year and planning
activity for subsequent years at the same time.
II.D.1 Third Quarter
a. Current Year Performance Tracking
On the sixth working day of April, OSRTI pulls second quarter planning and
accomplishment data for the current FY from SEMS. Generally, OSRE pulls second
quarter enforcement accomplishments data from SEMS and other systems on the eleventh
working day of April.
Shortly after the sixth working day of April, OSRTI transfers mid-year Annual
Performance Measures data into ACS and then regions raise performance issues using the
'Comments' field on the results screen in ACS.
In the April/May timeframe, HQ and the regions hold mid-year reviews to discuss regional
progress in achieving current year negotiated targets and regional budget utilization
(obligation rates). These discussions provide HQ and the regions with an opportunity to
assess performance, consider the impact of regional program performance on the
Superfund pipeline, and identify trends in program performance and adjust program
management strategies accordingly. These meetings also facilitate communications
regarding site-specific technical and funding issues as well more general policy and
strategic planning questions. During the mid-year review processes, the regions are also
expected to update plans to use available funds in each special account in a manner
consistent with guidance. Special accounts are discussed further in section IIIJ of chapter
III, titled 'Financial Management.'
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During this timeframe, OSRE also requests the regions to submit site and activity-specific
requests for additional extramural enforcement resources, and then allocates remaining
enforcement resources based on these submissions.
b. Planning for the Upcoming Year
In late June or early July, HQ issues a Superfund Remedial and Enforcement Work
Planning memorandum that outlines the process for the upcoming work planning sessions.
The work planning memorandum includes the schedule, scope, and areas of emphasis for
developing the upcoming year's priorities, targets, and budgets. A copy of the Superfund
Remedial and Enforcement Work Planning memorandum is included in appendix A of the
Superfund Program Implementation Manual (SPEVI).
The removal and Federal Facilities programs conduct separate work planning sessions with
the regions that address similar topic areas as the remedial program, but with a program-
specific focus. Schedules for these discussions are determined on an annual basis.
Work planning sessions between HQ program offices and the regions allow HQ to
communicate program priorities, discuss new initiatives, and obtain preliminary estimates
for program performance and funding needs for the upcoming FY. HQ may also use this
opportunity to review past and projected regional accomplishments, historical obligation
trends, and planned durations/dollars to ensure that the region is planning the appropriate
amount of work given the dollars it is requesting.
II.D.2 Fourth Quarter
a. Planning for the Upcoming Year
HQ staff will schedule work planning meetings with each region which generally take place
during August and September. Pursuant to the guidance in the Superfund Remedial and
Enforcement Work Planning memorandum, regions will enter the applicable planning data
into SEMS by dates negotiated between HQ and the region (usually three to five days
before the region's scheduled meeting), and HQ program offices will review program
target and accomplishment data before the meetings. Data to be reviewed include
projections of activities that will be undertaken (site- and non-site-specifically), annual
performance goal and other internal program measure targets that will be achieved, and
planned resources (appropriated and reimbursable) for the expected work.
b. End of Year Performance Tracking
HQ pulls preliminary end-of-year accomplishments on the fifth working day of September
as a starting point for preparing for the end-of-year assessment that occurs in November.
This information gives HQ an indication of progress expected through the end of the year
and allows the regions and HQ to identify and review final issues that may affect program
success. In the final weeks of the F Y, HQ staff from each Superfund program office will
closely monitor regions' progress toward meeting Annual Performance Plan commitments
and ensure that the accomplishment data are entered into SEMS, ACS, and ICIS in a timely
manner.
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II.D.3 First Quarter (of the subsequent year)
a. Planning for the Current Year
During the first quarter of the FY, HQ meets with the regional division directors to discuss
the national program's annual performance goals. OSRTI develops a preliminary ongoing
construction funding plan and allocates RA and Pipeline Operations Site Allowance
resources to the regions. FFRRO finalizes regional commitments and has discussions on
budget allocation during end-of-year regional work planning meetings.
b. Prior Year Performance Tracking
HQ pulls final SEMS accomplishment reports for annual performance measure
accomplishments as well as all other regional accomplishments on the eleventh working
day (holidays are not counted as a working day) of October. OSRTI and OEM annual
performance measure data are transferred to ACS by HQ after a short review period
following the eleventh working day of October. Regions explain differences that occur
between the commitment and actual performance using the 'Comments' field on the results
screen in ACS. HQ will publicly report these accomplishments in late October to mid-
November. This schedule allows regions opportunity to review end-of-year financial data,
ensure that all accomplishments are accurately reflected in SEMS, and determine when the
commitments were met.
Although OSRE coordinates end-of-year accomplishment reporting with OSWER and
OECA, OECA's accomplishments reporting schedule differs from Superfund's. Each year,
OECA issues the current FY's reporting plan. The 'Reporting Plan' describes the
enforcement and compliance reporting requirements for regional and OECA offices,
including key dates for second quarter and end-of-year data entry and reporting as well as
data certification deadlines. Typically, the annual 'Reporting Plan' is distributed to the
regions in April.
ILE PLANNING, TARGET, AND ACCOMPLISHMENT REPORTS
The following lists provide the primary SEMS reports used by HQ and the regions to track
regional performance. The first set of reports is used to establish regional targets/measures and to
evaluate and report regional accomplishments. OSRE and FFRRO-specific management reports
are also identified. OEM does not use SEMS to run any management reports.
Additionally, Superfund also maintains a set of senior management reports that illustrate
site progress through the Superfund pipeline and the involvement of PRPs in cleanup activities.
These reports include regional, state, or national views and the reports on site assessment, Federal
Facilities, construction completions, performance on annual commitments and other internal
program measures and provide a comprehensive picture of program activity.
II.E.l OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting
SCAP-002: The Site Summary Report is used by EPA to display enforcement sensitive
SEMS data for NPL and non-NPL sites.
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SCAP-004: The Financial Report will display aggregate dollars by program area and
provide both site-specific and non-site specific backup from SEMS. There will be various
options available to run the report by specific program areas.
SCAP-013: The Site Assessment Report is used for reporting site assessment plans and
accomplishments. This report tracks a wide range of site assessment activities and
complements the remedial site assessment completion data included on the SCAP-15
GPRA report.
SCAP-014: The Superfund Accomplishments Report is used to track targeting, planning,
and accomplishment actions in support of the remedial, enforcement, removal, and Federal
Facility programs.
SCAP-015: The GPRA Report is used to track GPRA performance goals and measures in
support of the Response program.
SA-006: Site Assessment Accomplishments report is used to report the results of
assessments completed during the fiscal year and the number of sites needing remedial
assessment.
SA-031: The Final Assessment Decisions report is used to report the number of final
assessment decisions (FADs) made during the fiscal year. FADs are a component of EPA's
cross-program CERCLA site assessment measure.
SA-034: Remedial Site Assessment Completion Sub-Measures report tracks progress
towards completing remedial Preliminary Assessments at sites over five years old and
making NPL listing decisions at sites over 16 years old.
II.E.2 OSRE Management Reports
ENFR-003: The Settlement Master Report is the Official OSRE accomplishment report.
This report displays and summarizes all settlements completed during the user selected
time frame. It displays the Value of Past Costs, Value of Cashout Dollars, or the Estimated
Value of PRP Response for the settlement, remedies, and other qualifier information.
ENFR-004: The PRPs, Party Listing Report displays the PRPs and their information for a
Site or all Sites associated with PRPs and their corresponding enforcement instrument or
notice letter activity.
ENFR-007: The De Minimis Settlement Report provides a master list of settlements for
Cost Recovery and Response. For each settlement, the report identifies the associated
number of Parties, Compliance Status, Start and Finish dates, Lodging or Intent to Comply
data, Statutes, Remedies, Settlement Type and Qualifier and Cost Recovery, Penalty
Cashout or Value of Work Financial data. This report is used for comprehensive planning
purposes.
ENFR-011: The Ongoing Remedial Design/Remedial Action (RD/RA) Negotiations
Timeline Report is used to track the duration of ongoing RD/RA negotiations. The report
shows categories of duration (e.g., between 60 and 120 days).
ENFR-016: The Cost Recovery Decision Documents Report provides justification why
past costs are unrecoverable and written off.
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ENFR-017: The Cost Recovery Targeting Report is a tool used to identify potential targets
for cost recovery with upcoming statute of limitations.
ENFR-022: The ROD Amendment and RD/RA Negotiations Report is used to track
RD/RA negotiation progress. The report is categorized into RD/RA negotiations started
from signed ROD and No RD/RA negotiations started from signed ROD.
ENFR-025: The Administrative/Unilateral Orders Issued Report lists AOCs and UAOs that
have been issued. The report is an audit report for the ENFR-03 Report.
ENFR-066: The RA Starts with Viable PRPs Report is the Official GPRA measure report
to track enforcement instruments for RA actions started within the user specified year with
viable PRPs.
ENFR-067: The Financial Assurance Report is used to identify response settlements where
financial assurance is required as well as a tool to monitor and track when a financial
mechanism is coming up for renewal based on the financial mechanism expiration date.
II.E.3 FFRRO Management Reports
The Federal Facility Accomplishments Report is a subset of the SCAP-014 report. It
includes several extra categories concentrating specifically on accomplishments at Federal
Facility sites (NPL, non-NPL, and Base Realignment and Closure [BRAC])
FF-005: The Federal Facility Audit Report lists all of the Federal Facility data issues
detected in SEMS for the selected FY.
FYR-003: This contains all the data formerly in the Federal Facility Five Year Review
Status Report. It lists the status of all the planned and completed Federal Facility Five Year
Reviews.
CPRM Audit-002: This contains all the data formerly in the Federal Facility Findings of
Suitability to Transfer (FOST)/Findings of Suitability to Lease (FOSL)/ Environmental
Baseline Survey (EBS) Reports and in the Federal Facilities Site Summary Report. It lists
the EBS finish date and all of the FOST, FOSL and Findings of Suitability to Early Transfer
(FOSET) that EPA has concurred on in the selected FY. Also included are summaries of
all the actions, EBSs, FOSTs, FOSLs, FOSETs and Supplemental Environmental Projects
(SEPs) for the entire history of all the Federal Facilities in the selected region(s).
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Superfund Program Implementation Manual
FY16
Chapter III: Financial Management
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CHAPTER III: Financial Management
Table of Contents
III.A Introduction III-l
III.B Financial Management Roles and Responsibilities III-l
III.B.l Regional Organization Financial Roles and Responsibilities III-l
a. Regional Administrator (unless delegated) 7/7-7
b. Regional Finance Office (RFO) 777-7
c. Regional Program Office (RPO) 777-2
d. Administrative Support Unit 777-2
III.B.2 Regional Staff Financial Roles and Responsibilities III-3
a. On-Scene Coordinator (OSC) 777-3
b. Remedial Project Manager (RPM) 777-3
c. Regional Project Officer or Deputy Project Officer 777-4
III.B.3 Headquarters Support Office Financial Roles and Responsibilities III-4
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO 777-4
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO 777-4
c. Office of Acquisition Management (OAM), OARM. 777-5
d. Office of Budget, OCFO 777-5
e. Office of Financial Management (OFM), OCFO 777-5
/ Office of 'Grants and Debarment (OGD), OARM. 777-5
g. Research Triangle Park (RTF) Finance Center, Office of Financial Services,
OCFO 777-5
III.C SuperfundAccounting Information 7/7-6
III.C.I Superfund Account Number III-6
777.7) Financial Data Management Tools 111-10
III.D.l Budget Automation System (BAS) Ill-10
III.D.2 Compass 111-10
III.D.3 Compass Data Warehouse (CDW) 111-10
III.D.4 Compass Business Objects Reporting Tool III-ll
III.D.5 Superfund Enterprise Management System (SEMS) III-ll
777.7i Handling Financial Data in the SEMS Environment 777-77
777.F Financial Vehicles 777-72
III.F.l Contracts 111-12
III.F.2 Interagency Agreements (IAs) 111-12
III.F.3 Cooperative Agreements (CAs) 111-12
III.F.4 Grants 111-13
777(7 Allocating Superfund Resources Among the Regions 777-75
III.G.l Managing Site Allowance Resources in SEMS 111-14
III.G.2 Using Prior Year Funds 111-14
a. Carryover III-l 4
b. Deobligations III-l 5
III.G.3 Removal Program Resources (PRC 303DC6) 111-15
III.G.4 Homeland Security Resources (PRC 303D72) 111-16
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III.G.5 Remedial Response Program Resources (PRC 303DD2) 111-16
a. Remedial Action Site Allowance 111-16
b. Pipeline Operations Site Allowance 111-17
III.G.6 Superfund Federal Facilities Response Program (PRC 303DC9) 111-18
III.G.7 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) HI-18
III.G.8 Enforcement Program (PRC 501EC7) 111-18
III.G.9 Federal Facilities Enforcement Program Resources (PRC 501EH2) 111-19
III.H Cost Recovery 111-19
III.H.1 Recoverable Costs 111-20
a. Direct Costs 111-20
b. Contractors' Annual Allocation Costs 111-20
c. Indirect Costs 111-20
III.I Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 111-21
III.I.l WQ SSID and WQ Action Code 111-21
a. WQSSID 111-21
b. WQ Action Code 111-22
III.I.2 ZZSSID 111-22
III.I.3 00 SSID 111-22
777.7 Superfund State Contracts (SSC) 111-23
III.J.l Cost Share Provisions 111-23
III.J.2 Constraints on Obligating Funds for RA 111-24
III.J.3 Cost Share Payments 111-24
III.J.4 Using Funds from State Cost Share Payments 111-25
III.K Special Accounts 7/7-25
777.L Using the Fiduciary Reserve to Address Cost Overruns 777-26
List of Exhibits
Exhibit III.I. Superfund Account Number Structure III-6
Exhibit III.2. Sample Superfund Appropriation Codes (Not Inclusive) III-9
Exhibit III.3. Superfund Program Results Codes and Site Allowance Codes III-9
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CHAPTER III: FINANCIAL MANAGEMENT
III.A INTRODUCTION
This chapter introduces certain financial management components important to the
Superfund program. The following section outlines responsibilities of various offices and positions
within the Agency in managing and administering Superfund resources. Section C describes the
financial vehicles used to obligate Superfund resources, and section D identifies numerous
financial data management systems and tools for tracking Superfund costs. Section E describes the
processes by which the various Superfund programs make resource allocation decisions among
the regions, and the sixth section briefly describes the cost recovery process and recoverable costs.
The final sections of this chapter address issues of special interest to financial management,
including site-specific charging policy (including bulk funding), special accounts, Superfund State
Contract (SSC) management, and using the Fiduciary Reserve. Various Superfund-specific
financial management policies issued by the Office of the Chief Financial Officer (OCFO) may be
found in the Resource Management Directives System (RMDS) 2550D at
http://intranet.epa.gov/ocfo/policies/direct/2550d.htm.
IILB FINANCIAL MANAGEMENT ROLES AND RESPONSIBILITIES
Due to the complexities of the Superfund program, numerous organizational units within
the regional Environmental Protection Agency (EPA) offices have responsibility for Superfund
financial management. This section first lists the primary regional offices with Superfund-related
financial management responsibilities and the duties for which each office has responsibility or
authority. The next section lists the financial management roles and responsibilities of several staff
positions.
111. B.I Regional Organization Financial Roles and Responsibilities
a. Regional Administrator (unless delegated)
Approves cleanup actions under removal authority
Approves consistency exemptions at National Priorities List (NPL) sites where
the removal costs are more than $2 million
Awards Interagency Agreements (IA), Cooperative Agreements (CAs), and
Technical Assistance Grants (TAG)
Enters into SSCs
Initiates response planning activities
Ensures reimbursable Base Realignment and Closure (BRAC) costs are accurate
and appropriate (1996 BRAC Guidance, section 3.2.1)
b. Regional Finance Office (RFO)
Processes Procurement Requests (PRs), Requisitions (REQs), lAs, and CAs
Establishes Site/Spill Identification code (SSID) at request of Regional Program
Office (RPO)
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Assigns Account Number, Document Control Number (DCN), and Cooperative
Agreements (CA) identification numbers to funding documents
Controls regional site allowance
Sets up regional account numbers, including SSIDs, in Compass (the Agency's
financial management system)
Enters commitments into Compass
Reviews invoices, monthly financial reports, and payment requests
Commits funds under regional contracts and modifications
Assists RPO in the pre-application phases of the CA development
Maintains Superfund document files on regional costs and handles the
compilation and review of cost documentation for cost recovery
Provides RPO with financial data as requested
Enters reprogramming information for recertification of deobligated funds into
Compass
Note that some of these functions may be performed by the RPO, Office of Financial
Services Finance Centers or other organizational units in some regions.
c. Regional Program Office (RPO)
Prepares Commitment Notices (CN), REQs, and PRs
Assigns the Account Number to funding documents
Provides technical support to the Contracting Officer (CO)
Reviews vouchers and/or financial reports
Manages CAs and lAs
Requests SSIDs from the RFO
Develops SSCs
Approves Request for Proposals (RFP) or Request for Bids and contracts
developed by the states
Monitors the transfer of financial data on contracts, lAs, and CAs from Compass
into the Superfund Enterprise Management System (SEMS);
Maintains Superfund document files on regional work performed for cost
recovery
Monitors unliquidated obligations and deobligations
Requests recertification of any deobligated funds that are not automatically
returned to Responsible Program Implementation Office (RPIO).
Note that some of these functions may be performed by the RFO or other organizational
units in some regions.
d. Administrative Support Unit
Only exists in some RPOs depending on regional structure
Provides administrative support to On-Scene Coordinators (OSC) and Remedial
Project Managers (RPM)
Provides liaison between OSC/RPM and other groups involved in administrative
matters
Provides support to regional program management
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Assists in developing regional removal or remedial budgets
Sets up and maintains active site files
Completes PRs, REQs, and CNs
Reviews Compass reports
Note that some of these functions may be performed by the RFO, or RPO, or other
organizational units in some regions.
III.B.2 Regional Staff Financial Roles and Responsibilities
a. On-Scene Coordinator (OSC)
Individual is an employee of EPA or U.S. Coast Guard (USCG)
Is an Ordering Officer (must have 'Delegation of Procurement Authority', also
called 'Warrant Authority signed by a Senior Procurement Manager)
Conducts response activities at hazardous substance spills and releases, or threats
of release
Initiates and manages cleanup actions under removal authority
Aware of, in control of, and responsible for site charges
Ensures costs are reasonable and necessary
Prepares site budgets and contract action requests
Completes Action Memoranda
Prepares delivery orders/task orders and PRs
Initiates (along with the Regional Project Officer) PRs, REQs, Work Assignments
(WAs), CAs, lAs, and contracts
Approves site-specific IA invoices
Establishes and maintains official site file
Reviews and approves cleanup contractors' charges on a daily basis
Tracks site costs against the established site ceiling
Approves contractor invoices
Acquires services using warrant for up to $250,000
b. Remedial Project Manager (RPM)
Individual is an EPA employee
Initiates and manages remedial actions and, if applicable, removal actions at
remedial sites
Manages enforcement costs and activities
Aware of, in control of, and responsible for site charges
Ensures costs are reasonable and necessary
Reviews contractor invoices and monthly technical and financial reports
Establishes and maintains official site files in coordination with the Records
Center
Initiates site-specific PRs, WAs, CAs, and lAs (along with the Regional Project
Officer)
Approves site-specific IA invoices
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c. Regional Project Officer or Deputy Project Officer
Individual is an EPA employee
Manages remedial, enforcement, removal, and general site support contracts
Evaluates and designates contractor award fees
Monitors contractors' activities
Reviews monthly contractor reports and site- specific attachments
Initiates REQs,(along with the RPM or OSC) PRs, WAs, CAs, lAs, and site-
specific contracts
Prepares Procurement Initiation Notifications (PIN) including contract Scope of
Work and Independent Government Cost Estimate (IGCE) for procurement of
Superfund Mission contracts such as Superfund Technical Assistance and
Response Team (START), Remedial Action Contract (RAC), and Emergency and
Rapid Response Services (ERRS)
Approves site-specific IA invoices
Identifies regional and site-specific contract requirements
Reviews invoices
Provides general contract management support
III.B.3 Headquarters Support Office Financial Roles and Responsibilities
Selected program offices in Headquarters (HQ), particularly within the OCFO and the
Office of Administration and Resources Management (OARM), also have Superfund Financial
Management responsibilities. Within the Office of Solid Waste and Emergency Response
(OSWER) and the Office of Enforcement and Compliance Assurance (OECA), each national
program office can address financial management issues associated with its program. Refer to
appendix B to identify the appropriate contacts within each office. Other Superfund financial
management functions provided by EPA's enabling support offices are briefly described below.
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO
Provides accounting support for all Superfund lAs
Processes disbursement requests from other agencies
Issues and processes disbursements for reimbursable activities (e.g., special
accounts) and for payment of state cost share
Enters IA obligations and disbursements into Compass
Enters all reclassification transactions into Compass
Records remedial state cost share credits into Compass
Monitors negative available balances in special accounts monthly
Calculates and applies interest earned to special accounts
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO
Provides support of Grant Payments and financial closeout of Assistance
Agreements for all of the 11 Grant Award Offices
Processes payments under EPA's Local Government Reimbursement (LGR)
program for hazardous substance, pollutant, or contaminant threat response
Provides consolidation and certification of EPA's daily grant, vendor, and travel
payments through the Treasury's Secure Payment System
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c. Office of Acquisition Management (OAM), OARM
Conducts Superfund contracting program
Negotiates, awards, monitors, modifies, and terminates contracts (some contracts
are also awarded by COs in the regions)
Provides technical guidance on contract administration
Provides cost and price analysis
d. Office of Budget, OCFO
Allocates, approves and reprograms Superfund allowances among HQ and
regions
Monitors obligations and resource balances
Processes change requests
Reviews and approves regional requests for reimbursable authority
Approves requests to recertify prior year Superfund appropriated resources that
have been deobligated and not automatically returned to original RPIO.
Issues the deobligation recertification guidance memo
e. Office of Financial Management (OFM), OCFO
Collects HQ Superfund cost documentation for cost recovery
Oversees annual allocation site-specific reporting process
Develops financial policies and procedures
Provides general accounting support
Records transfer allocations
Manages investments in the Superfund Trust Fund and calculates interest rates
Establishes and maintains accounting models in Compass
f. Office of Grants and Debarment (OGD), OARM
Issues policies, regulations, and guidance for processing, awarding, and managing
financial assistance agreements and lAs
Issues identification numbers for all lAs
Processes and awards HQ lAs
g. Research Triangle Park (RTF) Finance Center, Office of Financial Services,
OCFO
Provides accounting support for all Superfund contracts
Enters contract award and obligation data into Compass
Processes contractor invoices
Enters payments into Compass via the Contract Payment System
Conducts redistribution of costs to various sites as requested by approving official
once invoices are paid
Completes corrections on contracts and simplified acquisitions
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///. C SUPERFUND A CCOUNTINGINFORMA TION
The Agency's financial account number structure is integral to the Agency's management
of financial resources and is used for processing and tracking financial transactions with Compass,
the Agency's financial management system. The unique aspect of Superfund financial tracking
stems primarily from the need to associate EPA's incurred costs with specific Superfund sites,
Operable Units (OU) and projects to support the cost recovery process. Court actions and cost
recovery negotiations with Potentially Responsible Parties (PRP) require careful documentation
of federal costs incurred at each site/spill.
IILC.l Superfund Account Number
The account number structure is primarily comprised of six fields of data elements that
identify the specific nature of the expense. These fields are: the budget fiscal year; fund (or
appropriation); organization; program results code; project and cost organization. Exhibit III.l
provides an example of an account number and a brief definition of each of its fields. The sections
after the table provide more detail on each field.
EXHIBIT III.1. SUPERFUND ACCOUNT NUMBER STRUCTURE
Budget Fiscal
Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
0
T R 2 A
7|A|0|0|P| | |3|0|3|D|D|2
0|7|2|3|R|A|0
C|0|0|2|
Data Element
Field Name
Definition
Sample Entry
Budget Fiscal
Year
(eight
characters)
The first four positions in this field identify the beginning budget fiscal year (e.g.,
'2015'). The last four positions in this field identify the ending budget fiscal year (for
expiring funds), but these positions are not generally used by the Superfund program
and should be left blank.
2075
Fund
(six
characters)
The type of appropriation is entered into this field with up to four characters indicating
appropriation accounts and sub-accounts (e.g., 'TD', 'TR2A'). The Superfund annual
appropriation fund code is 'T'. Multi-character 'T*' fund codes represent Superfund
sub-accounts. Each year OCFO publishes an Advice of Allowance memorandum that
identifies which appropriation codes are available for use in the current fiscal year. The
most frequently used codes for obligation of Superfund resources are identified in
exhibit III.2.
TR2A
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Budget Fiscal
Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
2015
T R 2 A
7 A 0 OP
3 03 DP 2
0 72 3 R A 0 1
C|o|o|2|
Data Element
Field Name
Definition
Sample Entry
Budget
Organization
(seven
characters)
The Budget Organization field includes the Allowance Holder/ Responsibility Center
(AHRC) codes (e.g., 07H). The AHRC code can be between three and seven characters
in length.
In the regions, the first two positions represent the region and type of allowance holder
(AH) in use. The 'A' AH is represented with the regional number in the first position
and an 'A' in the second position. The '0' AH is represented by a '0' in the first
position and the regional number in the second position (e.g., Region 7 may be
represented as 07 or 7A; Region 10 is represented as 10 or OA). The 'A' AH holds
extramural appropriated resources that response program (OSWER) HQ offices have
distributed to specific Superfund site allowances for Superfund actions. The '0' AH
generally holds other regional resources such as personal compensation and benefits,
site and non-site travel resources, and certain administrative expenses. OECA does not
use the 'A' AH and distributes extramural as well as intramural resources to the '0'
AH.
At HQ, AH represents the National Program Manager (NPM) office responsible for
managing and allocating the resources (e.g., '72' for the Office of Superfund
Remediation and Technology Innovation [OSRTI], 'D3' for the Office of Emergency
Management [OEM]).
The third position of the Budget Organization is an alphanumeric character that
designates the responsibility center within the region or HQ office (see the region's
budget office for a list of these codes). The fourth position has multiple region or HQ
specific uses.
The fifth position generally represents the Superfund site allowance code (shown in
exhibit III.3) within the Response Program Results Code (PRC) (e.g., Pipeline
Operations or Remedial Action). The response program Superfund site allowance
codes are used with the 'A' AHs.
Positions five through seven may also represent a local option or congressional add-on
(e.g., CUD - counter-terrorism response) to further identify resources beyond the
appropriation code and PRCs (e.g., RSF for Recovery Act Superfund Maintenance and
Operations), or other special purposes. These uses may necessitate overriding the use
of the fifth position as a Superfund site allowance.
Certain regions use a combination of characters within the Budget Organization Field
to identify site-specific budgets for the use of special account resources. This practice
varies across regions and has not been codified.
7A OOP
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Budget Fiscal
Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
2015
T R 2 A
7 A 0 OP
3 03 DP 2
0 72 3 R A 0 1
C|o|o|2|
Data Element
Field Name
Definition
Sample Entry
Program
Results Code
(PRC)
(nine
characters)
The first six positions identify the PRC. The Agency financial strategic architecture is
designed to reflect the Agency Strategic Plan and annual commitments made under the
Government Performance and Results Act (GPRA). The PRC identifies the goal,
objective, NPM, and program/project. The remaining positions should be left blank.
Resources for Superfund Response programs are found under Goal 3, Objective 03
(the first three positions of the PRC), and resources for the Superfund enforcement and
Federal Facilities enforcement programs are found under Goal 5, Objective 01.
The most common NPMs (fourth position of the PRC) associated with Superfund are
OSWER (D), OECA (E), and OCFO (J).
Program/projects (fifth and sixth positions of the PRC) within the Superfund program
further distinguish the nature of the work within each program office (i.e., homeland
security is '72', emergency response and removal is 'C6', enforcement is 'C7', Federal
Facilities is 'C9', remedial is 'D2', and Federal Facilities enforcement is 'H2').
Positions seven through ten of the PRC are reserved for special use.
Exhibit III. 3 shows PRCs that support key Superfund response program areas for
which national program offices allocate resources to regional program offices
primarily through site allowances. Descriptions of each of the programs are given in
chapter 1, section l.B.2. The exhibit also identifies the site allowance codes that the
Response programs use to allocate resources to the regions. The site allowance codes
are found in the fifth position of the Budget Organization field.
303DD2
Project
(eight
characters
representing
different
financial
components-
SSID, Action
Code, and
Operable
Unit)
The first four positions define the SSID, which the Agency uses to account for and to
accumulate Superfund costs by site. The SSID is comprised of the regional number in
the second position (e.g., '07' for Region 7) with an alphanumeric placeholder in the
first position. For Region 10, ' 10' or ' AO' is generally entered in this position. The
third and fourth positions are alphanumeric characters that, with the rest of the SSID
uniquely identify a site or some other form of financial transaction.
Positions five and six represent the action code, which is a two character alpha code, a
listing of which can be found in chapter IV, exhibit IV. 3.
The Operable Unit number is entered in positions seven and eight (e.g., '01' for
Operable Unit 01). A unique format in the OU positions may be used for non-site
cooperative agreements awarded to states.
Generally, an SSID should be established when there is a reasonable expectation that a
future response action will be taken, but no later than either site proposal to the NPL,
execution of an action memo, or an official decision to undertake a response. Other
SSIDs (ZZ, WQ, or 00 in the third or fourth positions) denote site-specific work where
a site-specific SSID has not yet been established, or funding where the precise amount
to be charged to a site or action is not known at the time of obligation, or non-site
funding. These codes are described in more detail in section III.F.
The Project field can also be used to track conference spending and information
technology (IT) -related transactions. A unique format is used for IT related
transactions that overwrites Superfund specific uses of this field.
0723RA01
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Budget Fiscal
Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
2015
T R 2 A
7 A 0 OP
3 03 DP 2
0 72 3 R A 0 1
C|o|o|2|
Data Element
Field Name
Definition
Sample Entry
Cost
Organization
(seven
characters)
For the Superfund program, the first position of this field is system generated by 'C'.
The numerical characters in the second, third, and fourth positions represent the action
sequence number (e.g., '002' for the second occurrence of an action at a site). The
remaining positions should be left blank.
C002
EXHIBIT III.2. SAMPLE SUPERFUND APPROPRIATION CODES (NOTINCLUSIVE)
Fund Code
T
TC
TD
TR
TR1
TR2
TR2A
TR2B
Title
Superfund (this appropriation code is also used for funds obligated in fiscal
year [FY] prior to current FY and deobligated in current FY)
Superfund Carryover
Superfund Deobligations
Superfund Reimbursable - Funds-in Interagency
Agreements
Superfund Reimbursable -SSC (state match funds)
Non-Federal Special Accounts - unearned revenue (i.e., future costs)
Federal Special Accounts - unearned revenue (i.e.,
Special Accounts - earned revenue (i.e., past costs
future costs)
and interest)
EXHIBIT III.3. SUPERFUND PROGRAM RESULTS CODES AND SITE ALLOWANCE CODES
Program
Remedial Program
Remedial Action
Pipeline Operations
Removal Program
Removal Actions
Removal Support
Homeland Security
Federal Facility Response
BRAC (non-site)
BRAC (site-specific)
Enforcement - Technical and Legal
Federal Facility Enforcement
Program Results Code
303DD2
303DC6
303D72
303DC9
303D41
303D41B4
501EC7
501EH2
Site Allowance Code (BAS Local Code)
R
P
E
S
C
F
none
none
none
none
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III.D FINANCIAL DATA MANAGEMENT TOOLS
The following data management systems and tools are used to plan and track the use of
EPA and Superfund resources.
IILD.l Budget Automation System (BAS)
Budget Automation System (BAS) is the central EPA system used to integrate strategic
planning, annual planning, budgeting, and financial management for all programs across the
Agency. The system contains resource (dollars and full time equivalent [FTE]), planning, and
performance data. The system supports budget formulation, annual planning, and operating plan
development. EPA also uses BAS to record and track regional commitments of performance
targets within the Agency and project-based planning/resource allocations within Offices. BAS is
used only for reprogramming funds between program projects. Recertified funds are
reprogrammed in Compass.
III.D.2 Compass
Compass is the umbrella name for EPA's financial management and reporting system. This
system replaced an earlier financial management system, Integrated Financial Management
System (IFMS), at the beginning of fiscal year (FY) 2012. The Compass financial system supports
the general ledger, budget execution, funds control, accounts payable, disbursements, accounts
receivable and collections, travel, project cost accounting, fixed assets and standard reporting
functions. Compass is integrated with several agency financial systems, including the Bank Card
Payment System, the Fellowship Payment System (FPS), the Integrated Grants Management
System (IGMS), Concur (which replaced GovTrip in FY 2014), Property Inventory, eBusiness,
the Grants Payment Allocation System (GPAS), BAS, the Inter-Agency Doc Online Tracking
System (IDOTS), the Web Order System (WEBOS), the Small Payment Information Tracking
System (SPITS), the EPA Acquisition System (EAS), the Integrated Resource Management
System (IRMS), the Contract Payment System (CPS), and PeoplePlus.
III.D.3 Compass Data Warehouse (CDW)
The Compass Data Warehouse (CDW) is an official agency reporting tool that contains a
collection of financial and administrative data in an Oracle database pulled from Compass and
other agency systems. The CDW intranet site is only available to EPA users. CDW data are
refreshed constantly as transactions are processed in the Compass financial system.
Historical financial data in Compass and portions of the CDW are limited. While all open
(i.e., unliquidated) obligations at the end of FY 2011 were migrated to Compass, completed
transaction data only from budget fiscal year (BFY) 2001 and later are contained in Compass and
portions of the CDW. At the CDW intranet site, there is a link to Financial Data Warehouse (FDW)
queries that may be used to access historic data, which are frozen as of FY 2011. These queries
allow access to all data migrated to Compass as of the end of FY 2011 as well as historic data that
were not migrated. Neither CDW nor FDW contain certain pre-IFMS financial data, which are
stored elsewhere. Reporting out of Compass may be done through the Compass Business Objects
Reporting tool or the Compass Data Warehouse.
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III.D.4 Compass Business Objects Reporting Tool
The Compass Business Objects Reporting tool (CBOR) provides a corporate, web-based
approach to agency financial reporting and information needs. CBOR also integrates financial,
administrative and program performance information, which is useful for monitoring agency
operating activity, conducting trend analysis, and developing program strategy. Financial
information are pulled from the CDW. CBOR consists of three main components:
1. Standard Reports: Provide users with detail and summary information on automated
disbursement, budget execution, fixed assets, General Ledger accounting, and purchasing.
2. Ad Hoc Reports: Provides users with custom reporting capabilities to meet the needs of
their respective organizations.
3. Information Centers: Provide users with a platform for posting, viewing and sharing reports
of interest with multiple users across their RPIO organization.
III.D.5 Superfund Enterprise Management System (SEMS)
SEMS is a Superfund specific database that houses site- and non-site specific data
including the financial planning data that are used by program managers to monitor resource needs
and uses. SEMS contains various screens and reports that support program planning and
performance (see chapter II, titled 'Performance Measures, Planning and Reporting
Requirements'). Regions enter planned obligations in SEMS. HQ uses the Superfund
Comprehensive Accomplishments Plan (SCAP) 4 report to track regional financial planning.
Resource planning data are usually considered enforcement sensitive, since they may inadvertently
give leverage to PRPs who are negotiating settlements with EPA, and are not made available to
the public.
SEMS also imports Compass data on Superfund financial transactions (commitments,
obligations, payments; Compass does not contain any financial planning information) to enable
regions to track and manage their use of Superfund resources. Compass data are transferred nightly
into SEMS through an automated link. The SEMS interface with financial information in Compass
depends on the account codes used for resource planning and the account codes used in Compass
to conduct agency financial transactions. Compass financial information in SEMS is used for
management purposes only and is not an official representation of Superfund incurred costs.
III.E HANDLING FINANCIAL DA TA IN THE SEMS ENVIRONMENT
When regions plan resources in SEMS, SEMS will generate Superfund account numbers
(e.g., Budget Fiscal Year, Program Results Code (PRC), Budget Organization, Project, Cost
Organization, Budget Object Class, Financial Object Class) that may be used as the basis for
preparing and executing financial transactions through the Agency's financial systems. The
account number generated in SEMS must be entered on all funding documents at the time the
planned obligation is executed, i.e., committed or obligated or the Compass financial transaction
transfer to SEMS will not work properly.
The regional Information Management Coordinator (IMC) or Budget Coordinator can
request, on a regular basis, a report from the RFO that contains all Superfund financial transactions
in Compass. The information in this report can be compared with the funding documents as well
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as the information in SEMS. The CDW is another source for this information. If there is a
discrepancy between the financial data in SEMS and Compass, the funding document should be
used to verify the information in both systems.
Errors in account number or other information on the original funding document can only
be corrected by the same process used to initially create the financial record (i.e. by a contract
modification or by amendment to the IA or CA).
III.F FINANCIAL VEHICLES
EPA uses a variety of acquisition vehicles to carry out the Superfund response actions.
These include contracts, interagency agreements, grants, and cooperative agreements.
IILF.l Contracts
Superfund contracts are awarded through standard procurement procedures as outlined in
the EPA Contracts Management Manual. There are three basic types of contracting within
Superfund: site-specific, non-site specific, and support contracts. Site specific contracts are
generally awarded to support work at a particular site or project. Funds for site-specific contracts
are obligated and tracked on a site-specific basis. The non-site specific contract vehicles primarily
support program areas, such as remedial or removal program areas and include RAC, START,
Remedial Oversight Contract (ROC), ERRS, Contract Laboratory Program (CLP), and
Environmental Services Assistance Team (ESAT). Generally, the non-site support contracts are
not awarded on a site-specific basis though they allow for site-specific task or delivery orders,
funding for which can be obligated on a site-specific basis. Task or delivery orders may also be
bulk funded with the 'WQ' SSID (or 'WQ' action code) and then paid out site- or non-site-
specifically. Bulk funding (WQ) is discussed in detail in section III.H. Mission Support Contracts
are contracts that provide support to HQ and regional program offices and are not generally used
for site-specific work.
III.F.2 Interagency Agreements (lAs)
An interagency agreement (previously called TAG) is a written agreement between federal
agencies under which goods and services are provided. The Superfund program uses Disbursement
lAs to request federal agencies' assistance with site cleanups and associated activities, and to
provide ongoing support or services. HQ manages a number of lAs with other agencies, including
but not limited to, USCG, Department of Justice (DOJ), U.S. Fish and Wildlife Service (FWS),
National Oceanic and Atmospheric Administration (NOAA), and United States Army Corps of
Engineers (USAGE). Each IA specifies the services required and identifies the method of payment.
The regional program offices initiate and manage site-specific lAs.
III.F.3 Cooperative Agreements (CAs)
A Superfund CA is a legal instrument between the federal government and a state, political
subdivision, or Indian tribe (including intertribal consortia) that forms a working relationship
where both parties provide funding and services for the design and implementation of Superfund
responses. The Superfund CA ordinarily transfers money, goods or services to the recipient to lead
or support agency Superfund activities. There are several types of Superfund CAs which serve
different purposes, including pre-remedial activities, enforcement, site-specific removal and
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remedial responses, support agency functions, and general support for state Superfund programs.
These CAs have unique provisions that are described in 40 CFR Part 35 Subpart O, including
satisfying the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) provisions regarding state involvement and payment of state cost share.
Several offices are involved in the commitment process for a CA. The RPO prepares the
commitment notice and obtains the necessary program approvals; the regional finance office
certifies availability of funds, assigns DCN, and enters commitments in Compass; and the Grants
Administration Division assigns the CA identification number. The Regional Administrator (or
designee) must first sign the CA before funds may be obligated. The Las Vegas Finance Center
processes the obligation in accordance with OAM, Grants Administration Division (GAD), and
Financial Management Division (FMD) requirements and then enters the obligation into Compass.
III.F.4 Grants
The Superfund program has limited grant making authority. Specifically, the Superfund
Amendments and Reauthorization Act of 1986 (SARA) authorized the award of the TAG to
provide technical assistance to eligible communities. A TAG provides money for activities that
help communities participate in decision making at eligible Superfund sites. An initial grant up to
$50,000 is available to qualified community groups so they can contract with independent
technical advisors to interpret the technical information about the site and explain it to the
community. TAGs are available at NPL and proposed to NPL Superfund sites where response
actions have begun.
The Superfund program has limited grant making authority and thus very few grants are
awarded in the Superfund program. There is also a unique grant program, called Technical
Assistance Grants, authorized by the Superfund Amendments and Reauthorization Act of 1986
(SARA) that was established to provide technical assistance to eligible communities.. A TAG
provides funds for activities that help communities participate in decision making at eligible
Superfund sites. An initial grant up to $50,000 is available to qualified community groups so they
can contract with independent technical advisors to interpret the technical information about the
site and explain it to the community. TAGs are available at NPL sites and sites proposed to the
NPL where response actions have begun.
///. G ALLOCA TING SUPERFUND RESOURCES AMONG THE
REGIONS
Each Superfund national program office has specific procedures for allocating resources
among the regions. This section focuses on resources that the national program offices allocate to
the regions through site allowances (formerly known as Advices of Allowance), which the national
program offices may track using SEMS.
Each site allowance represents a national program office's annual allocation of extramural
resources for the regions to conduct specific program functions. Extramural resources are
identified using budget object class (BOC) codes as follows:
BOC 36 = Administrative expenses
BOC 37 = Contracts and Interagency Agreements
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BOC 41 = Grants and Cooperative Agreements.
The national program offices also have various methodologies to allocate additional
resources to the regions for other functions, namely site- and non-site-specific travel and Working
Capital Fund (BOCs 28, 21, and 38, respectively), but these resources are not generally planned in
SEMS and their distribution is not addressed in this manual. Other resources, such as those used
to pay claims, are also not generally directly planned in SEMS. Regions may use their discretion
to plan the use of BOC 38 resources, which occasionally will be allocated from regional site
allowances to fund, for example, information technology (IT) functions, in SEMS.
III.G.I Managing Site Allowance Resources in SEMS
Regions are required to plan obligations in SEMS by site allowance and/or program/project
(PRC code). Planned obligations in SEMS are site (i.e., project and OU-specific) or non-site
specific. Some planned obligations are associated with specific site activities, while other planned
obligations are estimates of total funding required for an activity within a region (i.e., bulk
funding). Regions should make sure all their programmatic funding needs are reflected in SEMS
and that they correspond with the appropriate program site allowance.
Once funds are issued to the regions, the regions are responsible for managing the funds
within each site allowance and for operating within budget ceilings, floors, and other restrictions.
Compass tracks all financial transactions in the Agency, and commitments, obligations, and
expenditures associated with the site allowance are imported into SEMS on a nightly basis to
facilitate regional management of these funds. Additionally, regions must follow agency
reprogramming guidelines issued annually by OCFO to shift resources among program/project
codes or BOCs.
III.G.2Using Prior Year Funds
Superfund appropriated resources are no-year appropriation funds. This means that EPA
does not have congressional time constraints for obligating and expending these funds. However,
OCFO issues an annual 'Advice of Allowance' policy to manage the execution of these and other
agency resources.
a. Carryover
Under OCFO's policy, the Agency effectively treats Superfund appropriated resources as
two year appropriation funds. Thus, if an organization does not obligate current BFY
resources in the current year, the funds will 'carry over' and be available for use in the
subsequent year. At the end of the second year, uncommitted/unobligated balances are
swept by the Agency and used to meet the Administrator's priorities. For example, if a
region is issued BFY 2016 remedial program funds in FY 2016, it has two years (through
FY 2017) to obligate these funds, after which time the funds will be reassigned to the
Administrator. Although this policy provides flexibility to the Superfund program,
OSWER strongly discourages the regions from carrying over any funds associated with the
response program site allowances. Because of coding complexities, it is very difficult to
track the availability and use of these funds in Compass and SEMS, and due to continual
Superfund program budget constraints and the need for HQ to carefully allocate funds
across regions, it is inappropriate for a region to not obligate funds in the year in which
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they have been provided. Special account and Superfund state cost share (reimbursable)
resources do not carry over from year to year, and reimbursable authority must be acquired
each year to establish annual available budgets for these resources.
b. Deobligations
For various reasons, a region will find that a portion of the funds obligated to a particular
activity have not been expended (referred to as unliquidated obligations) and are no longer
necessary to implement the activity. Under OCFO policy, EPA may deobligate funds
appropriated in a prior year and reuse them in a subsequent year. The deobligation and
reuse of prior year funds is a good fiscal management practice and helps offset shortfalls
in the current year Superfund budget.
Beginning in FY 2014, funds obligated in the fiscal year prior to current fiscal year return
directly to region upon deobligation and do not require recertification. For example, if a
region obligated BFY 2015 site allowance funds in 2015 and then deobligated those funds
in either 2015 or 2016, they would be immediately returned to the region's site allowance
as available balance ready for use. However, if a program deobligates funds that were
issued two or more years prior (e.g., BFY 2014 or earlier if the current year is BFY 2016),
the funds must first be recertified by OCFO pursuant to procedures described in the
Deobligation Recertification Guidance ('Deob Policy'), issued jointly by OCFO, Office of
Superfund Remediation and Technology Innovation (OSRTI), the Office of Site
Remediation Enforcement (OSRE), and Office of Emergency Management (OEM) each
year.
The Deobligation Policy also includes national program-specific policies regarding the use
of recertified funds. Depending on the program, a region may be required to recertify a
portion of the prior year deobligations to the national program office (to a 'National Pool'),
who may redistribute these funds to other regional offices based on national priorities.
Special account and Superfund state cost share (reimbursable) resources that are
deobligated return automatically to the special account or reimbursable account.
Reimbursable authority must be acquired each year to establish annual available budgets
for these resources.
Because of changes in the Agency financial management system, the Agency continues to
modify the policies and procedures for deobligating and recertifying funds. Interested staff
should carefully read the most recent Deob Policy and participate in budget and finance
community networks to keep up to date on the most current procedures.
III.G.3Removal Program Resources (PRC 303DC6)
OEM manages the removal response program budget. Removal resources are allocated in
two site allowances: the Removal Site Allowance (fifth position of the Budget Organization code
is site allowance code E) and the Removal Support Allowance (fifth position of the Budget
Organization code is site allowance code S). Both of these allowances can be used to provide
resources for emergency response and site-specific removal actions and for activities such as
removal assessments, site management, equipment procurement, and OSC training and exercises.
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Resource distribution under the removal site allowance is based upon a historical allocation
methodology as well as the annual obligation of resources.
Following enactment of the annual appropriations and establishment of the Agency's
operating plan, HQ issues funding to the regions in two increments. The first increment is
distributed during the first quarter of the fiscal year and the second at the beginning of the third
quarter. HQ also retains a small reserve for emergencies or removal actions that may exceed a
region's annual resource allocation. Regions may request these funds at any point during the year
by submitting a request along with a justification to the Office of Emergency Management
Director. If the reserve remains unobligated by August of each year, HQ will ask the regions to
submit a list of critical sites that require additional resources. Sites selected for funding will be
determined by the type of threat a site poses; i.e., potential for a significant fire, explosion or the
threat of a catastrophic release.
IILG.4Homeland Security Resources (PRC 303D72)
The Homeland Security program develops and maintains the EPA's Homeland Security
capabilities and assets in both headquarters and regions. The program ensures readiness of EPA
preparedness and response personnel through planning, training, and exercises and coordinates
Homeland Security activities with the Department of Homeland Security and other federal
agencies to ensure consistency with the National Response Framework. Homeland Security
resources are allocated under the site allowance code 'C'. Resources are distributed through the
operating plan and are allocated equally across the regions to implement core Homeland Security
preparedness programs and activities.
IILG.SRemedial Response Program Resources (PRC 303DD2)
OSRTI manages the remedial response program budget, which includes two site
allowances, Remedial Action and Pipeline Operations. Each year, OSRTI determines the amount
of resources to allocate to these site allowances based on the process for developing the Agency's
annual budget.
a. Remedial Action Site Allowance
The Remedial Action (RA) Site Allowance (fifth position of the Budget Organization site
allowance code is R) is used to allocate appropriated resources for new and ongoing
remedial actions and non-time-critical removals at NPL sites (collectively termed
'construction'), long-term response actions and five-year reviews (five year reviews may
also be planned using Pipeline Operations Site Allowance resources). Regions are required
to enter all planned obligations site-specifically into SEMS for all actions funded through
the RA Site Allowance. Five year reviews directly funded by HQ do not require financial
planning in SEMS.
Through the annual work planning process, OSRTI works with the regions to develop
funding plans for the upcoming year for ongoing construction projects, including long-term
response actions and five-year reviews. During the work planning process, OSRTI relies
on planned obligation data from SEMS, ongoing discussions with the regions, and
projections of the availability of funds to develop a preliminary ongoing construction
funding plan. Only funds that a region intends to obligate in the identified year for
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anticipated work should be planned for that year. Regions should ensure that special
account resources are planned and utilized to the maximum extent prior to entering planned
needs for appropriated funds. Once an appropriation is enacted and funds are allocated to
the national program offices through the operating plan, HQ will issue funds to the regions
based on the preliminary ongoing construction funding plan. If the fiscal year begins
without an enacted appropriation, HQ will allocate available resources to each region on a
case-specific basis until an appropriation is enacted and the Operating Plan is approved.
HQ and regions will continuously work together to update the plan based on site-specific
cost estimate adjustments that occur throughout the year. Regions must also regularly
update planned obligations in SEMS to accurately reflect the current year's expected use
of RA Site Allowance resources and to identify additional funding needs.
Regions are required to obtain OSRTI approval for any proposed changes to the ongoing
construction funding plan greater than $100,000, (e.g., shift resources among sites or
activities within the RA Site Allowance) and record all changes to planned obligations in
SEMS. Because of the changing needs of the regions during the course of the year, OSRTI
will continually monitor regional obligation rates and usage of the RA Site Allowance
resources. Based on mid-year regional reviews as well as contact throughout the year,
OSRTI will update the ongoing construction funding plan to reflect changes in regions'
resource needs as well as additional resources that may come available (e.g., through
deobligations). Unless otherwise directed by OSRTI, and except for deviations of $100,000
or less, regions are required to return allocated resources that will not be used according to
the ongoing construction funding plan to HQ by way of the reprogramming process.
OSRTI will include these resources in a national resource pool from which it will fund
remaining program priorities. Regions may not shift resources into or out of the RA Site
Allowance without prior OSRTI approval.
b. Pipeline Operations Site Allowance
Annually, HQ will determine the amount of resources to include in the Pipeline Operations
Site Allowance based on available appropriation funds. HQ distributes 95% of the Pipeline
Operations Site Allowance (fifth position of the Budget Organization code is site allowance
code P) resources among the regions based on the Pipeline Allocation Model and the
remaining 5% based on the results of regional workload discussions, as well as regional
and national priorities. The model allocates a portion of the site allowance based on
historical allocations and the remaining portion using a work-based scoring system. At the
initiation of the annual work planning process, OSRTI will provide general guidance
regarding its projections of the funding that will be available to the regions through the
Pipeline Operations Site Allowance. Using this information, each region will plan out the
use of these resources and enter its planned obligations and accomplishments into SEMS.
Pursuant to work planning discussions with HQ and refined resource allocation projections
based on the Pipeline Allocation Model, regions will finalize their program operating plans
in SEMS.
At the beginning of the fiscal year, HQ will generally issue 40% of the Pipeline Operations
Site Allowance among the regions. HQ will issue the remaining site allowance funds
during the second and third quarters. If the fiscal year begins without an enacted
appropriation, HQ will work with each region to determine its funding needs until an
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appropriation is enacted and the Operating Plan is approved. Funds from the Pipeline
Operations Site Allowance may not be moved to any other site allowance without prior
OSRTI approval.
IILG.6Superfund Federal Facilities Response Program (PRC 303DC9)
Regional Superfund Federal Facilities response budgets (fifth position of the Budget
Organization code is site allowance code F) are determined during the annual work planning
sessions. If the Agency has an enacted budget, each region will receive 50% of its portion of the
approved budget during the first quarter and will receive the remainder during the third quarter. If
a region has a low obligation/utilization rate, discussions will be held prior to third quarter
distribution as to what the need is for the remainder of the funds. To request additional funds, a
region should contact Federal Facilities Restoration and Reuse Office (FFRRO) and provide a
description of the amount needed and a justification for the funds. Funds may not be moved out of
the Federal Facilities Site Allowance without the FFRRO office director's prior approval.
IILG.TBase Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific])
To assist the Department of Defense (DoD) with cleaning up and transferring selected
BRAC I-IV properties, DoD provides resources to EPA to cover the cost for those employees
working in the BRAC program. Upon receiving transfer authority, the U.S. Army transfers BRAC
resources to EPA via a Military Interdepartmental Purchase Request (MIPR). Once the HQ Grants
Administration Division has processed a fully executed IA and Cincinnati Finance Center posts
the information, FFRRO distributes resources via a reprogramming to the various Allowance
Holders. Although resources are not loaded into Compass on an installation-specific basis, DoD
provides the funding to the Agency site-specifically. To increase or decrease the funding level for
any BRAC installation, regions must receive prior approval from HQ.
IILG.SEnforcement Program (PRC 501EC7)
The Superfund enforcement program uses program/project C7. Under program/project C7,
enforcement resources are distributed under the program code 501EC7 which are Superfund
enforcement technical and legal resources that are managed by OSRE in OECA, and program code
501JC7 which are Superfund enforcement financial management resources that are managed by
OCFO. The resources for these programs have not been assigned a site allowance code and are
identified in financial management databases by program/project. The initial operating budget for
technical and legal enforcement extramural resources are allocated based on each region's share
of the usage rate (as measured by expenditures for the current year to date and the preceding two
years) for enforcement activities. HQ allocates 60% of the President's budget request (if there has
been congressional appropriation committee mark-up, it will be the lesser of the two) in the early
phases of the Operating Plan. This initial allocation is made available as soon as there is an enacted
appropriation.
An additional allocation is made in the third quarter of the fiscal year. OSRE issues a call
to the regions in the second quarter to submit requests for additional funding. Emphasis is placed
on funding program priorities which are outlined in the call. The call considers all sources of
unallocated funding, including the remaining new obligating authority, carryover of funds from
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the previous year, projected reprogrammings, and a projection of deobligations. This second
allocation of funds is distributed in the third quarter.
IILG.9Federal Facilities Enforcement Program Resources (PRC 501EH2)
The Federal Facilities enforcement program budget consists of two components: an
Environmental Programs and Management (EPM) appropriation and a Superfund appropriation,
which are both managed by the Federal Facilities Enforcement Office (FFEO). At the beginning
of the fiscal year, Regions are asked to submit their FFEO funding requests through their Federal
Facility Enforcement Enhancement plans. The Plans outline the region's planned Federal Facility
enforcement and compliance plans for the coming fiscal year, and the regions are requested to
prioritize these funding requests. The resources consist of New Obligating Authority (NOA), and
carryover of prior year funds. The funds are disbursed by project, and monitored by HQ. The
resources for this program have not been assigned a site allowance code and are identified in
financial management databases by program/project. Funds may not move into or out of the
enforcement function without Congressional approval. Funds may be redirected within the Federal
Facility Enforcement Site Allowance and to other regions or HQ offices.
III.H COST RECOVERY
CERCLA allows the federal government, states, and some private parties to recover
response costs. If EPA does cleanup work using Superfund money, it will try to recover those costs
from PRPs. EPA is permitted to recover all costs of response that are found to not be inconsistent
with the National Contingency Plan (NCP).
EPA's cost recovery process involves documenting the costs, evaluating the factors for
pursuing recovery of those costs, notifying parties of the costs along with a demand for repayment,
and negotiating a payment agreement.
When EPA uses Superfund money for work at a site (or relating to a site), the Agency must
document all of its cleanup costs so they can be recovered later on (See the next section on
Recoverable Costs). For example, costs related to any work performed by contractors must indicate
that the work was authorized and completed. Further, cost documentation must prove that the costs
were actually incurred and paid for by the government. Costs incurred by EPA are recorded in
Compass via the use of the Account Number and are paired and presented alongside images of
supporting cost and technical documentation in the Superfund Cost Recovery Package and Image
On-Line System (SCORPIOS) to yield a complete cost recovery package.
EPA's decision to pursue cost recovery is based on the evaluation of several factors, such
as strength of liability evidence, financial strength of PRPs, and the amount of incurred costs.
As a matter of policy, EPA typically sends a written demand letter to PRPs prior to filing
a cost recovery lawsuit. The demand letter requests that the PRPs reimburse the Superfund Trust
Fund for a specified amount and triggers the accrual of prejudgment interest on the costs sought
by EPA. Following the issuance of a demand letter, EPA and PRPs will attempt to negotiate a
settlement for the reimbursement of EPA's response costs. EPA will often pursue not only costs
incurred ('past costs'), but also costs it anticipates incurring at or in connection with the site
('future costs'). If a PRP agrees to reimburse EPA for its costs, the resulting settlement will be
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documented in a judicial consent decree or in an administrative settlement. If a PRP refuses to
reimburse EPA for its costs or if a settlement agreement cannot be reached, EPA may refer the
case to the DOJ, who would then file a cost recovery action in court to recover past and/or future
costs. EPA may deposit costs recovered through settlements or judgments into special accounts
within the Superfund Trust Fund (See section III.J) to pay for cleanup activities at the site for
which it received the money if future work remains to be performed at or in connection with the
site.
IILH.l Recoverable Costs
EPA may recover all of its costs that are 'not inconsistent' with the NCP. Examples of
costs that the courts have found are recoverable include:
Planning, implementing, or overseeing cleanup actions
Investigation and monitoring
Actions to limit access to the site
Indirect costs, as computed on the direct costs incurred at or in connection with site
EPA's contractor costs
Annual allocation costs
a. Direct Costs
Direct costs are those expenses directly traced to a particular activity at a particular site.
These costs can include the following expenses incurred by EPA and the cleanup
contractor:
Time spent on a cleanup-related activity
Travel to and from the site
Contractor costs at the site
Equipment used at the site, etc.
b. Contractors' Annual Allocation Costs
Contractors' annual allocation costs include money spent by government contractors doing
site-related work not traceable to a particular site. For example, training received by
contractors in handling hazardous materials is an allocable cost. This training is essential
to Superfund cleanup site work, but the training received may be used at several sites.
On an annual basis, contractors are required to follow a documented methodology for
allocating certain non-site specific costs to sites and submit an annual allocation report to
EPA for review and approval. Annual allocation costs are computed site-specifically in
SCORPIOS to enable their cost recovery. More information is at:
http://intranet.epa.gov/ocfo/superfund_A/annual_allocation.htm.
c. Indirect Costs
Indirect costs are EPA's expenses for managing the Agency. These costs are not directly
traceable to any particular site-specific activity and include the following activities:
Superfund program support
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Agency support activities that benefit Superfund program
Non-site portion of personnel compensation and benefits
Office rent, utility, communication, supply costs, etc.
EPA uses a complex methodology, computed in SCORPIOS, for allocating these costs site-
specifically to enable their cost recovery. OCFO annually issues computed regional
indirect rates at:
http://intranet.epa.gov/ocfo/superfund_A/indirect_cost_rate.htm.
More information about indirect rates and methodology can also be found via:
http://www.epa.gov/superfund/policy/guidance.htm.
///./ SITE CHARGING POLICY (SITE-SPECIFIC, ZZ, 00 SSIDS)
The funding documents processed through EPA's administrative and financial systems
must contain enough information to assign Superfund costs properly. Consequently, EPA uses the
SSID to properly assign hazardous waste cleanup costs by site for cost recovery and reporting
purposes. The SSID is a four-character alpha-numeric code occupying the first four positions of
the Project field in EPA's Account Code Structure, as described in the Superfund Accounting
Information section of this chapter.
All costs directly associated with cleanup/response actions at or for a particular Superfund
site must be charged to a site-specific SSID for that site. Costs to be charged include salaries and
benefits, travel, rental and purchase of equipment and supplies, and those costs incurred by parties
external to EPA, such as EPA's contractors, other federal agencies, local governments, and states.
However, under some circumstances, it is impossible or impractical to charge certain
Superfund costs to a specific site. EPA uses special SSID codes for these situations (WQ, ZZ, 00).
These standard codes (see following sections) appear in the third and fourth position of the SSID
and must be used by all regions and HQ offices charging costs to the Superfund.
Refer to Direct Charging of Superfund Costs Site-Specific Cost Accounting Methods in
OCFO's RMDS Resources Management Directive System 2550D-04-P1 (and Technical
Interpretation 2550D-04-P1-T1) via: http://intranet.epa.gov/ocfo/policies/direct/2550d.htm for
more detail.
III.I.1 WQ SSID and WQ Action Code
'WQ' represents a generic code used to obligate funds when the precise amount to be
charged to a site or non-site action is not known at the time of obligation. The WQ code may be
applied to the SSID, to the action code, or to both, in the Project field in EPA's Account Code
Structure.
a. WQSSID
The WQ SSID is a generic SSID code (e.g., 02WQ) that EPA uses to obligate funds to lAs,
cooperative agreements, grants, and contracts when the precise amount to be charged to
specific sites or non-site actions is unknown at the time of obligation. Use of the WQ SSID
is called 'bulk funding'.
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Once WQ SSID obligations are expended, these costs must be redistributed from the WQ
SSID to a site-specific, ZZ, or 00 SSID (see Direct Charging of Super fund Costs Site-
Specific Cost A ccounting Me thods on the intranet). Payroll and travel may not be obligated
to the WQ SSID.
Special account funds (appropriation codes TR2, TR2A, and TR2B) and state cost share
funds (appropriation code TR1) must be obligated to site-specific SSIDs, not a WQ or non-
site SSID.
b. WQ Action Code
The WQ action code is a generic action code (described in chapter IV, titled SEMS Data
Management and Coding) that occupies the fifth and sixth positions of the Project field in
EPA's Account Code Structure. The WQ action code serves a similar function as the WQ
SSID, but applies to the type of actions that are being conducted in association with the
site or non-site SSID. Use of the WQ action code is also called 'bulk funding'. It is possible
to use both the WQ SSID and WQ action code simultaneously in the Project field of an
obligating document (e.g., 02WQWQOO). Just like the WQ SSID, once WQ action code
obligations are expended, these costs must be redistributed from the WQ action code to a
site- or non-site-specific action code. Payroll and travel may not be obligated to the WQ
action code.
As of FY 2014, special account funds must be obligated to site-specific SSIDs, but may be
obligated to a WQ action code and then redistributed action-specifically upon
disbursement. State cost share funds must be obligated to site-specific SSIDs, and site-
specific remedial action codes.
III.I.2 ZZ SSID
The 'ZZ' SSID (e.g., 02ZZ) records initial assessment costs at a Superfund site where no
SSID exists. Within the removal program, costs charged to the ZZ SSID primarily include removal
assessment and technical assistance-related costs. For the remedial program, costs charged to the
ZZ SSID generally include, but are not limited to, preliminary assessment/site inspections. If EPA
determines that a cleanup response is necessary, a site-specific SSID is set up to charge all future
costs incurred. Generally, site-specific costs associated with the Remedial Investigation and
beyond should be assigned to a site-specific SSID, not the ZZ SSID.
Once a site-specific SSID is established, the approving official, usually the project officer,
will request adjustment of previous disbursements from the ZZ SSID to the site-specific SSID.
Generally, readjustments should be conducted during the first billing cycle after the site-specific
SSID is established. Redistributions of ZZ cooperative agreement disbursements are not required
due to the complexity associated with tracking site-specific costs outside agency systems.
Additionally, ZZ intramural redistributions are not required due to the relatively low amount of
time charged. However, once a site-specific SSID is established, subsequent disbursements for the
site should not be charged to the ZZ SSID.
III.I.3 00 SSID
The '00' SSID (e.g., 0200) is used to record general non-site-specific Superfund costs or
when it is not economically feasible to charge costs on a site basis. For example, if an employee's
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time is divided among several sites in a manner that is not economically feasible to charge to a
specific site (e.g., less than 15 minutes per site), or the time cannot be tracked by site, the 00 SSID
should be used. Multi-site project management should also be charged to the 00 SSID when it is
not economically feasible to divide costs among site-specific SSIDs. Efforts spent preparing a
response to a site-specific Freedom of Information Act request for information about a particular
site are charged to the 00 SSID.
III.J SUPERFUND STA TE CONTRA CTS (SSC)
An SSC is a legally binding agreement between EPA and a state or tribe that provides the
mechanism for obtaining statutorily required state cost share and other assurances, outlines the
statement of work for the response action, includes a cost share payment schedule, and documents
responsibilities for implementation of response activities at a site. The SSC does not obligate funds
but is used to describe the state's or tribe's role when EPA or a political subdivision has the lead
for a Fund-financed remedial action or long-term response action. The SSC is signed by EPA, the
state or tribe, and, if necessary, the political subdivision. The SSC must be signed prior to the
obligation of funds for a Fund RA. The region must provide the Cincinnati Finance Center (CFC)
copies of any SSC, amendment, or closeout document within five business days.
Alternatively, where a state or tribe has the lead for a Fund RA, a remedial action CA,
which transfers resources to the state, is used to document the statutory assurances and other
requirements addressed by the SSC. When a political subdivision enters into a CA with EPA to
lead a Fund RA, the assurances must still be documented in an SSC.
Greater detail is provided below and in Subpart O of 40 CFR Part 35, and in State Cost
Share Provisions for Superfund State Contracts and Remedial Cooperative Agreements in
OCFO's RMDS Resources Management Directive System 2550D-09-P1 (and Technical
Interpretation 2550D-09-P1-T1) via: http://intranet.epa.gov/ocfo/policies/direct/2550d.htm for
more detail.
IILJ.l Cost Share Provisions
A signed SSC or remedial CA for remedial action has five statutorily required assurances,
including a remedial state cost share assurance that must be made by a state before EPA can
obligate or expend annually appropriated funds for remedial action (or long-term response action)
at a particular site. Expenditures of special account funds (see next section) are not subject to state
cost share. The following provisions address the basic components of the cost share assurance
requirements.
a. Ten percent. Where a facility, whether privately or publicly owned, was not operated by
the state or political subdivision thereof, either directly or through a contractual relationship
or otherwise, at the time of any disposal of hazardous substances at the facility, the state
must provide 10% of the cost of the remedial action, if CERCLA-funded (CERCLA
104(c)(3)(C)(i)); or
b. Fifty percent or more (herein after referred to as 50%). Where a facility was operated by a
state or political subdivision either directly or through a contractual relationship or
otherwise, at the time of any disposal of hazardous substances at the facility, the state must
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provide at least 50% of the cost of removal, remedial planning, and remedial action if the
remedial action is CERCLA-funded (CERCLA 104(c)(3)(C)(ii)); and
c. Operation and Maintenance. The state must provide an assurance that it will assume
responsibility for all future operation and maintenance (O&M) of CERCLA-funded
remedial actions for the expected life of each such action.
Based on the terms of the SSC or remedial CA, the RPO, with assistance from the RFO,
will use project and action-specific direct, extramural expenditures of Superfund annually
appropriated resources (as well as any state cost share [TR1 fund code] resources expended) to
calculate the amount of remedial state cost share liability incurred. Typically, a state's 10% cost
share will be calculated using specific action codes that correspond with the remedial action and
long-term response action; costs associated with five-year reviews are not subject to state cost
share. Other or additional action codes (for removal, planning, and design) may be included in the
cost share calculation, depending on the nature of the SSC, if the 50% cost share requirement
applies. The RPO may consult with Regional Counsel and HQ program staff to confirm the scope
of activities to be captured in the cost share calculation and to ensure consistent application across
the regions.
III. J.2 Constraints on Obligating Funds for RA
EPA may not obligate funds for Fund RA without having a signed SSC in place. When
EPA conducts an EPA-performed, Fund-financed RA, it will generally obligate funds to a
contractor or to another federal agency through an IA. EPA may obligate Remedial Design (RD)
funds to initiate the RA procurement process, up to the point of soliciting for construction bids
without a signed SSC. In cases of extreme urgency, a solicitation (for bids on RA work) may be
issued before an SSC is signed. The solicitation must notify prospective bidders that the
availability of funds for the contract is contingent on EPA and the state concluding an SSC. To
ensure that Fund monies are effectively used, procurement activities should be initiated with RD
funds only when the region is confident the SSC will be signed before bids are opened. If the SSC
is not signed before the bid opening, one of the following decisions must be made: 1) the
solicitation may be canceled; or 2) the bid opening date may be postponed (giving bidders an
opportunity to withdraw, modify, or submit new bids) (See Office of Emergency and Remedial
Response [QERR1 Directive 9735.7-02).
Among other requirements, the SSC must contain an estimated value of the remedy that
EPA will implement using Fund resources (and the state's share), the amount of cost share that the
state is assuring to provide, and a cost share payment schedule. EPA may not obligate RA resources
in excess of the estimated value of the remedy determined in the SSC. If there are increases to the
cost of the RA, the SSC must be amended to reflect the change and document the state's increased
share of the cost (See OERR Directive 9375.7-01).
III.J.3 Cost Share Payments
A state may pay for its share of response costs using cash, services, credit, or any
combination thereof. Greater detail of these cost share payment provisions and their requirements
are described in Subpart O, sections 35.6285 and 35.6815.
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1. Cash. A state may pay for its share of response cost by direct cash payments to EPA.
Payment terms are specified in the SSC between the state and EPA.
2. Services. This form of payment may be provided only through a cooperative agreement.
Where EPA (or a political subdivision) is conducting the remedial action and an SSC is
required, this form of payment must also be documented in the SSC. In-Kind Services are
described in 40 CFR 31.24.
3. Credit. A state may satisfy its cost share requirement using credits, which are limited to
state site-specific expenses that EPA determines to be reasonable, documented, direct, out-
of-pocket expenditures of non-federal funds for remedial action, as defined in CERCLA
section 101(24), that are consistent with a permanent remedy at the site.
a. Credits are established on a site-specific basis and only a state may claim credit.
b. For sites already listed on the NPL, the state may be eligible for credit only if the
state initiated the remedial action after obtaining EPA's written approval
(authorization to conduct work).
c. Expenditures of non-federal funds for removal actions, as defined in CERCLA
section 101(23), are not eligible for credit.
d. The state must first apply all credit to the site for which it was earned. With the
approval of the EPA regional administrator (or delegate), the state may use excess
credit earned at one site for its cost share at another site. EPA will not reimburse
excess credit.
III.J.4 Using Funds from State Cost Share Payments
SSC collections become part of the Superfund appropriation and are designated as
reimbursable resources using the TR1 fund code. These funds must be used at the site for which
they were collected, and EPA cannot obligate these funds until reimbursable authority has been
issued. The Office of Budget annually issues a reimbursable authority guidance memo giving
direction on requesting reimbursable authority. To receive reimbursable authority, the RPO
generally initiates a request and the RFO submits a reprogramming document in Compass to
request unobligated TR1 resources associated with the site.
To maximize the use of appropriated resources elsewhere in the program, the region should
annually assess the availability of TR1 funds at a particular site to determine whether these
resources may be used in lieu of T funds. Generally, obligations of TR1 funds, relative to T
obligations for remedial action, should roughly match the proportions specified in the cost share
contract (e.g., TR1 obligations would equal 10% of the value of total remedial action appropriation
obligations). Since resource use is a dynamic process, such estimates will necessarily be rough,
and the precise calculation of cost share amounts will occur during SSC reconciliation.
IILK SPECIAL ACCOUNTS
Special accounts are site-specific, interest bearing sub-accounts within the Superfund Trust
Fund established through settlements and used to fund site-specific work. CERCLA authorizes
EPA to retain and use funds received in settlement with PRPs to carry out corresponding settlement
agreements. The Agency's goal for the establishment and use of special accounts is to provide
cleanup dollars collected under an agreement with PRPs at sites where future response work
remains, which preserves annually appropriated resources for sites without viable PRPs. Use of
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special account resources helps to achieve cleanup without relying solely on EPA's annual
Superfund appropriations.
EPA's success in collecting funds from PRPs for future response work and placing those
funds in special accounts has required EPA to place a greater focus on managing and using those
funds. In particular, EPA manages special accounts to:
1. Ensure available special account funds are needed for future site cleanup work and are
being used as expeditiously as possible;
2. Ensure special account funds rather than appropriated resources are used for response work
as appropriate;
3. Reclassify and transfer funds to the general portion of the Superfund Trust Fund when they
are no longer needed for future cleanup work at a particular site;
4. Close special accounts where funds are no longer required for work at the site and no future
deposits are expected, and,
5. Continue special accounts data collection to more effectively monitor the planned and
actual uses for these funds.
The SEMS Special Accounts Management screen enables regions to see and enter planning
data for the use of special accounts alongside response activities and appropriated resource
planning for individual sites. Special account financial data is transferred into SEMS from CDW
on a nightly basis, with the exception of work planning and mid-year data updates. Regions are
expected to plan the use of available funds in each special account consistent with guidance.
Special account planning data should be updated at least twice a year during the work planning
and mid-year review processes, but also more frequently when a milestone is reached (e.g., an
account is established, funds are received, new planning information is available). OSRTI and
OSRE review special account planning data to ensure SEMS planning is appropriate and special
account funds are being used expeditiously to further cleanup work at sites. The 'Data Monitoring
Plan for Special Accounts' (updated March 6, 2014) provides an overview of the special account
financial and planning data that is reviewed by the regions and Headquarters during the work
planning and mid-year review processes, as well as other times throughout the fiscal year.
Several guidance documents are available to assist the planning and use of special account
funds for response actions at: http://intranet.epa.gov/oeca/osre/workgroup/sa/sa-policy.html.
IILL USING THE FIDUCIARY RESER VE TO ADDRESS COST
OVERRUNS
EPA has a strong commitment to ensure that unliquidated obligations are periodically
reviewed, and if appropriate, are deobligated and committed toward activities in need of funding.
The Agency discourages the practice of retaining funds after a project period expires. Offices
should deobligate any unliquidated obligations with expired project periods, with the exception of
funds to address immediate pending invoices (OSRTI recommends within 90 days).
The Agency's fiduciary and expired fund reserve accounts, which are monitored by the
Office of Budget, are sufficient to cover circumstances where funds were deobligated but
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subsequently needed. For Superfund, the Agency has an enhanced reserve in order to encourage
timely deobligation and to help maintain the pace of cleanups. Use of the fiduciary reserve will
not cause an Anti-deficiency Act violation. However, the Director, Office of Budget (OB), at
his/her discretion, may ask the program office responsible to reimburse the fiduciary reserve for
any overrun with current dollars if OB believes there is a need to replenish the fiduciary reserve.
Accessing the fiduciary reserve does not require Office of Budget approval, only
notification if the amount is over $50,000. The obligating official, payment official, or Contracting
Officer should fund the obligation with a modification including the appropriate accounting
information, based on the year of the overrun. Program offices should not submit new
commitments to cover these obligations.
Because of the possibility that the program office will need to replenish the reserve, if the
prior year obligation is within the remedial program and is over $50,000, the region should consult
with OSRTI, Chief of the Budget Planning and Evaluation Branch (BPEB), before proceeding to
fund the obligation. The obligating official or payment official should then notify the OB Control
Team Leader, copying the BPEB Chief. The message should include the total amount of the charge
(above and beyond any unliquidated obligation) broken down by the Budget Fiscal Year,
appropriation and amount. The OB Control Team Leader will acknowledge the notification via a
responding e-mail.
For prior year obligations of Superfund resources other than the remedial program, please
contact the appropriate program office.
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Superfund Program Implementation Manual
FY16
Chapter IV: SEMS Data Management and Coding
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CHAPTER IV: SEMS Data Management and Coding
Table of Contents
IV.A Introduction IV-1
IV.B SEMS Regional/Headquarters Roles and Responsibilities. IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-3
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
b. Data Owners IV-3
c. Office ofSuperfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch IV-4
d. OSRTI Resource Management Division - Information Management Branch . IV-4
e. OSRTI Assessment and Remediation Division (ARD) Regional Support IV-4
f. Office of Site Remediation Enforcement (OSRE) Regional Support IV-4
g. Office of Emergency Management (OEM) Regional Support IV-4
h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5
IV.C General SEMS Data Entry/Quality Control Requirements IV-5
IV.C.I Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in SEMS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
d. Removal Program IV-6
IV.C.3 Changes to Historical Accomplishments IV-7
IV.C.4 Data Validation and Verification IV-7
IV.D Activity Lead Codes IV-8
IV.E Activity Codes A vailable for Financial Transactions IV-9
IV.F Anomalies and Other SEMS Codes IV-14
IV.F.I Takeovers, Phased Indicators and Other Activity Code Anomalies IV-14
a. Takeovers IV-14
b. SEMS Coding For Takeovers IV-15
c. Phased Projects IV-17
d. Other Anomalies IV-17
e. Mega-Sites IV-18
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List of Exhibits
Exhibit IV. 1. Regional/HQ SEMS Responsibilities IV-2
Exhibit IV.2. Activity Lead Codes In SEMS IV-8
Exhibit IV.3. Activity Codes Available for Financial Transactions Sorted by SEMS activity Name
('Who Pays for What') IV-10
Exhibit IV.4. SEMS Activity Anomaly Reference Table IV-14
Exhibit IV.5a. Takeovers IV-16
Exhibit IV.Sb. Phased Projects IV-17
Exhibit IV.Sc. Other Anomalies IV-18
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CHAPTER IV: SEMS DATA MANAGEMENT AND CODING
IV.A INTRODUCTION
The Superfund Enterprise Management System (SEMS) is the Superfund program's
primary repository of program planning and accomplishment data, including resource planning
estimates and program targets and measures. Regions are primarily responsible for all Superfund
data in SEMS, which contains removal, site assessment, remedial, Federal Facility, and
enforcement program data. SEMS also contains Superfund Comprehensive Accomplishments Plan
(SCAP) reports that provide summary and detail information on site progress, target and measure
accomplishments, and resource planning. Headquarters (HQ) uses SCAP reports (and others)
internally to manage regional performance as well as to report progress to the public. The Agency
system for recording performance measure commitments and accomplishments is called the
Annual Commitment System (ACS). Before finalizing annual commitments for ACS measures,
regions enter initial bids in ACS, which may be re-negotiated with headquarters before being
finalized and locked. End-of-year accomplishment data for Superfund originates in SEMS; is
transferred to the Office of Solid Waste and Emergency Response (OSWER)'s Performance
Assessment Tool (PAT) where data are reviewed by HQ (regions are contacted as needed to clarify
data issues); and finally transferred to ACS. ACS accomplishment data must be in agreement with
the information contained in SEMS.
This chapter describes in detail how HQ and the regions use SEMS to manage resources,
planning data, and program performance within Superfund. The first section outlines
responsibilities for individual roles within the region and HQ as it relates to SEMS data entry. The
next two sections deal with SEMS data requirements and treatment of SEMS accounting data. The
final sections discuss specific SEMS codes that include program results codes, activity lead codes,
budget codes, special interest codes and qualifiers.
IV.B SEMS REGIONAL/HEADQUARTERS ROLES AND
RESPONSIBILITIES
HQ and regions have individual and shared responsibilities to ensure that planning and
accomplishment data are well maintained in SEMS. These responsibilities also extend to
participation in Superfund program performance reviews that use planning and accomplishment
data in conjunction with discussions of regional practices and national program priorities. Such
reviews enable management to recognize high performance, examine program accomplishments,
analyze and discuss issues that affect the successful operation of the Superfund program, initiate
changes in program operations or reallocate/redirect resources, and provide training and technical
assistance to those regions that are experiencing difficulties.
Exhibit IV. 1 describes general HQ/regional responsibilities for maintaining planning and
accomplishment data in SEMS, and the following subsections outline roles and responsibilities of
individual positions in the regions and HQ.
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EXHIBIT IV. 1. REGIONAL/HQ SEMS RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
Add sites into SEMS and coordinate with financial
management counterparts to assign Site/Spill
Identification code (SSID)
Plan and schedule all Superfund site activities and
related extramural budgets in SEMS in a timely
manner and in accordance with national schedules
Enter planning, budget, and accomplishment data
into SEMS
Keep all planning, budget, and accomplishment
data up-to-date in SEMS
Prepare and submit data or process change
requests, as appropriate
Ensure there is 'objective' evidence to support
accomplishment data in SEMS
Prepare information to support mid-year and
annual work planning meetings and reviews
Coordinate annual and midyear meeting with regions and
regularly communicate national program priorities
Negotiate with regions to set regional sub-targets which
total to the national Annual Target for each key program
performance measure
Determine extramural program regional funding allocations
Communicate changes in budget, SCAP process, the
Superfund Program Implementation Manual (SPIM), and
provide other program guidance that affects planning with
regions
Maintain SPIM accomplishment definitions, ensuring
SCAP logic accurately reflects definitions
Maintain functionality of SEMS and respond to regional
requests for data or process changes through the change
requests process
Ensure quality and timeliness of SEMS data by performing
periodic reviews of random data samples
Continually assess program performance, provide guidance
to, and solicit input from, regions on opportunities to
improve program performance
IV.B.l Regional Roles
a. Information Management Coordinators
The Information Management Coordinator (IMC) is a senior position which serves as
regional lead for all Superfund program and SEMS data systems management activities.
The following lead responsibilities for regional program planning and management rest
with the IMC:
Coordinate program planning, budget development, and reporting activities;
Ensure regional planning and accomplishments are complete, current, and
consistent, and accurately reflected in SEMS by working with data sponsors and
data owners;
Provide liaison to HQ on SCAP process and program review issues;
Provide liaison to regional management and data entry staff, as appropriate;
Coordinate regional reviews by HQ;
Ensure that the quality of SEMS data are such that accomplishments and planning
data can be accurately retrieved from the system; and,
Ensure there is 'objective' evidence to support accomplishment data in SEMS.
(Objective Evidence Rule: 'All transactions must be supported by objective
evidence, that is, documentation that a third party could examine and arrive at the
same conclusion.')
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b. Budget Coordinators
The Budget Coordinator (BC) serves as the regional lead for all Superfund program
resource activities. The Budget Coordinator:
Coordinates the planning, development, and reporting of resources;
Coordinates the planning and execution of regional priorities;
Communicates and implements national and regional Superfund budget policies;
Assists IMC to ensure regional resources associated with Superfund site and non-
site activities are complete, current, and consistent, and accurately reflected in
SEMS; and
Serves as regional liaison to HQ on program budget issues.
IV.B.2 HQ Roles
a. Data Sponsors
Data Sponsors include the senior staff in program offices in HQ that, along with data
owners, are responsible for the quality of data stored in SEMS. The current list of data
sponsors by program area is included in Appendix B. Data Sponsors:
Identify data needs;
Oversee the process of entering data into the system;
Use data for reporting purposes;
Conduct periodic audit reports;
Provide definitions for data elements;
Promote consistency across the Superfund program;
Initiate changes in SEMS as the program changes;
Provide guidance requiring submittal of these data;
Support the development of requirements for electronic data submission; and
Ensure there is 'objective' evidence to support the accomplishment data in SEMS
by identifying data requirements and checking to assure compliance by
performing periodic reviews of a random SEMS data samples. (Objective
Evidence Rule: 'All transactions must be supported by objective evidence, that is,
documentation that a third party could examine and arrive at the same
conclusion.')
b. Data Owners
Both HQ and the regions are Data Owners. The primary responsibilities of Data Owners
are to:
Enter and maintain data in SEMS, and
Assume responsibility for complete, current, consistent, and accurate data.
Ensure there is 'objective' evidence to support accomplishment data in SEMS.
(Objective Evidence Rule: 'All transactions must be supported by objective
evidence, that is, documentation that a third party could examine and arrive at the
same conclusion.')
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c. Office of Superfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch
The Budget Planning and Evaluation Branch (BPEB) provides leadership for budgeting,
program planning, and program analysis for the Office of Superfund Remediation and
Technology Innovation (OSRTI). The branch coordinates regional work planning and
review efforts, including negotiating regional pipeline action performance targets during
annual work planning, tracking performance progress during midyear discussions, and
preparing year-end summary analyses. BPEB is also responsible for distributing and
monitoring Remedial Action (RA) and Pipeline Operations Site Allowance funds,
coordinating the annual regional unliquidated obligation analyses, and tracking and
providing OSRTI approval of recertifications of deobligated/reclassified funds to the
National RA Pool.
d. OSRTI Resource Management Division - Information Management Branch
The Information Management Branch (1MB) provides leadership for information
management, office automation, records management and program measurement functions
throughout OSRTI. 1MB designs, implements, and maintains SEMS, oversees the
Superfund program's nationwide data quality efforts, and consults with HQ program
offices on the development and operation of program databases and systems. 1MB also
manages the implementation of office automation systems and productivity tools for
OSRTI and works closely with the Budget, Planning and Evaluation Branch, as well as
with other staff throughout the other branches, to conduct comprehensive program
evaluations of the Superfund program.
e. OSRTI Assessment and Remediation Division (ARD) Regional Support
OSRTI's Assessment and Remediation Division (ARD) generally includes the primary
contacts for regions regarding site-specific issues and is often the primary conduit to
regions for communicating and interpreting national policies related to the remedial
program.
f. Office of Site Remediation Enforcement (OSRE) Regional Support
The Office of Site Remediation Enforcement's (OSRE) Program Evaluation and
Coordination Branch (PECB) in the Policy and Program Evaluation Division (PPED) has
established specific contacts, who communicate with regions on a variety of Superfund
enforcement related matters including site-specific matters, national priorities, SEMS data,
Integrated Compliance Information System (ICIS) data, and enforcement resource matters.
g. Office of Emergency Management (OEM) Regional Support
The Office of Emergency Management's (OEM) Preparedness and Response Operations
Division (PROD) has specific contacts assigned to provide information to each region and
to address questions or issues raised by any region that is associated with removal activities
and Homeland Security. The Resources Management Division (RMD) supports OEM
removal activities through analysis, planning, and budget support for the program. This
includes measures planning and tracking, data quality assurance, resource allocation and
redistribution, and other activities as required.
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h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support
The Federal Facilities Restoration and Reuse Office (FFRRO) has specific contacts who
serve as the primary contacts for regions regarding site-specific issues and national policy.
FFRRO works closely with OSRTI on issues that may have an impact upon both the federal
and private cleanup programs in the regions.
IV. C GENERAL SEMS DA TA ENTR Y/QUALITY CONTROL
REQUIREMENTS
This section addresses several issues regarding SEMS data entry and data quality of
activities that are reported in SEMS.
IV.C.l Quality and Timeliness of Data Entry
It is essential that planning and accomplishment data in SEMS remain current and up-to-
date throughout the year and that accomplishments are reported as they occur. At a minimum, HQ
pulls targets and measures accomplishment data from SEMS at mid-year and end of year.
However, Environmental Protection Agency (EPA) managers, other agencies, and the public
continually request up-to-date accomplishment, budget, and site-specific data from the program
on a quick turnaround basis. Data needs to be consistent and timely to avoid confusion with data
provided in prior data requests or by more than one entity.
All activities at National Priorities List (NPL) sites and sites with a Superfund Alternative
Approach (SAA) agreement should be planned out through the entire cleanup cycle as early as
possible. During the Remedial Investigation/Feasibility Study (RI/FS), the regions should enter
into SEMS all the estimated planned start and completion dates for future activities. Site schedule
and financial planning information should be reviewed and updated on an ongoing basis. If
changes in planning information (schedule and/or funding needs) warrant changes in SEMS, the
data owner is responsible for making the changes within five working days after being made aware
of the need for the change. Regions should ensure accomplishments data are reflected in SEMS
within five working days of the activity occurring unless otherwise noted in the program-specific
chapters of this manual.
HQ only recognizes targets and accomplishments that are correctly reported in SEMS
through SCAP reports. Although HQ may perform data quality checks and inform regions of
discrepancies, regions are responsible for performing data quality checks and making adjustments
to SEMS if the database or reports do not reflect accurate targets or actual accomplishments.
Regions should ensure planning and accomplishment data is reflected in SEMS within five
working days of the end of the quarter in which it occurred.
IV.C.2 Setting Targets in SEMS
a. Remedial Program
Regions use the Targets and Work planning screen in SEMS to select targets. Information
on this screen as well as the SCAP 4 and SCAP 14 is used to review regional plans and
targets during work planning and midyear review discussions between HQ and the region.
The procedures and schedule for finalizing summary and detail level targets are typically
FY 16 SPIM IV-5 September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
provided in the annual work planning memo issued annually by OSRTI and OSRE. Some
targets are non-site-specific estimates of the number of accomplishments of an activity a
region will achieve. However, in a number of instances, regions must set targets site-
specifically. In many cases site substitutions are allowed, however, five-year review targets
are site-specific and substitutions are not allowed. Sites targeted for five-year reviews must
be completed by the statutory due date.
Under the Superfund Pipeline Site Allowance allocation methodology, regions must set
site-specific targets for a subset of pipeline activities (government [GOVT] RI/FS,
Potentially Responsible Party [PRP] RI/FS, GOVT Remedial Design (RD), PRP RD, and
PRP Remedial Action [RA Starts]) in order to obtain Pipeline resources. For these
activities, regions must ensure that detail level targets match summary level targets within
the SCAP 14. Although regions have flexibility to alter their site-specific plans after
Pipeline resources are allocated, HQ will use only a region's original overall numerical
targets for the resource allocation calculation the following year (e.g., if a region originally
targets 10 RD starts for the year and is allocated resources based on that value, the model
will use the target of 10 RD starts the following year as its basis for calculating the region's
resource allocation. This process occurs regardless of whether the region reduced or
increased its target because the model takes into consideration the portion of the previous
year's target that the region met when allocating the following year's resources. Therefore
the region has incentive to target accurately in the current year.) Although regions have
flexibility to alter plans, the regions are still accountable for meeting the targets established
at the beginning of the fiscal year (FY). Regions should discuss with HQ any issues that
may affect the meeting of negotiated annual targets during the mid-year reviews.
b. Federal Facilities Program
An annual memo is transmitted to the regions to convey dates and targeting expectations
before work planning meetings. Regions are expected to set targets for RI/FS Starts,
Decision Documents, Final Remedy Selected, RA Starts, RA Completions, Five-Year
Review Completions, Construction Completions, and Sitewide Ready for Anticipated Use.
c. Enforcement Program
Targets must be set site-specifically for negotiations and for past costs addressed greater
than $500,000. It is vital to the management of the cost recovery program that sites with
upcoming statute of limitations (SOL) be addressed prior to the expiration of the SOL.
Therefore, regions will not be allowed to substitute targeted sites that have SOLs occurring
within the current fiscal year or in the first quarter of the upcoming fiscal year. Regions are
required to submit their final SOL targets to OSRE before September 30th and to ensure
that all final SOL targets are identified in SEMS by fiscal year quarter and appear on the
SCAP-14 report.
d. Removal Program
HQ and the regional offices discuss the regional targets at several points every year. For
removal activities, the target being monitored is the number of removal completions (Fund-
lead and PRP-lead combined) completed for the fiscal year. The targets are set in the prior
September 30, 2015 IV-6 FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
fiscal year, and each region's progress on reaching their target is checked on during mid-
year calls with the regions.
IV.C.3 Changes to Historical Accomplishments
While the Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS) had an 'accomplishment lockout' feature that maintained a record
of all changes to historical accomplishments, comparable functionality does not yet exist in SEMS.
In the interim, each region should establish procedures to ensure that the appropriate individuals
have knowledge of and approve of any accomplishment changes.
A regional manager shall approve in writing (e.g., email to appropriate individuals), each
change made to historical accomplishment data. Only regional IMCs, and individuals designated
by the IMC, shall have access or authority to change/add/delete data once the written approval has
been received. Approval documentation must be maintained by the IMC for the duration of the life
cycle of the data changed (up to seven years).
IV.C.4 Data Validation and Verification
The Government Performance and Results Act (GPRA) requires that an agency address its
verification and validation procedures for performance data in the annual performance plan. SEMS
data verification and validation procedures are incorporated as part of the Superfund program's
submission to the Agency's annual performance plan.
A key component of SEMS verification/validation procedures is the regional SEMS Data
Entry Control Plan. The control plans include: 1) regional policies and procedures for entering
data into SEMS; 2) a review process to ensure that all Superfund accomplishments are supported
by source documentation; 3) delegation of authorities for approval of data input into SEMS; and
4) procedures to ensure that reported accomplishments meet accomplishment definitions. In
addition, regions document in their control plans the roles and responsibilities of key regional
employees responsible for SEMS data (e.g., regional project manager, information management
coordinator, supervisor, etc.), and the processes to assure that SEMS data are current, complete,
consistent, and accurate.
Regions are required to update their SEMS Data Entry Control Plan at least annually,
unless otherwise directed by HQ. HQ reviews these plans for conformance to national guidance,
and suggests improvements where necessary.
In addition, regions are required to submit to their regional Superfund Records Center the
document that constitutes or justifies an accomplishment date (start or finish) recorded in SEMS.
(Documentation requirements for these dates can be found in the later chapters of this manual
under the description of the applicable target or measure.) When submitting the documentation to
its Records Center, the region should provide the target/measure category and the SEMS operable
unit (OU)/activity name/sequence number. The regional Records Center is to include these SCAP
data with the document index metadata, and provide the document index number from its tracking
system for entry into SEMS associated with the applicable accomplishment date. Once the
document has been loaded into SEMS, regional data entry staff should then ensure that the
document is properly associated to the activity. Within the site schedule in SEMS, select the Site
Activity tab, and then the Accomplishment (SCAP) Details tab in order to associate documents.
FY 16 SPIM IV-7 September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
IV.D ACTIVITY LEAD CODES
SEMS uses multiple mechanisms to identify entities that are performing individual
activities and the sources of funding for those activities. The site schedule in SEMS subdivides the
major pipeline functions (e.g., Removal, RI/FS, RD, RA, LR) within each program area into
GOVT, PRP and Federal Facility (FF) performed actions. Program accomplishments in the SCAP
14 are measured on the basis of these subdivisions. These subdivisions signify the entity type
performing the identified activities in the schedule.
'Performance' lead codes allow regions to specify the entity that is conducting the work.
Performance lead codes for GOVT activities identify which organization is performing the activity
itself (e.g., EPA in-house, EPA [contractors], State, Tribe). Performance lead codes for PRP
activities identify the organization performing the oversight of the PRP-conducted response action
(e.g., EPA in-house, EPA [contractors], State, Tribe). Oversight of work conducted by federal
agencies under the Federal Facilities program use the 'Federal Facilities' performance lead code.
Performance lead codes may be assigned in the Work Package Info tab screen for each work
package selected through the Site Schedule in SEMS but are only required for those activities that
are recorded in the SCAP 14 Accomplishments report.
'Financial' lead codes are used to distinguish the various sources of funding used to either
conduct or oversee the activity. Generally, sources of funding are subdivided into three groups,
annually appropriated resources (in SEMS, state cost share resources are included in this category),
special accounts, and mixed sources. Under SEMS, regions use the 'mixed source financing' code
to represent multiple sources of funding for the same activity and do not have to determine whether
a specific source provides the majority of funding that activity. Financial lead codes may be
assigned in the Work Package Info tab screen for each work package selected through the Site
Schedule in SEMS but are only required for those activities associated with financial transactions.
Under SEMS, leads for actions that are not recognized as performance accomplishments
(i.e., state deferral, state action/oversight without a formal EPA agreement, state Record of
Decision [ROD] without EPA concurrence) are designated with the use of anomaly codes, rather
than lead codes. These codes are also entered in the Work Package Info tab screen for each work
package selected through the Site Schedule in SEMS.
The table below identifies the codes and definitions of the Performance and Financial lead
codes used in SEMS.
EXHIBIT IV.2. ACTIVITY LEAD CODES IN SEMS
Lead
Code
-Name . . .
Description
Performing Leads
EP
F
FF
EPA Performed In-House
EPA Performed
Federal Facilities Performed
EPA-performed response/enforcement actions using intramural
resources.
EPA-performed response/enforcement actions using extramural
resources.
Federal Facility -performed response actions conducted under EPA
oversight using extramural resources.
September 3 0,2015
IV-8
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
PE
PS
PT
RP
S
TR
EPA Oversight In-House
State Oversight
Tribe Oversight
EPA Oversight
State Performed
Tribe Performed
PRP-performed response actions conducted under EPA oversight using
intramural resources.
PRP- or federal agency performed response actions conducted under the
oversight of a state pursuant to a Cooperative Agreement (CA) with
EPA, a Superfund Memorandum of Agreement (SMOA), or other formal
document between EPA and the state that allows EPA review of PRP
deliverables. If no formal agreement exists, use in conjunction with the
SR anomaly code.
PRP- or federal agency performed response actions conducted under the
oversight of a tribe pursuant to a CA with EPA, a Tribal Memorandum of
Agreement (TMOA), or other formal document between EPA and the
tribe that allows EPA review of PRP deliverables.
PRP-performed response actions conducted under EPA oversight using
extramural resources.
State-performed response/enforcement actions conducted pursuant to a
CA with EPA, a SMOA, or other formal document between EPA and the
state that allows EPA review of state deliverables. If no formal
agreement exists, use in conjunction with the SN anomaly code.
Tribe-performed response/enforcement actions conducted pursuant to a
CA with EPA, a TMOA, or other formal document between EPA and the
tribe that allows EPA review of tribal deliverables.
Financial Leads
FU
MS
OT
SP
Fund Financing
Mixed Source Financing
Other Financing
Special Account Financing
Financed with appropriated resources and/or state cost share resources
Financed with a combination of appropriated, special account resources,
or other resources
Financed by other Superfund reimbursables (e.g., TR, TR3) or non-
Superfund related sources (e.g., state, Federal Emergency Management
Agency (FEMA), Underground Storage Tank (UST), Oil)
Financed with special account resources only.
Historical Performance Leads (retained as Performance lead only for historic actions)
CG
CO
OH
PP
Coast Guard
Comm Org
Other
Prosp Purch
Work performed by the Coast Guard - Limited to removals (Historic)
Community Organization (Historic)
Other lead (Historic)
Response actions funded by DoD performed at a Base Realignment and
Closure (BRAC) site by a non-federal party that takes title to the BRAC
property pursuant to Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) 120(h)(3)(C) (Historic)
IV.E ACTIVITY CODES AVAILABLE FOR FINANCIAL TRANSACTIONS
There are hundreds of activity codes available for use in SEMS to assist regions in planning
activities and recording accomplishments for regional and national program management. To
simplify and facilitate consistent financial transaction coding in SEMS and Compass, the Agency's
financial management system, the Superfund programs have determined that regions should assign
financial planning and obligation information to only a subset of these activities. Exhibit IV.3
identifies those activity codes that regions may use for planning obligations in SEMS as well as
the appropriate Program Results Codes (PRC), Site Allowance(s) (SA), and SSID types (Site
FY 16 SPIM
IV-9
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
Designators) associated with them. For most activities, SEMS will assign the correct PRC, SA,
and SSID type to a planned obligation, depending on the activity for which resources are planned.
For certain activities, multiple options are possible and these choices are available (and required)
to be selected in the Site Obligations and Non-Site Obligations Planning screens in SEMS.
EXHIBIT IV.3. ACTIVITY CODES AVAILABLE FOR FINANCIAL TRANSACTIONS SORTED BY
SEMS ACTIVITY NAME ('WHO PAYS FOR WHAT')
, FY2016 STIPERFUNB ACTIVITY CODES FOB-FINANCIAL TRANSACTIONS SORT1D BY - .
' ' , ' '. . : ACTWITYNAME . ' , . ,;
:; ' -' : .', " : "Activity. ." = .:,': " , '.
Administrative Records
Aerial Survey (formerly Pre-Remedial/Remedial Survey)
Alternate Dispute Resolution
Bulk Funding
For extramural use only. May commit and obligate to
this action code but must expend (redistribute) to a
different action code.
CERCLA Criminal Litigation - 501EC7 is for HQ
(Department of Justice [DOJ] Interagency Agreements
[IAs]) use only.
Claim in Bankruptcy Proceedings
Combined RI/FS
Community Involvement (non-Federal Facility)
May plan with WQ SSID but must obligate site-
specifically.
Compliance Enforcement
Contract Management
Cost Recovery Negotiation
Design Assistance
Emergency PRP Removal
(Emergency Removals Without an Enforceable Instrument)
Engineering Evaluation/Cost Analysis (EE/CA)
ESI/RI
Expanded Site Inspection (ESI)
Feasibility Study
Federal Facility and BRAC General Support and
Management
303D41 is for payroll costs only.
FF Community Involvement
FF ESI Review
FF Five Year Review
Code
AR
AS
AD
WQ
CC
CB
CO
CR
uz
JU
NE
DA
PJ
EE
SS
ES
FS
TX
LZ
TZ
VY
,; : PRC
303DC6
303DC9
303DD2
501EC7
303DC6
303DC9
303DD2
303DD2
501EC7
303DC6
303DC9
303DD2
501EC7
501EC7
501E52
501EC7
303DD2
303DC6
303DD2
501EC7
303DC6
303DC9
303DD2
501EC7
501EC7
303DD2
303DC6
303DC6
303DC6
303DC9
303DD2
303DD2
303DD2
303DD2
303DC9
303D41
303DC9
303DD2
SA .,
S
FF
P
E
S
FF
P
P
E
S
FF
P
E
E
E
E
P
S
P
E
S
FF
P
E
E
P
RV
S
S
FF
P
P
P
P
FF
FF
FF
P
-SiteDei,* . ,.
S
S
S
S
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
S
S
S
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
S
S
S
S
S
S
S
S
S
00
00
S
S, WQ, ZZ
Not Available-Use FF Oversight (OX)
September 3 0,2015
IV-10
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
r *:^^f YJMSIWimf tJNimCTIV^
:, . v, ' . . ACTIVITYNAME . .' ., ,, - ',, ', ' '
, ' " .- - -.- . ; Activity ; =' , ' ' . ":: - .-' ,.
FFFS
FFLR
FF Oversight
FF Oversight (Site-Specific BRAC Costs) - 303D41XB4 is
for payroll and site travel only.
FF PA Review
FFRA
FFRD
FF Removal
FFRI
FF RI/FS
FF SI Review
Five-Year Review
May obligate to WQ SSID but must plan/outlay site-
specifically.
Five-Year Review Addendum
May obligate to WQ SSID but must plan/outlay site-
specifically.
Forward Planning/ Redevelopment/ Reuse
General Support and Management
General Enforcement
Generic PA/SI
303DC9 is for HQ use only.
Groundwater Monitoring (Post-ROD)
Hazard Ranking System (HRS) Package
303DC9 is for HQ use only.
Information Management Support
Laboratory Support
Legal Review and Analysis
Litigation - Generic
Long Term Response Action (LTRA)
Management Assistance
Multi-Site Cooperative Agreement
Code
NI
MZ
OX
RX
LY
LX
LV
NH
LW
TY
FE
WV
FM
BM
GE
QB
GM
HR
IJ
LA
PS
LT
LR
MA
MS
,:: PBC V-
SA-
. :Site Deiv
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
303DC9
303D41XB4
303DD2
FF
P
S
S
S, WQ, ZZ
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
303DD2
303DD2
303DD2
303DD2
303DD2
303DD2
303DC6
303DD2
501EC7
501JC7
501EH2
303DD2
303DC9
303DD2
303DC9
303DD2
303DC9
303DC6
303DC9
303DD2
501EC7
303DC6
303DC9
303DD2
501EC7
501EC7
501EC7
501JC7
303DD2
P
P
RA
P
RA
P
S
P
E
FFE
P
FF
P
FF
P
FF
S
FF
P
E
S
FF
P
E
E
E
RA
S, WQ, ZZ
S, WQ
S, WQ
S, WQ
S, WQ
S
00
00
00
00
00
S, WQ, ZZ
S, WQ, ZZ
S
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
s,zz
S
S
S
Renamed-See State Support Agency
Cooperative Agreement (MA)
Not Available-Use State Support
Agency Cooperative Agreement (MA),
Generic PA/SI (QB), or Bulk Funding
(WQ), as appropriate
FY 16 SPIM
IV-11
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
r ^^FYJMSIWimFtJNimCTtVIW
:, . v, ' . . ACTWITYNAME . .' ., ,, - ',, ', ' '
, ' " .- - -.- . ; Activity ; =' , ' ' . ":: - .-' ,.
Negotiation - Generic
Non-NPL PRP Search - For expending unliquidated
obligations only. Use QV for new obligations.
NPL RP Search - For expending unliquidated obligations
only. Use QV for new obligations.
Operation and Maintenance (O&M) - Use Trust Fund
resources only to oversee O&M. Use reimbursable
resources to conduct or oversee O&M.
Prospective Purchaser Agreement (PPA) Assessment
Pre-CERCLA Screening
Preliminary Assessment (PA)
Preparation of Cost Documentation
PRPFS
PRPLR
PRPRA
PRPRD
PRP Removal
Use Pipeline Site Allowance only for Remedial Program
Projects.
PRPRI
PRPRI/FS
PRP Search
RA Contractor Acquisition
RD/RA Negotiation
Real Property Acquisition
Records Management
Remedial Action
Remedial Design
Remedial Investigation
Removal - May plan with WQ SSID but must obligate
site-specifically.
Use RA Site Allowance only for Remedial Program
Projects.
Removal Assessment
Removal Negotiation
Research and Development
RI/FS Negotiation
RI/FS Scoping
Risk/Health Assessment
Section 104(E) Referral Litigation
Code
NG
RP
NS
OM
QX
HX
PA
PC
NK
ME
BF
BE
BB
NA
BD
QV
ZB
AN
RL
SW
RA
RD
RI
RV
RS
RN
BG
FN
ZA
ED
SF
,:: PBC V-
501EC7
501JC7
501EH2
SA-
E
FFE
. :Site Deiv
S
S
S
Not Available-Use PRP Search (QV)
Not Available-Use PRP Search (QV)
303DC9
303DD2
501EC7
303DD2
303DD2
501EC7
501JC7
303DD2
303DD2
303DD2
303DD2
303DC6
303DC6
303DD2
303DD2
303DD2
501EC7
303DD2
501EC7
303DD2
303DC6
303DC9
303DD2
501EC7
501EH2
303DD2
303DD2
303DD2
303DC6
303DC6
303DD2
303DC6
303DC6
501EC7
303DD2
501EC7
303DD2
303DC9
303DD2
501EC7
FF
P
E
P
P
E
P
P
P
P
RV
S
P
P
P
E
P
E
P
S
FF
P
E
FFE
RA
P
P
RV
S
RA
RV
S
E
P
E
P
FF
P
E
S
S
S
S, WQ, ZZ
S, WQ, ZZ
S
S
S
S
S
S
S
S
S
S
S
S, WQ, ZZ
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S
S
S
S
S
S
S, WQ, ZZ
S, WQ, ZZ
S
S, WQ, ZZ
S
S
S
S
S
September 3 0,2015
IV-12
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
r^^FY^rSilPmFtJNDAlCTtVIW'eO^
:, . v, ' . . ACTIVITYNAME . .' ., ,, - ',, ', ' '
, ' " .- - -.- . ; Activity ; =' , ' ' . ":: - .-' ,.
Section 106 Litigation
Section 106/107 Litigation
Section 107 Litigation
Senior Environmental Employee (SEE) Program - For
extramural use only.
Site Inspection (SI)
Site Reassessment
Site Security and Maintenance
Site-Specific BRAC Costs
State Core Program - For extramural use only.
State Support Agency Cooperative Agreement (formerly
Management Assistance) - For extramural use only.
Technical Assistance
Technical Assistance Grant - For extramural use only. May
plan with WQ SSID but must obligate site-specifically.
Training
Treatability Study
Tribal Core Program - For extramural use only.
Tribal Support Agency Cooperative Agreement
For extramural use only.
Code
SX
CL
sv
SM
SI
00
PD
PX
SK
MA
TA
TG
TH
TS
TK
TJ
,:: PBC V-
501EC7
501EC7
501EC7
303DC6
303DC9
303DD2
501EC7
303DD2
303DD2
303DD2
SA-
E
E
E
S
FF
P
E
P
P
P
. :Site Desv
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
S, WQ, ZZ
S
Not Available Use FF Oversight
(OX)
303DD2
303DC9
303DD2
303DC6
303DC9
303DD2
303DC9
303DD2
303DC6
303DD2
501EC7
303DD2
303DD2
303DC9
303DD2
P
FF
P
S
FF
P
FF
P
S
P
E
P
P
FF
P
00
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S
S
00
00
00
S
00
S, WQ, ZZ
S, WQ, ZZ
Site (SSID) Designators
S
WQ
ZZ
00
Site-specific obligation
Unspecified obligation; outlays must be redistributed to S, ZZ or 00 site designators;
may not be used with special accounts
Site related (ZZ) obligation for site assessment; may not be used with special accounts
Non-site (00) obligation; may not be used with special accounts
Site Allowances (SA)
Site Allowance Code
E (not in SEMS)
FFE (not in SEMS)
FF
RV
S
P
RA
Site Allowance Name
Enforcement
Federal Facilities Enforcement
Federal Facility Response
Removal
Removal Support
Pipeline Operations
Remedial Action
Compass Budget Org Code, Fifth
Position
No Compass Budget Org Code
No Compass Budget Org Code
F
E
S
P
R
FY 16 SPIM
IV-13
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
IV. F ANOMALIES AND OTHER SEMS CODES
IV.F.l Takeovers, Phased Indicators and Other Activity Code Anomalies
Activity anomaly codes (labeled Takeover or Lead Changes/Phased Indicators in SCAP
reports) are used to signify activities that for some reason should not appear as valid starts or
finishes in SCAP planning and accomplishment reports but which still require tracking. There are
four general categories of anomaly codes: Takeover, Phased, Other Anomaly and Voluntary
Cleanup. Exhibit IV.4 is a reference table of all action anomaly codes in SEMS.
EXHIBIT IV.4. SEMS ACTIVITY ANOMALY REFERENCE TABLE
SEMS Activity Anomaly Reference Table
Code
TO
TN
TT
PS
PC
PB
OS
OC
OA
VC
SD
SN
SR
SW
Description
Original Action Take Over
New Action Resulting from Take Over
Takeover of an Action Taken Over
Phased Start
Phased Completion
Phased Start & Completion
Other Start Anomaly
Other Completion Anomaly
Other Start and Completion Anomaly
Voluntary Cleanup; use in conjunction with S Performance
Lead code
State Deferral; use in conjunction with S Performance
Lead code
State Performed, No EPA Funding or CA; use in
conjunction with S Performance Lead code
PRP Under State Order, No Agreement with EPA; use in
conjunction with PS Performance Lead code
State ROD, No EPA Concurrence; use only with ROD
activity code; use in conjunction with S Performance Lead
code
a. Takeovers
Over the course of a cleanup at a site, the lead for the various cleanup phases may change.
For example, EPA may perform an RI/FS (GOVT RI/FS), but pursuant to a consent decree
(CD) or administrative order on consent (AOC), a PRP may take responsibility to perform
the RD (PRP RD). This form of lead change is not a takeover, because each entity is
responsible for a discrete phase of work.
A takeover occurs when there is a change in the entity performing a response action after
the activity has been initiated but before it is completed. A takeover typically occurs when
the PRP is unable or unwilling (e.g., due to non-compliance with an AO or CD) to complete
an activity (e.g., PRP RD) that it started to perform, and a government agency must perform
(take over) the activity. In such a case, the original PRP Performed activity should be
terminated in SEMS and a new GOVT Performed activity started using the appropriate
anomaly codes (see below for takeover coding instructions).
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In order to avoid delays resulting from lead changes, the November 14, 1991, OSWER
Directive 9800.1-01, 'Limiting Lead Transfers to Private Parties During Discrete Phases
of the Remedial Process,' encourages lead changes between discrete phase of response
activity, and discourages PRP takeovers of EPA performed actions that are already
underway, except in unusual circumstances. The limitations in this policy do not apply to
EPA takeovers of PRP work or lead changes involving states. See the OSWER Directive
at http://www2.epa. gov/sites/production/files/2013-10/documents/lead-trans-rpt.pdf.
Although early site assessment activities will be GOVT Performed, response lead changes
can occur at any of the following points in the process:
Prior to development of an EE/CA for an non-time critical (NTC) removal action;
PriortotheESI/RIorRI/FS;
Prior to the FS if the RI and FS are being done separately;
After the ROD is signed and prior to beginning the RD or RA; or
Prior to RA contract solicitation, when funding the RA would have significant
implications for the GOVT and when no significant delays will occur.
When circumstances warrant passing the lead to PRPs during a phase of cleanup, steps
should be taken to minimize potential causes of delay. For example, if PRPs assume the
lead during the RI/FS, they should be given a limit of 60 days to enter into an AOC for
performing the work.
If a PRP is allowed to take over a GOVT-fmanced response activity after dollars have been
obligated, the region should deobligate any unliquidated obligations, and use the region's
available annually appropriated funds, deobligations, or special account funds to pay for
oversight of the response activity conducted by the PRP.
b. SEMS Coding For Takeovers
Using SEMS codes to identify takeovers will prevent reporting of multiple starts and
finishes for the same response activity on SCAP planning and accomplishment reports. A
takeover creates a new activity, but does not create a new OU. In the case where one entity
takes over an activity from another, the region must establish a new activity with the
appropriate Performance lead code as well as apply the appropriate the Activity Anomaly
Codes to both the original activity and the new activity.
The finish date of the original activity must be the same as the start date of the new activity.
Takeover/Phased Indicators must be entered for both activities. The 'Original Activity
Takeover (TO)' indicator is used to flag the original activity which has the change in lead,
whereas a 'New Activity Resulting from Takeover (TN)' indicator is used to flag the new
activity.
On rare occasions, an activity that has been taken over requires an additional lead change.
For example, EPA reaches settlement with the PRPs after an EPA performed activity (e.g.,
GOVT RI/FS) has begun. The original GOVT RI/FS is terminated and a new PRP RI/FS
is started. After the PRPs start work, EPA experiences problems with the PRPs in meeting
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deadlines or in the quality of the work. As a result, EPA makes a decision to take over the
PRP- financed activity.
The first three steps below describe the SEMS data entry for a takeover scenario. All 5
steps describe the data entry for a takeover and subsequent takeover of a takeover. Exhibit
IV.Sa provides examples of the SEMS coding for a takeover and a takeover of a takeovers.
1. The original GOVT RI/FS activity is added to SEMS with the appropriate start
date. The 'F' Performance lead code is selected in the Work Package Info tab
screen for the GOVT RI/FS work package to indicate that EPA is performing the
action (i.e., rather than the state).
2. After the PRP takes over the GOVT RI/FS work, the appropriate finish date is
entered for the original GOVT RI/FS. The TO indicator is selected in the Work
Package Info tab screen.
3. A new PRP RI/FS activity is added under the same OU with the same start date as
the finish date of the original GOVT RI/FS. The TN indicator is selected in the
Work Package Info tab screen for this activity. The 'RP' Performance lead code is
selected in the Work Package Info tab screen to indicate that EPA is overseeing
the PRP response (i.e., rather than the state).
4. After EPA takes over the PRP RI/FS work, the appropriate finish date is entered
for the PRP RI/FS. The TT indicator ('Takeover of an Action Taken Over') is
selected in the Work Package Info tab screen (this replaces the previously used
TN anomaly code).
5. A new GOVT RI/FS activity is added under the same OU with the same start date
as the finish date of the PRP RI/FS. The TN indicator is selected in the Work
Package Info tab screen for this activity. The 'F' Performance lead code is
selected in the Work Package Info tab screen to indicate that EPA is performing
the action.
EXHIBIT IV.SA. TAKEOVERS
/OU
Activity
Name
Seq
Perf
Lead
Act Start
Act Conip
Takeover/
Phased
Indicator
Comments
Takeover Coding for PRP taking over GOVT RI/FS
01
01
GOVT
Combined
RI/FS
PRP RI/FS
001
002
F
RP
8/1/1997
12/1/1997
12/1/1997
3/1/1998
TO
TN
Original Activity Takeover-no
Completion accomplishment
New Activity Resulting from
Takeover-no Start
accomplishment
Takeover Coding for EPA taking over the PRP takeover of the GOVT RI/FS
01
01
GOVT
Combined
RI/FS
PRP RI/FS
001
002
F
RP
8/1/1997
12/1/1997
12/1/1997
3/1/1998
TO
TT
Original Activity Takeover-no
Completion accomplishment
Takeover of an Action Taken
Over no Start or Completion
accomplishment
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01
GOVT
Combined
RI/FS
003
F
3/1/1998
9/1/1999
TN
New Activity Resulting from
Takeover-no Start
accomplishment
c. Phased Projects
At any stage in the cleanup process, a project may be phased or time-sequenced to
accelerate the cleanup effort. Phasing is complementary to OUs. Whereas OUs break large,
complex projects into smaller, more manageable work elements, phasing is a method to
accelerate the implementation of projects within OUs. Phasing manipulates the internal
steps required to complete each OU, thereby optimizing the overall schedule of a GOVT
RA that, for example, requires site clearing prior to constructing an incinerator. The
clearing would be one phase of the GOVT RA, while the construction of the incinerator
would be a second phase. In the case of a phased project, only the start of the initial activity
and the finish of the final activity are recorded as valid accomplishments in SCAP
accomplishment reports.
A region will enter into SEMS a separate activity, under the same OU, for each phase of
the action that is to be tracked uniquely. Phases of each response activity are shown in
SEMS by the use of the Takeover/Phased Indicators of 'Phased Start (PS)' and 'Phased
Complete (PC)' or 'Phased Start and Completion (PB)' Funding required for each of the
phases is tracked against the phase. However, the duration of the project is calculated from
the date the first phase started to the date the last phase is finished.
In cases where HQ makes decisions to fund certain components of a GOVT RA project
that used Fund financing (i.e., the FU financial lead code), HQ may direct a region to use
or not use phased project coding in order to accurately depict the funding decision.
EXHIBIT IV.5B. PHASED PROJECTS
'OU
01
01
01
Activity '
Name
GOVTRD
GOVTRD
GOVTRD
Seq
001
002
003
Perf
Lead
F
F
F
Act Start
8/1/1997
12/1/1997
3/1/1998
Act Comp
12/1/1997
3/1/1998
9/1/1999
Takeover/
Phased
Indicator
PC
PB
PS
Comments
Phase I (Phased Completion-no
Completion accomplishment)
Phase II (Phased Both-no Start
or Completion accomplishment)
Phase III (Phased Start-No Start
accomplishment)
d. Other Anomalies
Anomalies are those projects that do not fit the normal definitions of pipeline activities.
Anomalies can be those projects that 1) should not appear on a SCAP planning and
accomplishment report, but still need to be tracked or 2) occur out of the ordinary pipeline
progression. Additionally, projects that are permanently suspended or discontinued should
be assigned a finish date when such determination is made, and use the appropriate
anomaly code to signify the activity's status.
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An example of a SCAP anomaly occurs when different entities conduct FS work
simultaneously that leads to a single ROD. Since it is inconsistent to report more FS starts
than finishes (the Agency would have to explain why FS work is not leading to a ROD),
the SCAP planning and accomplishment report should identify only one start and finish for
one FS. These projects are coded under the same OU with multiple sequence numbers and
those FSs that should not appear in the SCAP report should be assigned a Takeover/Phased
Indicator of 'Other Start and Completion Anomaly (OA).'
In addition, certain codes that had been identified as lead codes under CERCLIS have
become anomaly codes under SEMS. These codes represent activities with unique leads
that are tracked in SEMS but are not included in SCAP accomplishment reports.
EXHIBIT IV.5C. OTHER ANOMALIES
OU
01
01
01
01
01
01
01
01
Activity '
Name
PRPRI/FS
PRPFS
GOVT
RI/FS
Combined
GOVT
RI/FS
Combined
GOVT
RI/FS
Combined
GOVT
RI/FS
Combined
GOVT
RI/FS
ROD
Seq
001
001
001
001
001
001
001
001
Perf
Lead
RP
RP
F
S
S
S
PS
S
Act Start
8/1/1997
12/1/1997
3/1/1998
3/1/1998
3/1/1998
3/1/1998
3/1/1998
3/1/1998
Act Comp
12/1/1997
3/1/1998
9/1/1999
9/1/1999
9/1/1999
9/1/1999
9/1/1999
9/1/1999
Takeover/
Phased
Indicator
OS
OA
OC
vc
SD
SN
SR
SW
Comments
Other Start-No Start
accomplishment
Other Anomaly-No Start or
Completion accomplishment
Other Completion-No
Completion accomplishment
Voluntary Cleanup; use in
conjunction with S Performance
Lead code
State Deferral; use in
conjunction with S Performance
Lead code
State-financed (no Fund dollars)
response actions performed by
the state (applies to response
actions); use in conjunction with
S Performance Lead code
PRP response under a state
order/ CD where no EPA
oversight support or money is
provided through a CA and no
other formal agreement exists
between EPA and the state
(applies to response actions); use
in conjunction with PS
Performance Lead code
State ROD without EPA
concurrence; use only with ROD
activity code; use in conjunction
with S Performance Lead code
e.
Mega-Sites
Generally, a site is considered to be a mega-site if the combined extramural, actual and
planned, removal and remedial action costs incurred by Superfund or by PRPs are greater
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than $50 million. The mega-site designation may be applied to any federal or non-Federal
Facility NPL or non-NPL site. For the purposes of reporting in SEMS, a site should receive
the mega-site (MS) special interest code if:
the cumulative value of the extramural capital costs of all selected remedies (as
expressed in decision documents such as RODs, ROD amendments, or action
memoranda) exceeds $50 million; OR
the cumulative estimated value of all PRP or Federal Facility actual and expected
extramural capital costs (as memorialized in documents such as settlements,
orders, or Memorandums of Agreement [MO A]) for removal or remedial action
response activities (excluding Long Term Response Action [LTRA]) at the site
exceeds $50 million; OR
the cumulative value of net actual extramural obligations for GOVT-fmanced
removal and remedial actions (excluding LTRA) at the site exceeds $50 million;
OR
the cumulative estimated value of post-ROD (or post-action memorandum),
removal, and remedial action obligations (excluding LTRA) planned in SEMS for
the selected remedies at the site exceeds $50 million; OR
the cumulative value of any combination of the above costs exceeds $50 million.
A site is defined as a potential mega-site (MP) if the region, using its best judgment, expects
that the total costs of removal and remedial actions will exceed $50 million, but the
documentation of actual or expected costs (e.g., through decision or settlement documents
or actual obligations) does not currently exist. Once such documentation is developed, the
site should be reassigned as MS. Conversely, if new information suggests that the site is
not a mega-site, the MP or MS special interest code should be removed.
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Superfund Program Implementation Manual
FY16
Chapter V: Site Information
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Chapter V: Site Information
Table of Contents
V.A Introduction V-l
V.B Initiating Program V-l
V.C Identification (ID) Numbers V-l
V.D Site Name. V-2
V.E Site Location/Geospatial Information V-3
V.F Alias Name/Location V-4
V.G Federal Facility Status V-4
V.H Formerly Used Defense Sites (FUDS) V-5
V.I Preliminary Assessment (PA) Petitions V-5
V.J Site Type Category/Sub-Category V-5
V.K NPL Status. V-6
V.L Non-NPL Status V-8
V.M Tribal Data V-9
V.N Special Interest V-10
V.O Eligible Response Site and No Further Federal Action Designations V-ll
V.P Site Inventory Designations V-12
V.Q Archive Indicator V-13
V.R Parent/Child Relationships V-15
V.S Final Assessment Decisions (FAD) V-16
V. T Operable Unit (OU) V-l 7
V.U Site Description V-17
V.V Site Comments V-18
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CHAPTER V: SITE INFORMATION
V.A INTRODUCTION
The Superfund program tracks site information data with the goal of compiling both basic
identifying data that portray the physical location and characteristics of a site, as well as more
detailed data that can be utilized as a progress indicator of where a site falls in the assessment and
cleanup pipeline. This chapter describes the site-level information that is tracked by the Superfund
program and the corresponding data entry requirements in the Superfund Enterprise Management
System (SEMS).
V.B INITIA TING PROGRAM
Following notification of a potential site needing federal Superfund program attention, the
site can be added to the SEMS database via the Add Site module. Superfund involvement varies
based on the characteristics of a confirmed or potential release, including urgency of response
needs and land ownership, and the requirements for the (see chapter IX). The Initiating Program
is used to define the path a site will take for assessment and possible cleanup.
There are four Initiating Program options:
Federal Facility Remedial Site Assessment;
Non-Federal Remedial Site Assessment Only;
Non-Federal Removal Only;
Combination of Non-Federal Removal and Non-Federal Remedial Site Assessment.
Selection of an Initiating Program will generate a pre-defined schedule of activities unique
to each initiating program option.
As new information becomes available, some sites initiated in one program (e.g., removal)
may require involvement of another program (e.g., remedial site assessment). When this occurs,
SEMS offers flexibility to incorporate activities and milestones from multiple programs into the
same site schedule.
V. C IDENTIFICA TION (ID) NUMBERS
SEMS tracks several different types of site identification numbers.
Environmental Protection Agency (EPA) ID
The EPA ID Number is a unique identifier for a site or facility that is created when a new
site is added to SEMS. Before creating a new EPA ID number, regions must research the
SEMS database to ensure the site is not already tracked in SEMS. For new sites, the EPA
ID is automatically generated by SEMS using the Add Site Information screen. A user may
change the EPA ID if needed (i.e., to match the Resource Conservation and Recovery Act
[RCRA] ID already used in RCRAInfo) only before saving the site. Envirofacts can be
used to help determine if a site exists in another EPA cleanup program database. If a RCRA
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ID or Brownfields ID exists, that ID should be used as the EPA ID in SEMS. Once the new
site is added and saved, the EPA ID field can no longer be edited.
With the exception of Navajo Nation (NN) sites which span states and EPA regions, the
first two characters of the EPA ID are the standard two-digit state abbreviation of the state
in which the site is located.
Site ID
The Site ID Number is a distinct seven digit number assigned by SEMS to a site. The first
two digits represent the region responsible for tracking the site. For example all Site ID
numbers for sites in Region 1 start with '01'.
RCRAInfo Site ID
Site identification number recorded in RCRAInfo for a site that is tracked in SEMS. This
field is used to track legacy sites where the RCRAInfo site identifier was not used as the
EPA ID. Any new site added to SEMS should use the existing RCRA site identification
number as the EPA ID number if the site already exists in RCRAInfo.
State ID
Optional site identification number used to track a site in a state database.
Site/Spill ID
A unique alphanumeric identification code assigned to a site or incident by the EPA region
for use in the Financial Management System. A removal site is required to have a Site Spill
ID before planning work. The first two digits of the Site Spill ID represent the EPA region
in which the site is tracked. The identifier must be unique and the system ensures that
duplicate Site Spill IDs are not entered.
Parent/Child Site IDs
See section V.R in this chapter for more information on tracking parent and child site
identification numbers.
V.D SITE NAME
The Site Name is the primary name assigned in SEMS to a confirmed or potential
hazardous waste release or an unanticipated removal (incident). If additional site names are
identified, they may be entered as site alias names (see Site Alias section V.F).
For sites that get proposed to the National Priorities List (NPL), EPA confers with the
region before including the site name in the proposed and final rulemaking published in the Federal
Register. The site name published in the Federal Register is tracked as the Federal Register Site
Name in SEMS and is also used to overwrite the primary Site Name. For sites placed on the NPL,
primary site names can only be changed through a Federal Register update and require approval
by the regional Superfund Division Director. Revised site names for NPL sites are published in a
proposed rule in the Federal Register. If no negative comments are received, Headquarters (HQ)
will process the primary site name change in SEMS.
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V.E SITELOCA TION/GEOSPA TIALINFORMA TION
SEMS requires the entry of general site locational information including: street address,
city, state, zip, county as well as congressional district. Site location data is entered using the Add
Site module when a new site is added to SEMS. This information can be updated on the Site
Information tab within the Site Management module in SEMS.
In addition, the National Geospatial Data Policy establishes requirements for collecting and
managing geospatial data used by federal environmental programs and projects within the
jurisdiction of EPA; see
http://www.epa.gov/geospatial/docs/Nati onal_Geospatial_Data_Policy.pdf.
The Office of Superfund Remediation and Technology Innovation (OSRTI) has not issued
a final Superfund geospatial data policy to date. In the interim, Regions should add decimal latitude
and longitude values and associated metadata in SEMS for new sites added to the SEMS active
site inventory once a specific location is determined for a site. To the extent practicable, this
requirement extends to sites that have completed Pre-Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) Screening and do not get added to the active site
inventory.
Since locations generally get refined as sites go through the assessment and cleanup
process, site address and geospatial data in SEMS should be updated as practical and necessary
following completion of key phases in the Superfund pipeline. Geospatial data includes latitude
and longitude coordinate values and associated metadata.
Following initial entry of geospatial data for a site, ideal situations to refine site location
data may include:
Remedial Site Assessment - when a Final Assessment Decision (FAD) has been made.
Removal - when a final Pollution Report (POLREP) is completed.
Remedial Cleanup - when a site is proposed to the NPL
Geospatial metadata includes several attributes of latitude and longitude coordinates. When
entering coordinate data into SEMS, the following metadata is required:
Decimal Degree Latitude: The measure of the angular distance on a meridian north or
south of the equator, in decimal degrees.
Decimal Degree Longitude: The measure of the angular distance on a meridian east or
west of the prime meridian, in decimal degrees.
Collection Date: The date that a point latitude/longitude measurement is collected.
Source: The party responsible for providing the latitude/longitude coordinates.
Collection Method: The method used to obtain latitude/longitude coordinates e.g. Global
Positioning System device, census block centroid etc.
Verification Method: The process in which a latitude/longitude measurement has been
verified by EPA staff, grantees or contractors.
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Accuracy Measure Value: The value portion of the range (+/-) of accuracy or precision of
a latitude/longitude point measurement.
Accuracy Measure Unit: The unit of measure applicable to the relative accuracy of the
latitude/longitude coordinates.
Reference Datum: A code identifying the reference datum of a latitude and longitude.
Reference Point: A description of the location where geographic coordinates were taken,
e.g., entrance to a facility, center of a facility, etc.
Geometry Type (Point/Line/Area): The geometric entity represented by one point or
sequence of latitude and longitude points.
Source Map Scale: A number that represents the proportional distance on the ground for
one unit of measure on the map or photo.
Accuracy Unknown: The indicator that represents whether some method of accuracy
information is still unknown or unavailable.
Comments: The text that provides additional information about the geographic
coordinates.
Additional Latitude/Longitude Coordinate Attributes
As sites go through the assessment and cleanup process, multiple latitude/longitude
coordinates may get tracked at a site. Additional attributes are available in SEMS to differentiate
coordinate records, including:
Primary Flag - indicates the primary latitude and longitude coordinates for the site. This
flag identifies the latitude and longitude that will be used for reporting purposes. If no
coordinate records at a site have the Primary Flag, SEMS will use the most recent set of
non-sensitive coordinates for public reporting.
Non-Releasable Flag - indicates the set of latitude and longitude coordinates should be
treated as sensitive or confidential and withheld from public disclosure.
NPL Coordinate Flag - identifies coordinates that were documented in the Federal
Register in a proposed or final NPL rule.
V.F ALIAS NAME/LOCATION
Site aliases are alternate names or addresses associated with a site. When the name of an
existing site is changed, the new name is entered as the Site Name in SEMS. The former name
should generally be added as an Alias site name to enable concordance with historical documents.
For NPL site name changes, OSRTI will add the former site name as an Alias site name in
SEMS. Regions are responsible for adding all other Alias site names and locations as necessary.
V. G FEDERAL FACILITYSTA TVS
The distinction between Federal Facility (FF) sites and non-Federal Facility sites is an
important one in tracking Superfund sites. The Federal Facility Status field in SEMS identifies
whether or not a site is a federal (U.S. government) facility. The valid status values include:
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Federal Facility: The site is federally owned or subject to the jurisdiction, custody, or
control of a department, agency, or instrumentality of the United States, except for land
held in trust by the United States for an Indian tribe.
Not a Federal Facility: The site is not federally owned nor subject to the jurisdiction,
custody, or control of a department, agency, or instrumentality of the United States.
Includes sites on land held in trust by the United States for an Indian tribe.
Undetermined. Not enough information available to make a determination of Federal
Facility status. EPA regions should update this status as soon as a determination can be
made.
V.H FORMERL Y USED DEFENSE SITES (FUDS)
The Formerly Used Defense Sites (FUDS) program cleans up environmental contamination at
properties which were under the jurisdiction of the Secretary of Defense, Secretaries of the Military
Departments, or Secretaries of any predecessor departments or agencies of DoD and were owned
by, leased to, or otherwise possessed at the time of actions leading to contamination by hazardous
substances but were transferred from DoD control prior to October 17, 1986.
FUDS are Federal Facilities identified in the SEMS via the 'Formerly Used Defense Site'
checkbox on the Edit Site Information Screen. Once a site is designated as a FUDS site, additional
information should be entered on the Edit Site Information>FUDS Tracking tab. The FUDS
Tracking tab includes screens for entering FUDS Details, United States Army Corps of Engineers
(USAGE) Project(s), and FUDS Aliases. This data should be entered during the Site Initiation
process, or whenever this information first becomes available. Sites with the FUDS designation
should generally be assigned a Federal Facility Status value of 'Yes'.
V.I PRELIMINARY ASSESSMENT (PA) PETITIONS
EPA may be notified of a potential site through various mechanisms including receipt of a
Preliminary Assessment (PA) Petition (also known as a Citizens Petition). In the past, EPA
responded to public requests to investigate suspected hazardous waste sites, however Congress
formalized this process through CERCLA section 105(d), which provides the public an
opportunity to notify EPA of a potential release by submitting a PA Petition form. For non-federal
sites, PA petitions should be addressed by the EPA Regional Administrator for the region in which
the release is located. For petitions involving Federal Facilities, the head of the appropriate federal
agency is responsible for addressing the petition.
http://www.epa.gov/superfund/programs/npl hrs/papetition oct02.pdf
V.J SITE TYPE CATEGORY/SUB-CATEGORY
Site Type Category and Site Type Sub-Category data are assigned in SEMS at the time of
site initiation and are used to track multiple main site type categories and associated subcategories
for sites. Users are required to enter at least one main (primary) site type and at least one site type
subcategory when adding a site. If multiple subcategories are selected, one should be identified as
the primary.
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The Site Type category selected should best describe the main operation that is taking
place, or has taken place at the site and was a major contributor of the hazardous substance
release(s) that caused the site to be considered for CERCLA removal or remedial assessment.
SEMS users should consult the SEMS Site Types Quick Reference Guide for definitions
of each site type category and associated sub-categories.
New Site Type Categories and Sub-Categories
The following new site type category/sub-categories have been added to SEMS:
Site Type Category: Mining / Site Type Sub-Category: Uranium Mining
Use when primary site operation is uranium mining or when release is located on
Abandoned Uranium Mine Lands (AMLs). An abandoned uranium mine (and related
features, facilities and equipment) is a mine on or affecting public lands under the
jurisdiction, custody, or control of a federal agency at which, under the authority of the
1872 Mining Law, 30 U.S.C. ง22-54, persons or entities outside of the federal government
conducted exploration, development, mineral extraction, processing, reclamation,
maintenance, or any other operations, all of which activities have ceased with: 1) no
evidence that the mine operator or any identified successor, claimant, operator or other
third party intends to resume any of those activities and (2) no other evidence of active
claim or claimant activity. EPA's definition for uranium AMLs on private lands that they
have regulatory authority over as: Those lands, waters, and surrounding watersheds
contaminated or scarred by extraction, beneficiation or processing of uranium ores.
Abandoned uranium mine lands include areas where mining or processing activity is
temporarily inactive.
V.K NPLSTATUS
The NPL Status field in SEMS tracks the current status of a site with respect to listing the
site on the NPL.
The NPL is a list of national priorities among the known or threatened releases of hazardous
substances, pollutants, or contaminants throughout the United States and trust territories. There are
three mechanisms for placing sites on the NPL for possible remedial action:
A site may be included on the NPL if it scores sufficiently high on the Hazard Ranking
System (HRS). The HRS serves as a screening device to evaluate the relative threat that
uncontrolled hazardous substances pose to human health or the environment. As a matter
of agency policy, those sites that score 28.5 or greater on the HRS are eligible for the NPL.
Each state may designate a single site as its top priority to be listed on the NPL, regardless
of the HRS score.
Certain sites may be listed regardless of their HRS score, if all of the following conditions
are met:
The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S.
Public Health Service has issued a health advisory that recommends dissociation of
individuals from the release; and
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EPA determines that the release poses a significant threat to public health; and
EPA anticipates that it will be more cost-effective to use its remedial authority than
to use its removal authority to respond to the release.
SEMS includes a drop down list of NPL Status values to select. When a site is added to the
active inventory, the default NPL status value is 'Not on the NPL'. Regions can change the status
for sites that have not been proposed or placed on the NPL. HQ is responsible for updating the
NPL Status value beginning when a site is proposed to the NPL.
Proposed NPL Listing
The process of proposing a site for placement on the NPL is complete when a Proposed
Rule proposing the site to the NPL is published in the Federal Register. Sites proposed to
the NPL are assigned an NPL Status value of 'Proposed for NPL', database code = P.
Removal of Proposed NPL Listing
The process of removing a site from the list of proposed NPL sites starts when a proposal
to remove the site is published in the Federal Register and is complete when final notice
of the removal is published in the Federal Register. Sites removed from proposal to the
NPL are assigned an NPL Status value of 'Removed from List of Proposed NPL Sites',
database code = R.
Final NPL Listing
The listing process for a site is complete when a Final Rule adding the site to the NPL is
published in the Federal Register. Sites placed on the NPL are assigned an NPL Status
value of 'Currently on Final NPL', database code = F.
Withdrawn from the Final NPL
The process of withdrawing a site is complete when a Final Rule withdrawing the site is
published in the Federal Register. Sites withdrawn from the NPL are assigned an NPL
Status value of 'Withdrawn from NPL', database code = W.
Deleted from the Final NPL
The process of deleting a site from the NPL begins when a Notice of Intent to Delete
(NOID) is published in the Federal Register, and is completed when, after completion of a
public comment period, a Notice of Deletion is published. If the Direct Final Deletion
process is used, there will be only one notice published Sites deleted from the NPL are
assigned an NPL Status value of 'Deleted from NPL', database code = D.
HQ will update the following SEMS data when Proposed and/or Final NPL rules are
published in the Federal Register,
SEMS Site Name;
Federal Register Site Name (for historical record keeping purposes should the SEMS site
name change);
NPL listing activities (Proposal to NPL, Removed from Proposed NPL, Final Listing on
NPL, Withdrawn from the NPL, and Deletion from NPL);
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HQ will update the following SEMS data for NPL deletion process activities for NPL sites
with 'F' status:
NOID from the NPL, Federal Register citation and date published;
Notice of Deletion (NOD) Federal Register citation and effective date of deletion;
Indicate if the Direct Final Deletion Process was utilized;
NPL listing activity actual finish date and action lead of Fund-financed (F);
Federal Docket Management System (FDMS) number, if not already assigned;
The FAD Date will be added to the site and any associated child sites using the date of
NPL proposal (this automatically checks the FAD box);
The Eligible Response Site (ERS) Exclusion will be unchecked at the site and any
associated child sites (when proposed);
The Non-NPL Status and date fields will be deleted (when proposed);
Federal Register date, volume, and page; and
The Federal Facility status.
Please refer to chapter IX, titled Federal Facility Program, of the Superfund Program
Implementation Manual (SPIM) for a description of Federal Facility NPL listing, delisting and
deletion activities performed at Federal Facilities.
NOTE: Further information on Deletion and Partial Deletion from the NPL can be found
in chapter VIII of this Manual. NPL Listing is a program measure.
V.L NON-NPL STA TVS
The Non-NPL Status is a workload indicator in SEMS used to track summary level
progress on non-NPL sites. Every site that is not proposed to, currently on, or deleted from the
NPL is assigned a Non-NPL Status.
When a site is added to the SEMS active inventory, the default Non-NPL Status is based
on the initiating program as follows:
Initiating Program Default Non-NPL Status
Federal Facility Remedial Site Assessment FF PA Review Start Needed
Non-Federal Remedial Site Assessment Only PA Start Needed
Non-Federal Removal Only Removal Only
Combination of Non-Federal Removal and PA Start Needed
Non-Federal Remedial Site Assessment
The Non-NPL Status field in SEMS displays the current Non-NPL Status for the site. User
may select from the drop down to enter or change the Non NPL status of the site. The available
non-NPL status values will be limited based on the NPL Status of the site. Regions should update
the Non-NPL Status field in SEMS as soon as possible following entry of a site assessment action
start and/or finish date. After completing a Site Assessment Decision form, the system will prompt
the user to review and update the Non-NPL status as necessary.
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Reporting non-NPL site status information allows EPA to clearly identify the progress a
site has made in the Site Assessment Pipeline at any given time. For a list of Non-NPL Status
values and more information about entering non-NPL status values in SEMS, refer to the Reporting
Non-NPL Status Quick Reference Guide (QRG) and the t/nderstanding NPL and Non-NPL Status
Code Relationships QRG.
Status Not Specified (SX) is one of the codes available for selection as a Non NPL Status
value. Regions may select this code only if no other available Non NPL Status value is appropriate.
If selected, the region should notify the EPA HQ Site Assessment Data Sponsor to determine
whether a new Non NPL Status value needs to be created. Regions should review sites with an SX
value at a minimum on a semi-annual basis (prior to mid-year review and end-of-year assessment)
and update this value as appropriate.
The Non-NPL Status is also tracked at sites completing the Pre-CERCLA Screening (PCS)
process and not added to the active inventory. Non-NPL Status values specific to the PCS process
are available for selection in SEMS.
Non NPL Status Date - this field is system generated with the current date when the Non
NPL status of a site is changed. This field is editable and should reflect the date the non-NPL status
of the site changed.
V.M TRIBAL DATA
SEMS tracks several key data points related to work on tribal sites.
Native American Interest
The Native American Interest checkbox is available on the Add Site Information screen
and Site Status and Indicators box on the Edit Site Information screen. 'Yes' should be
selected from the drop down for sites which may be of interest to one or more Native
American entities whose members or land is directly affected by the release. If the Native
American Interest checkbox is marked, users are required to associate at least one
American Indian tribe or Alaskan native entity.
On Tribal Property
The On Tribal Property field is used to indicate whether the release of hazardous materials
is on Indian country and any other land owned by an American Indian tribe or an Alaskan
native entity.
Associating Site to an American Indian Tribe/Alaskan Native Entity
The Select/Associate Tribe screen in SEMS is used to identify the specific Indian entity
(e.g., American Indian tribe or Alaskan native corporation) associated with the site. This
screen allows users to associate one or more Indian entities to a site. The tribes available
for selection represent the official list of federally recognized tribes as defined in the Tribal
Identifier Data Standard.
Associating an Indian entity to a site may be done at any point in the pipeline. Users may
associate an Indian entity to a site when the site is first added to SEMS, when an activity
occurs at the site where the Indian entity is the lead or signs an agreement, or at any other
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time that an Indian entity shows interest in the activities at the site. Sites with an associated
federally recognized tribe are subject to applicable tribal consultation requirements.
V.N SPECIAL INTEREST
The Special Interest (previously called Special Initiative) field in SEMS is used to track
HQ or regional special priorities, interests or program initiatives with which a Superfund site may
be associated. Users may add one or more special interest code at any time to a site using the
Special Interest(s) box on the Site Information Tab. The following special interest codes are
available in SEMS:
Construction Completion
Cross Program Revitalization
Measure (CPRM) Universe
Environmental Indicator (El) FY
2013 Baseline Site
El FY 2014 Baseline Site
El FY 2012 Baseline Site
Environmental Justice Indicator
El FY 2006 Baseline Site
El FY 2008 Baseline Site
Base Realignment and Closure
(BRAC) Fast Track
Government Accountability Office
(GAO) Survey (RCED-99-22A) (H)
GAO Survey (RCED-99-22B) (H)
Great Lakes
Groundwater Migration El FY 2002
Baseline Site
Groundwater Only
Human Exposure El FY 2002
Baseline Site
Environmental Indicators Legacy
Site
Military Munitions Response
Program (MMRP)
Potential Mega Site
Mega Site
Radiation (RAD)
RCRA Deferral Audit (H)
RCRA Deferral - Lead Confirmed (H)
RCRA Deferral - New Decision (H)
RCRA Deferral - Further Superfund
Assessment (H)
RCRA Baseline
Regionally Identified Superfund
Alternative Site
American Recovery and
Reinvestment Act 2009
Site with Superfund Alternative (SA)
Agreement per the Office of
Enforcement and Compliance
Assurance (OECA) Policy
Superfund Accelerated Cleanup
Model (SACM)
Smelting Activities
Superfund Alternative Approach
(SAA) Construction Completion
Tribal Association on Solid Waste
and Emergency Response (TASWER)
Survey Site (H)
Unrecognized Smelter per 2001
Report
Vermiculite Investigation (H)
(H) = Historic entry that can be viewed but not added
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Several of these Special Interest selections are either controlled or monitored by HQ. HQ
plans to develop a SEMS Special Interest Quick Reference Guide for additional information on
updating this field. In the interim, select Special Interest values are described below:
Special Interest: Great Lakes
The Superfund program is periodically requested to provide information regarding
Superfund program Great Lakes restoration activities, i.e., any federal or state activity
primarily or entirely within the Great Lakes watershed that seeks to improve the overall
health of the Great Lakes ecosystem. All proposed, final, and deleted NPL sites that are in
the Great Lakes watershed should be assigned the Great Lakes (GL) special interest code.
HQ will annually compare site location data against Great Lakes watershed mapping data
for sites proposed to the NPL in the prior fiscal year (FY) and will arrange to have the
Great Lakes (GL) special interest code assigned to those sites that are identified as being
in the Great Lakes watershed.
V. O ELIGIBLE RESPONSE SITE AND NO FURTHER FEDERAL
A CTIONDESIGNA TIONS
SEMS includes indicators to track ERS exclusion and No Further Federal Action (NFFA)
decisions.
ERS Exclusion Decision
The ERS Exclusion indicator in SEMS is used to indicate if the region has made an ERS
exclusion decision at the site.
Under CERCLA section 101(41) (C), EPA may exclude sites from the Brownfields eligible
response universe if EPA conducts or has conducted a PA or Site Inspection (SI) and, after
consultation with the state, determines or has determined that the site obtains a preliminary
score sufficient for possible listing on the NPL or otherwise qualifies for listing on the
NPL.
NOTE: This checkbox may not be selected if the site NFFA checkbox has been selected.
Since NPL sites are excluded from the definition of Eligible Response Sites, HQ will
uncheck the ERS Exclusion checkbox when updating SEMS for sites that get proposed to
the NPL.
NPL sites, Federal Facility sites, and sites with planned or ongoing removals are excluded
from the definition of ERS sites. For more information regarding making an ERS exclusion
at a site, please refer to Office of Solid Waste and Emergency Response (OSWER)
Directive 9230.0-170,
http://www2.epa.gov/sites/production/files/documents/reg-determ-small-bus-mem O.pdf,
titled Regional Determinations Regarding Which Sites are Eligible Response Sites under
CERCLA section 101(41 )(C)(i), as Added By the Small Business Liability Relief and
Brownfields Revitalization Act.
ERS Exclusion Date - this date is system generated with the current date when the checkbox
is checked. This field is editable and should reflect the date the site was excluded.
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No Further Federal Action (NFFA)
The NFFA indicator in SEMS only applies to sites that have been assigned an ERS
exclusion decision and denotes that the site requires No Further Federal Action. CERCLA
section 101(41 )(C)(i) authorizes EPA to make a site which was previously excluded as an
ERS, because it had obtained a preliminary score sufficient for possible listing, an ERS
again when EPA determines NFFA. NOTE: Proposed and Final NPL sites and sites with a
Non-NPL Status of Other Cleanup Activity (OCA) are not eligible to receive the NFFA
designation. In addition, if a site has any planned or ongoing enforcement, cost recovery
or removal activities, the user will not be allowed to make an NFFA determination.
SEMS will not allow the NFFA indicator to be selected if the ERS Exclusion indicator is
currently selected at a site.
For more information regarding NFFA decisions, please refer to OSWER Directive
9230.0-170, entitled Regional Determinations Regarding Which Sites are Eligible
Response Sites under CERCLA section 101(41 )(C)(i), as Added By the Small Business
Liability Relief and Brownfields Revitalization Act
http://www2.epa.gov/sites/production/files/documents/reg-determ-small-bus-mem_0.pdf.
NFFA Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date of the determination that no
further federal action would be taken at the site.
V.P SITE INVENTORY DESIGNA TIONS
SEMS divides sites into three main inventories: Non-Site, Active and Archive. Inclusion
of a specific site or area in SEMS does not by itself represent a determination of any party's liability
nor does it represent a finding that any response action is necessary.
Non-Site Inventory
Sites that are pre-screened prior to entry into the Active site inventory and determined not
to require further Superfund remedial assessment are tracked in the SEMS Non-Site site
inventory. Minimal information is tracked on these sites to account for the pre-screening
work and for future reference should a screened site be resubmitted to the federal Superfund
program. The Non-Site inventory may also be used to track other non-site specific
information.
Active Inventory
The Active site inventory consists of sites placed on the NPL, and sites not on the NPL
where site assessment, removal, remedial, enforcement, cost recovery, or oversight
activities are planned or are being monitored or conducted.
Archive Inventory
The Archive site inventory consists of non-NPL sites that were formerly in the Active site
inventory which have no further site assessment, removal, remedial, enforcement, cost
recovery or oversight needed under the federal Superfund program based on available
information.
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V.Q ARCHIVE INDICATOR
The Archive Indicator field in SEMS is used as a filter on Superfund reports and data sets
to delineate whether a site is still in, or has been removed from, the SEMS inventory. The Archive
designation represents a sitewide decision that no further interest exists at the site under the federal
Superfund program based on available information. It is a comprehensive decision indicating there
are no further Superfund site assessment, remedial, removal, enforcement, cost recovery, or
oversight activities being planned or conducted at the site. Regions may perform re-evaluation
work at a site while it is archived if site conditions change and/or new information becomes
available. Sites re-evaluated and determined to need substantial site characterization and/or
cleanup work under the federal Superfund program must be returned to the SEMS active inventory.
Regions may also record general enforcement related activities (e.g. issuance of comfort letter or
prospective purchaser agreements) at archived sites.
For more information about archiving sites in SEMS, refer to the SEMS Archived Sites
QRG, or the EPA's Refining Comprehensive Environmental Response, Compensation, and
Liability Information System (CERCLIS) website at:
http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm
When an archive decision is made, a note must be prepared and placed in the site file
explaining that no further federal Superfund interest exists at the site based on available
information. Since archiving is a comprehensive decision, the note must represent the interests of
the appropriate regional business units (e.g., site assessment, removal, etc.), including the regional
RCRA program for archive designations based on site deferral to RCRA. Regions should also
consult with state and/or tribal partners prior to making an archive designation to ensure any issues
related to archiving are considered and handled appropriately. The date of the note is the Archive
Date and entering this date automatically generates the Archive Indicator in SEMS.
Although the underlying basis for archiving a SEMS site is whether or not federal
Superfund interest exists, several categories of sites are used to generate lists of potential archive
candidate sites. Based on review of sites in these categories, regions should update the Archive
IND and Archive Date field as appropriate in a timely fashion. These categories are:
Sites that have completed only the site assessment process and have been given either a No
Further Remedial Action Planned (NFRAP) or Deferred decision at the conclusion of the
last completed site assessment action, and no other federal Superfund activity is
anticipated;
Sites that have completed both the removal and site assessment process, or have completed
the removal process and require no site assessment work (removal-only sites), and which
have completed all related oversight, cost recovery/other enforcement work, and have no
further federal Superfund activity anticipated;
Sites that have successfully completed state deferral as described in the May, 1995 OSWER
Directive 9375.6-11 titled Guidance on Deferral of NPL Listing Determinations While
States Oversee Response Actions and no further federal Superfund activity is anticipated;
Sites removed from the proposed NPL or final NPL (e.g., as a result of a lawsuit) that have
no further federal Superfund activity anticipated;
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Child sites addressed as part of a parent non-NPL site that has been properly archived;
Sites that have been entered into the SEMS inventory via entry of a Remedial Site
Assessment Initiation and/or Removal site initiation date which have not had any work
started and, based on review, do not warrant any type of additional Superfund activity. An
abbreviated PA should be completed for these sites prior to designating archive status;
Sites that have completed Other Cleanup Activities by a non-EPA party and have no other
federal Superfund activity anticipated.
Other sites with no further federal Superfund interest based on currently available
information, including low priority NPL eligible sites where a state or tribal cleanup
program exists and the state or tribe agrees NPL listing is not warranted based on available
information.
As appropriate, sites can be returned to the SEMS inventory by deleting the date in the
Archive Date field. The Archive Indicator will automatically be deleted. A note explaining why
the site was returned to the SEMS inventory must be prepared and placed in the site file.
Planning dates for archiving sites are not available. It is important to note that an archive
decision is not the same as a NFRAP decision. A NFRAP decision is recorded as a Qualifier, is
made only at the conclusion of a site assessment activity, and does not take into account any other
Superfund programmatic activity that may be going on at a site such as removals or cost recovery.
Archived site is a program measure for both non-Federal and Federal Facilities.
The SEMS application will prevent adding certain assessment, removal, remedial, and
enforcement activities at archived sites. The SEMS-Archive Quick Reference Guide lists the
prohibited actions. Prohibited actions can be added to a site by either: 1) returning the site to SEMS
(e.g., substantial site characterization and/or cleanup is needed); or 2) requesting a database
revision through HQ (e.g., entry of historical data). The restriction will not prevent users from
entering activity-related data such as start/finish dates, leads, qualifiers, etc., at existing activities.
A site cannot be archived if there are any planned or ongoing archive prohibited actions at
the site. For a list of archive prohibited actions, refer to the SEMS Archived Sites QRG. SEMS
will also prevent the archival of NPL sites (Proposed, Final, and Deleted).
Indicating that a site has been archived will result in a pop-up message asking the user if
they would like to make a NFFA determination at this time. If the user selects yes, the NFFA flag
will be populated and an NFFA date will be system generated.
Archive designations should be made in a timely fashion to accurately portray the status of
sites to all users of Superfund program information. The site assessment program area within the
SEMS reports module contains reports to help EPA regions maintain the integrity of archived data.
The SA-002 Report contains options to look at a Potential Archive Site Inventory which lists sites
that may be eligible for archival. In addition, it will provide an option to view an Archived-To-Be-
Reviewed Site Inventory which lists sites that may warrant data corrections/updates or return to
the active SEMS site inventory.
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The SEMS application now captures archive designations by automatically generating an
archive activity and finish date on the site schedule when the Archive Date field is populated. In
addition, a site unarchived activity and finish date is generated when the archive indicator is
deleted. Multiple Archive Site/Site Unarchived actions may be created at a site if the archive
indicator is added, deleted, and then added again. Each time the archive indicator is added/deleted
at a site, a new Archive Site or Site Unarchived action will be created.
The archive status of a child site should match the archive status of its parent site.
Archive Date - this date is system generated with the current date when the Archive
Indicator is updated. This field is editable and should reflect the date the site was last archived or
unarchived.
V.R PARENT/CHILD RELA TIONSHIPS
Parent/child relationships are established between sites when one site in SEMS is addressed
as part of another site.
Upon completion of site assessment activities, such as PAs, Sis, Expanded Site Inspections
(ESIs), or ESI/RIs, the region may decide that a site is best addressed as part of an existing NPL
site. This would be done when contamination at a non-NPL site is being addressed by cleanup
actions at an existing NPL site. This most frequently occurs at Federal Facilities and sites with an
area-wide groundwater contamination problem resulting from multiple sources. In this situation,
the NPL site is considered the 'parent' and the non-NPL site is referred to as the 'child'. The
decision to address a site as part of an existing NPL site requires the following information in
SEMS:
Upon completion of the site assessment activity that led to the decision to combine the two
sites, the region should enter a qualifier of 'Addressed as part an existing NPL site' (A) at
the child site;
The 7-digit Site ID number of the parent site must be entered into the Parent Site ID field
(Site Parent ID) for the child site;
The 7-digit Site ID number of the child site must be entered into the Child Site ID field
(Site Child ID) for the parent site; and
The NPL Status for the child site must be changed to ' Site is part of NPL Site' (A).
After a site is collapsed into the parent site, no further response work should be recorded
at the child site. Instead, any further response work performed at that site should be recorded under
the existing parent NPL site, possibly as a separate operable unit.
Upon completion of a site assessment activity, it is also possible for the region to decide
that a site is best addressed as part of another existing non-NPL site. The decision to combine
multiple non-NPL sites requires the following information in SEMS:
Upon completion of the site assessment activity that led to the decision to combine the two
sites, the region should enter a qualifier of 'Addressed as part of another non-NPL site' (B)
at the child site;
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The 7-digit Site ID number of the parent site must be entered into the Parent Site ID field
(Site Parent ID) for the child site;
The 7-digit Site ID number of the child site must be entered into the Child Site ID field
(Site Child ID) for the parent site; and
The Non-NPL Status for the child site must be changed to 'Addressed as part of another
non-NPL site' (B).
After a site is collapsed into the parent site, no further actions should be recorded at the
child site. Instead, any further assessment or response work performed at that site should be
recorded under the existing parent site.
If the Parent site is an NPL site (the NPL Status code is Proposed, Final, Deleted, Removed,
or Withdrawn) the potential children sites must have an NPL Status of Pre-proposed, Not on the
NPL, or Site is Part of NPL site.
If the Parent is a Non-NPL site (NPL Status is Not on the NPL or Pre-Proposed), then the
potential child sites will have an NPL Status of Not on the NPL or Addressed as part of another
non-NPL Site.
V.S FINAL ASSESSMENT DECISIONS (FAD)
The FAD field in SEMS is used as an indicator to measure progress towards completing
remedial site assessment work at sites entered into SEMS. A FAD indicates remedial site
assessment work is complete under the federal Superfund program based on available information.
Regions should assign a FAD designation to a site entered into SEMS with a discovery activity
and date if any of the following conditions are met:
The site or its parent site has been proposed to or placed on the NPL;
The site has been removed from proposal to the NPL and no further remedial assessment
is needed;
The decision made at the last completed remedial assessment at the site is either:
NFRAP;
Referred to Removal-NFRAP;
Deferred to RCRA or Nuclear Regulatory Commission (NRC); or
Addressed as part of an NPL or non-NPL site
The site is being remediated under a formal state deferral agreement;
The site is being remediated using a Superfund Alternative Agreement;
OCA sites where no further site assessment work is anticipated beyond reviewing cleanup
or closeout reports and related information (see section VI.A.S.i for more information on
OCAs);
The site has been properly archived from the active SEMS site inventory.
EPA regions are responsible for maintaining FAD designations in SEMS. FAD status is
captured in SEMS by selecting the Final Assessment Decision check box on the Site Description
and Status/Operable Units screen. Once the FAD box is checked, SEMS automatically populates
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the related Final Assessment Decision Date field with the current calendar date. Regions can accept
or edit this date before saving the information in SEMS. The FAD date should match the calendar
date when the FAD decision was made. Backdating the FAD date is appropriate when data entry
lags occur, even if the lag spans across FYs (e.g., sites where the FAD decision was made in a
previous FY, but the FAD box was inadvertently left unchecked). HQ will place a check in the
FAD checkbox when updating SEMS for sites that get proposed to the NPL.
Final Assessment Decision Date - this date is system generated with the current date when
the checkbox is checked. This field is editable and should reflect the date the final assessment
decision was made.
V. T OPERABLE UNIT (OU)
An operable unit is used to identify a portion of a Superfund site with which actions are
associated. A typical operable unit would be removal of drums and tanks from the surface of a site.
It is used for site/project and incident planning and tracking.
Sites should generally be remediated in operable units when early actions are necessary or
appropriate to achieve significant risk reduction quickly; when phased analysis and response is
necessary or appropriate given the size or complexity of the site; or to expedite the completion of
total site cleanup. Operable Units (OUs) are used to break up the site into more manageable parts
to perform cleanup.
Operable unit '00' is generally used to track sitewide activities such as remedial site
assessment and sitewide removal activities as well as some enforcement activities (e.g., Potentially
Responsible Party (PRP) Search, Liens, etc.). Operable Units can be added to SEMS through the
Edit Site Information>Operable Unit(s) tab.
The use of '00' in the OU field is also used by default for non-site-specific financial
transactions. Regions (and HQ) additionally have the option to use other OU values, in the Non-
site Obligations Planning screen in SEMS to further differentiate non-site-specific activities,
including using this field to designate individual state recipients of non-site-specific funds. If funds
originally obligated non-site-specifically are redistributed as site-specific expenditures, the
expenditures must be redistributed to the correct OU in addition to the codes that must be adjusted
(Site/Spill Identification Code [SSID], activity code, OU in the project field; cost org
field/financial activity sequence number).
V.U SITE DESCRIPTION
The Site Description field in SEMS is used to describe a site or incident such as history of
the land use, state of operations of the facility, etc. The Site Description is made available to the
public and therefore should not contain Personally Identifiable Information (PII).
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V.V SITE COMMENTS
Site comments are notes about the site generally made by a SEMS user to clarify action at
the site or to communicate important information related to site work. SEMS tracks the user who
entered the comment and the date.
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Superfund Program Implementation Manual
FY16
Chapter VI: Remedial Site Assessment
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CHAPTER VI: Remedial Site Assessment
Table of Contents
VIA Introduction VI-1
VI.A.l Remedial Site Assessment Priorities VI-2
VI.A.2 Remedial Site Assessment Backlogs VI-3
VI. A.3 Overview of Remedial Site Assessment Targets and Measures VI-3
VI.A.4 Data Quality and Data Entry Timeliness Requirement VI-6
a. Data Quality VI-6
b. Data Entry Timeliness Requirement VI-7
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities VI-7
a. No Further Remedial Action Planned (NFRAP) VI-8
b. Higher Priority /Lower Priority VI-8
c. Refer to Removal VI-8
d. Site Addressed as Part of Another NPL or Non-NPL site VI-8
e. Referred From RCRA VI-9
f. Assessment Complete - Decision Needed VI-9
VI.A.6 Remedial Site Assessment Critical Indicators VI-11
VI.A.7 Remedial Site Assessment Activities VI-11
a. Pre-CERCLA Screening VI-11
b. Remedial Site Initiation (Discovery) VI-14
c. Preliminary Assessments (PA) at Non-Federal Sites VI-16
d. Site Inspections (SI) at Non-Federal Sites VI-18
e. Site Reassessments at Non-Federal Sites VI-19
f. Expanded Site Inspections (ESI) at Non-Federal Sites VI-21
g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites VI-22
h. Hazard Ranking System (HRS) Packages VI-24
i. Other Cleanup Activity (OCA) VI-26
j. Formal State Deferral VI-29
k. NPL Li sting Activities VI-30
VI.A.8 Cleanup Alternatives VI-32
a. Referral to EPA Removal VI-32
b. Deferral to RCRA VI-33
c. Deferral to Nuclear Regulatory Commission (NRC) VI-33
d. Other Cleanup Activity VI-33
e. Formal State Deferral VI-35
f. Superfund Alternative Approach (SAA) VI-35
g. NPL Listing VI-36
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List of Exhibits
Exhibit VI.1. Superfund Remedial Site Assessment Process VI-2
Exhibit VI.2. Remedial Site Assessment Activities VI-6
Exhibit VI.3. Remedial Site Assessment Activity Qualifiers VI-10
Exhibit VI.4. Pre-CERCLA Screening Requirements VI-14
Exhibit VI.5. Remedial Site Initiation (Discovery) Requirements VI-15
Exhibit VI.6. Preliminary Assessment Requirements VI-17
Exhibit VI.7. Site Inspection Requirements VI-19
Exhibit VI.8. Site Reassesment Requirements VI-20
Exhibit VI.9. Expanded Site Inspection Requirements VI-22
Exhibit VI. 10. ESI/RI Requirements VI-23
Exhibit VI.ll.HRS Package Requirements VI-25
Exhibit VI. 12. Other Cleanup Activity Requirements VI-28
Exhibit VI.13. State Deferral Requirements VI-30
Exhibit VI. 14. NPL Listing Requirements VI-31
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OSWER Directive 9200.3-15-1G-Z
CHAPTER VI: REMEDIAL SITE ASSESSMENT
VI.A INTRODUCTION
The Superfund remedial site assessment (aka remedial site evaluation) process evaluates
sites to determine and implement the appropriate responses to releases of hazardous substances to
the environment. During the site assessment process, Environmental Protection Agency (EPA),
states, tribes or other federal agencies collect data to identify, evaluate, and rank hazardous waste
sites based on Hazard Ranking System (HRS) criteria. The HRS is a numerically based screening
system that uses information from initial, limited investigations to assess the relative potential of
sites to pose a threat to human health or the environment. It is the principal mechanism EPA uses
to place uncontrolled waste sites on the National Priorities List (NPL). Sites with HRS scores of
28.5 or greater are eligible for placement on the NPL. Only sites on the NPL are eligible for
Superfund-fmanced remedial actions.
Superfund site assessment staff may be notified of a potential site through various
mechanisms, including receipt of a citizen's petition, referrals from EPA's removal and Resource
Conservation and Recovery Act (RCRA) programs, and referrals or notifications from states, tribes
and other federal agencies. Following notification, a non-federal site undergoes a minimal
screening process to determine whether the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA) remedial site assessment process is appropriate. This
process is referred to as Pre-CERCLA screening. Once a potentially hazardous site is identified as
appropriate for the remedial site assessment process, it is assigned a remedial site initiation
(discovery) date and is added to the Superfund Enterprise Management System (SEMS) remedial
assessment active site inventory. Using criteria established under the HRS, EPA and/or its state
and tribal partners, or another federal agency, conducts a remedial Preliminary Assessment and if
warranted, a remedial Site Inspection or other more in-depth remedial assessment to determine
whether the site warrants short- or long-term cleanup attention. Federal sites are submitted through
the Federal Facilities Hazardous Waste Compliance Docket and do not go through the Pre-
CERCLA screening process. Federal Facilities site assessment is generally performed by Federal
Agencies (E.O. 12580) and reviewed by EPA in accordance with the HRS criteria. EPA's
responsibilities during the remedial assessment process at Federal Facilities are further discussed
in chapter IX, titled Federal Facility Program, of the Superfund Program Implementation Manual
(SPIM).
During the remedial site assessment process, the HRS model may be applied to derive a
preliminary site HRS score. Sites with preliminary HRS scores below 28.5 generally require no
further Superfund remedial interest and are assigned a NFRAP decision. The NFRAP decision can
also be made at sites with preliminary HRS scores of 28.5 or higher if EPA believes the site would
receive a No Action Record of Decision (ROD) if it was placed on the NPL.
Sites that do warrant further removal- or remedial-type study are referred to appropriate
cleanup programs for further work. These cleanup programs include: EPA removal; RCRA;
Nuclear Regulatory Commission (NRC); state, tribal, municipal or other federal cleanup programs;
the Superfund Alternative Approach (SAA); and the National Priorities List.
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EXHIBIT VI.1. SUPERFUND REMEDIAL SITE ASSESSMENT PROCESS
Site Assessment Process Under CERCLA
Pre-CERCLA
Screening
Discovery/Add
to Active Site
Inventory
Refer to Removal Program as necessary
Sites that do rot pass Pre-CERCLA Screening are
tracked in SEMS 35 "Not a Valid Site or Incident"
NFRAP
Deferred to RCRA
Deferred to Nuclear
Regulatory Commission
State Cleanup
Programs
Superfund Alternative
Approach
Preliminary
Assessment
(PA)
Removal Action
Site Inspection (SI)*
MRS Package
*Process may also include
Expanded Site Inspection (ESI)
and/or Site Reassessment (SR)
Placement on the NPL
(NPL Listing Process)
VI.A.1 Remedial Site Assessment Priorities
EPA regional offices should incorporate the following priorities into regional remedial site
assessment business practices as practicable in each region and as available resources permit.
Assessing the worst sites first continues as a national priority. The regions should identify the sites
posing the highest risk or potential risk and develop a strategy to assess those sites in a timely
manner, while balancing their other site assessment needs.
While assessing the worst sites first, the regions must strive to meet annual remedial
assessment commitments and goals established to ensure sites are assessed in a timely manner and
to prevent the backlog of sites needing remedial assessment from rising unacceptably. Regional
site assessment programs are encouraged to pursue more cost- and time-efficient methods of
assessing sites without compromising the quantity and quality of site assessment decisions. This
includes, among other approaches, combining and/or integrating assessments to reduce cost and
time to assess sites. Regions should continue the use of Pre-CERCLA screening to assure only
appropriate non-federal sites are placed in the SEMS remedial assessment active site inventory.
The regions should also ensure the appropriate remedial assessments of sites of tribal concern that
are in or near Indian Country.
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To better accomplish the national priorities, the regions should continue negotiating work
share agreements with individual states (and tribes if applicable) in a manner that achieves program
objectives in the most efficient manner possible.
Site assessment is the first step in determining whether a site meets the criteria for
placement on the NPL. NPL Listing is one of several approaches for addressing sites where
assessment indicates remedial study/cleanup is needed to address human health and/or ecological
risks. NPL listing should be used when it is believed to be the best approach for addressing a site.
In 1992, EPA's Office of Emergency and Remedial Response (OERR), now the Office of
Superfund Remediation and Technology Innovation (OSRTI) issued a directive entitled Guidance
on Setting Priorities for NPL Candidate sites (Office of Solid Waste and Emergency Response
[OSWER1 Directive 9203.1-06). The 1992 directive provided regions with general factors that
should be considered in the risk-based decision making process for choosing sites to propose for
listing pursuant to section 105(a)(8)(B) of CERCLA.
The SAA is generally the Agency's preferred enforcement approach for CERCLA non-
NPL sites that are NPL-caliber, where feasible and appropriate. Additional information on the
SAA is included in the Cleanup Alternatives section (section VI.B.S.f)
VI.A.2 Remedial Site Assessment Backlogs
A key function of Headquarters (HQ) is to report national progress in the remedial site
assessment program. Workload estimates are critical indicators of future program needs. HQ
captures these workload estimates by identifying the number of sites at various stages in the site
assessment pipeline. These stages are commonly referred to as 'backlogs'. For example, sites
needing completion of a CERCLA remedial Preliminary Assessment (PA) are collectively termed
the 'PA Backlog'. HQ will measure regional progress on non-federal sites still needing assessment
with special emphasis on older sites needing preliminary assessments completed or needing a
listing decision. A listing decision is defined as an assessed site with a NFRAP decision, or with a
decision to study/cleanup a site via the NPL or a non-NPL cleanup approach. Regions should
consider these assessment workloads when planning assessment work; however, the primary goal
within the assessment program continues to be assessing worst sites first.
VI.A.3 Overview of Remedial Site Assessment Targets and Measures
The following pages contain, in pipeline order, the definitions of Superfund remedial site
assessment targets and measures. Exhibit VI.2 displays the full list of remedial site assessment
activities defined in this chapter and the associated reporting hierarchy.
EPA's 2014-2018 Strategic Plan, Goal 3, Objective 3.3 Restore Land contains the
Government Performance and Results Act (GPRA) measure for Superfund remedial assessment
work: 'By 2018, complete 95,500 assessments at potential hazardous waste sites to determine if
they warrant CERCLA remedial response or other cleanup activities.' Commonly referred to as
Remedial Site Assessment Completions (RSACs), this measure reflects the total number of
Pipeline-funded remedial site assessments at non-federal sites and reviews of remedial assessments
provided by other federal agencies at Federal Facility (FF) sites. Regional targets for RSACs are
established each year in the Agency's Annual Commitment System (ACS). RSAC
accomplishment credit is given upon successfully recording the completion of the following site
assessment reports in SEMS:
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OSWER Directive 9200.3-15-1G-Z
Pre-CERCLA Screening (PCS)
PA
Federal Facility PA Review
Site Inspection (SI)
Federal Facility SI Review
Expanded Site Inspection (ESI)
Federal Facility ESI Review
Site Reassessment
Federal Facility Site Reassessment Review
ESI/Remedial Investigation (RI)
HRS Package
Except for Pre-CERCLA screening activities, sites must have a completed remedial site
initiation (discovery) activity recorded in SEMS to get GPRA accomplishment credit for a
Superfund remedial site assessment. Only remedial assessments with a finish date falling in the
current fiscal year (FY) will get captured in current year accomplishment reporting. All completed
Superfund Pre-CERCLA screenings and all other remedial site assessments at sites with a
completed discovery activity will get captured in cumulative accomplishment (inception-to-date)
reporting.
Two sub-measures apply to remedial assessment work to help the Agency meet statutory
and program timeliness goals and to ensure the age and number of sites needing completion of
remedial assessment work does not rise unacceptably. Each fiscal year, regions must reduce the
number of non-federal sites over 5 years old without a preliminary assessment completed by 10
percent and address 10 percent of non-federal sites over 16 years old without an NPL listing
decision. The universe of sites and associated sub-measure targets will be established at the
beginning of each year to account for previous accomplishments and the addition of new sites. The
universes exclude Formerly Used Defense Sites (FUDS). Regional progress towards meeting these
sub-measure goals will be monitored each fiscal year. The overall program priority of assessing
worst sites first shall be a valid factor to consider when evaluating regional progress.
For the annual 5-year PA sub-measure, accomplishment credit will be given at sites that
get eliminated from the universe of sites established at the beginning of each fiscal year.
For the 16-year NPL Listing Decision sub-measure, accomplishment credit will be given
at: 1) sites that get an NPL listing decision made or otherwise no longer require a listing decision;
and 2) sites still in the universe at the end of the fiscal year that have had a remedial site assessment
action started during the fiscal year. Remedial site assessment activities include all the GPRA-
based remedial site assessment activities described in the SPIM except for Pre-CERCLA
screenings.
The annual and cumulative number of Superfund remedial site assessments completed will
be captured on the Superfund Comprehensive Accomplishments Plan (SCAP)-15 report and will
be included in EPA's Annual Report. Site detail supporting annual completion counts will be
included on the SCAP-13 and SCAP-15 reports. The annual PA and NPL Listing sub-measures
September 30, 2015 VI-4 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
will be tracked on the SEMS report no. SA-034, Remedial Site Assessment Completion Sub-
Measures.
The following non-GPRA measures are tracked to capture the disposition of sites based on
remedial site assessment work performed in the current fiscal year:
1. # Remedial Site Assessments Completed: NFRAP (site does not qualify for the NPL based
on existing information) - this measure will capture the portion of GPRA Superfund
remedial site assessments that are:
a. Assigned a NFRAP decision
b. Determined not eligible for entry into the active SEMS inventory based on a Pre-
CERCLA screening report
c. Addressed as part of a non-NPL parent site that has since been assigned a NFRAP
decision or placed in the SEMS Archive site inventory
2. # Remedial Site Assessments Completed: Remedial Study/Cleanup Needed - this measure
will capture the portion of GPRA Superfund remedial site assessments that are assigned
one of the following decisions or status designations:
a. Deferred to NRC
b. Deferred to RCRA
c. Referred to removal, needs further remedial assessment
d. Referred to removal, no further remedial assessment
e. Addressed as part of a parent site that is on the NPL
f. Remedial activities under EPA enforcement, including sites addressed using a SAA
agreement
g. Other Cleanup Activity
3. # Remedial Site Assessments Completed: Further Site Assessment Needed - this measure
will capture the portion of GPRA Superfund remedial site assessments that are assigned
one of the following decisions:
a. Higher priority for further assessment
b. Lower priority for further assessment
c. Recommended for FIRS scoring
d. Being considered for proposal to the NPL
e. Addressed as part of a non-NPL parent site that is still being assessed
f. Needs a remedial preliminary assessment based on completion of a Pre-CERCLA
screening report
SEMS report S A-006, Site Assessment Accomplishments report is used to report the results
of assessments completed during the fiscal year and the number of sites needing remedial
assessment.
Final Assessment Decisions (FADs) are tracked as the Superfund component to the
OSWER Cross Program CERCLA Site Assessment Measure. FADs are tracked as a reporting
measure only - no goals or targets are set at the beginning of the fiscal year.
SEMS report SA-031, Final Assessment Decisions, is used to report the number of FADs
made during the fiscal year. Additional information on FADs is provided in the SPEVI Site
Information chapter.
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Exhibit VI.2. presents a comprehensive list and reporting status of remedial site assessment
activities:
EXHIBIT VI.2. REMEDIAL SITE ASSESSMENT ACTIVITIES
Activity
No. of Completed Superfund Remedial Site Assessments
No. of Completed Remedial Site Assessments: NFRAP
No. of Completed Remedial Site Assessments: Remedial Study /Cleanup Needed
No. of Completed Remedial Site Assessments: Further Site Assessment Needed
No. of Final Assessment Decisions
NPL Listing (Proposed, Final, Removed From Proposed, Withdrawn)
Reduce # of non- federal sites over 5 years old without a PA completion by 10%
Address 10% of non-federal sites over 16 years old needing an NPL listing decision
Pre-CERCLA Screening
Remedial Site Initiation (Discovery)
PA at Non-Federal Site
Federal Facility PA Review
SI at Non-Federal Site
Federal Facility SI Review
Site Reassessment
Federal Facility Site Reassessment Review
ESI at Non-Federal Site
Federal Facility ESI Review
Integrated ESI/Remedial Investigation
FIRS Package (Non-Federal and Federal Facility)
Other Cleanup Activity
State Deferral
External Program
Reporting
Annual Commitment
System (ACS),
Strategic Plan
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in the Agency's FY14-FY18 Strategic Plan.
Measure = SCAP reporting measure, but target not required.
VI.A.4 Data Quality and Data Entry Timeliness Requirement
a. Data Quality
The regions should assure that their site assessment information is complete, current,
consistent and accurate. To assist the regions in this determination, data quality reports for
Superfund site assessment information in SEMS are available through the SEMS reporting
tool. SEMS report no. SA-009, Site Assessment Data Quality displays information on sites
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with potential remedial site assessment data errors. Regions are required to review the data
issues on this report prior to the end of each fiscal year and make data corrections in SEMS
as necessary to ensure end of year reporting is accurate.
b. Data Entry Timeliness Requirement
It is good management practice to enter data regarding events as soon as practicable after
the event occurs. Generally, to insure data are reflected in quarterly reports, data must be
entered in SEMS prior to the quarterly pull date which occurs on the fifth business day
following the end of each quarter or the 10th business day following the end of the fourth
fiscal quarter
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities
Site screening and assessment decisions are made upon completion of most types of
remedial assessment activities. These decisions are tracked in SEMS as 'qualifiers' for applicable
activities. To achieve GPRA RSAC credit, the following activities must have a qualifier recorded
for them in the SEMS Site Management module (qualifiers are added on the Site Decision tab of
the Edit Site Evaluation Schedule screen or the Work Package Info tab. Note: Qualifiers for State
Deferrals can only be added via the Work Package Info tab.):
PA
Federal Facility PA Review
SI
Federal Facility SI Review
ESI
Federal Facility ESI Review
Site Reassessment
Federal Facility Site Reassessment Review
ESI/RI
HRS Package
The following non-GPRA activities must also have a decision/qualifier recorded for them
when complete to enable the Agency to correctly determine the status of the site from the
perspective of the Superfund remedial site assessment program:
Other Cleanup Activity
State Deferral
SEMS report no. SA-009 Site Assessment Data Quality includes a 'Completed Actions
with No Decision' line item. Regions should pay particular attention to this data issue since it may
impact GPRA RSAC credit and classification of site status in annual reporting.
Most decisions are self-explanatory. Exhibit VI.3. Remedial Site Assessment Activity
Qualifiers displays available decisions/qualifiers for each type of remedial site assessment activity.
The following provides additional details for select decisions/qualifiers:
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OSWER Directive 9200.3-15-1G-Z
a. No Further Remedial Action Planned (NFRAP)
No further Superfund remedial assessment work will be taken at a site with a No Further
Remedial Action Planned (NFRAP) determination unless new information warranting such
action is received by EPA. NFRAP decisions should not be confused with archiving.
NFRAP decisions are made from a site assessment perspective only; they simply denote
that further Superfund NPL assessment work is not required based on currently available
information. In contrast, the archival of SEMS sites is made only when no further
Superfund interest exists at a site. This means that sites are not archived if there are planned
or ongoing removal or enforcement activities or if other Superfund interest still exists, even
if a NFRAP decision was made based on remedial site assessment activities.
b. Higher Priority / Lower Priority
The High Priority/Low Priority qualifiers are attached to site actions based on the region's
review of available information. There is no standard national definition for higher priority
or lower priority. In general, sites with a higher priority remedial assessment decision are
expected to need further remedial assessment attention sooner than sites with a lower
priority decision.
c. Refer to Removal
Upon completion of a remedial assessment activity, the region may determine that a time-
critical, non-time critical (NTC), or other activity from the EPA removal program is
warranted. There are two different decisions used to track the referral of a site to the
removal program. The decisions depend upon whether or not the region believes additional
remedial assessment will still be needed following completion of work by the removal
program. The two decisions are self-explanatory and include:
1. Referred to Removal, Needs Further Remedial Assessment; and
2. Referred to Removal, No Further Remedial Assessment.
Regions should monitor those sites referred to removal that need further remedial
assessment to ensure additional remedial assessment is not overlooked once removal work
is complete.
d. Site Addressed as Part of Another NPL or Non-NPL site
Upon completion of a remedial site assessment activity, the region may decide that a non-
NPL site is best addressed as part of another pre-existing site. The pre-existing site may be
on the NPL or not on the NPL. This most frequently occurs at Federal Facilities and sites
with an area-wide groundwater contamination or sediment problem resulting from multiple
sources. To address these situations, regions should select one site to serve as the parent
site and the other site will become a child site. Parent sites may have multiple child sites.
Once the parent/child relationship is established in SEMS, no further response work should
be recorded at the child site. Instead, any further response work should be tracked under
the parent site. The following data entry steps are required in SEMS when parent/child
relationships are established:
Upon completion of the remedial site assessment activity that led to the decision to
combine the two sites, the region should enter a qualifier of 'Addressed as part an
September 30, 2015 VI-8 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
existing NPL site' or 'Addressed as part of another non-NPL site' depending on
whether the parent site is on the NPL;
The seven digit Site ID number of the parent site must be entered into the Parent
Site ID field for the child site;
The seven digit Site ID number of the child site must be entered into the Child Site
ID field for the parent site;
The NPL Status for the child site must be changed to 'Site is part of NPL Site' if
the parent site is an NPL site;
The Non-NPL Status for the child site must be changed to 'Addressed as part of
another non-NPL site' if the parent site is not an NPL site.
The Final Assessment Decision value for a child site should match that of its parent site.
e. Referred From RCRA
Referred to Superfund from RCRA due to owner inability to finance corrective action
under RCRA.
f. Assessment Complete - Decision Needed
This qualifier can be used at NPL caliber sites when all anticipated remedial site assessment
work is completed and a decision still needs to be made regarding which remedial cleanup
program approach to pursue (e.g., NPL, removal, state voluntary cleanup program).
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EXHIBIT VI.3. REMEDIAL SITE ASSESSMENT ACTIVITY QUALIFIERS
-4 Available Activity Decisions
SITE ASSESSMENT
ACTIVITY &
<$/
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VI.A.6 Remedial Site Assessment Critical Indicators
Critical Indicators are used in SEMS as a way to further describe the activity at the site.
Critical indicators are entered on the Work Package Info tab of the Edit Schedule screen in the
SEMS Site Management module. The critical indicators available for remedial site assessment
activities include:
Abbreviated Preliminary Assessment - Available for the PA and FF PA Review activity.
Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available for the
following activities:
PA;
SI;
ESI;
Site Reassessment;
HRS Package;
Integrated ESI/RI; and
Removal Assessment.
VI.A.7 Remedial Site Assessment Activities
a. Pre-CERCLA Screening
Activity Definition:
A PCS is an initial review of existing information on a potential Superfund site to determine
if a release or potential release of a hazardous substance has occurred and is eligible for
further remedial evaluation under CERCLA authority, and whether the site should be
entered into the SEMS remedial assessment active site inventory for further assessment.
Pre-CERCLA screening intends to prevent entry of uncontaminated sites or sites ineligible
under CERCLA into this inventory, and help site assessors determine whether the site
needs further attention under Superfund or another cleanup program.
PCS activities include reviewing existing information and collecting minimal additional
information to determine whether a site warrants entry into the Superfund active inventory
for further remedial assessment. Minimal additional information can include collecting
limited sampling data (less than $10,000 sampling costs per screened site) subject to EPA
regional policy, procedures or practices. PCS activities do not include checking SEMS to
see if the site is already included in the Superfund active or archive inventories.
PCS activities should not be performed at sites that clearly do not fall within the scope of
CERCLA section 105. Subsequent PCS activities may be performed when new information
is received at sites previously screened and determined not to warrant entry into the active
inventory.
PCS activities apply only to non-Federal Facility sites. PCS activities do not apply at
Federal Facility sites because they get added to the Federal Facilities Hazardous Waste
Compliance Docket and require completion of a preliminary assessment per CERCLA.
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A Pre-CERCLA screening can be initiated for a number of reasons, including, but not
limited to:
The receipt of a phone call or referral from a state, tribal or other federal agency
staff on a potential new site;
In response to a CERCLA 105(d) petition to conduct a remedial preliminary
assessment;
As part of an area-wide discovery effort to determine the source of known
contamination;
As part of an activity identified in a state or tribe cooperative agreement.
The following minimum level of information is required prior to initiating PCS work at a
potential site:
State;
County;
City (or section township and range);
Street address;
Zip Code; and
Professional judgment by regional site assessment program staff that a PCS is
warranted.
Once regional staff determine a PCS is warranted, the potential site should be added to the
SEMS database to track the PCS activity. For PCS work conducted by a state or tribe
pursuant to a cooperative agreement with EPA, the site(s) can be added to the SEMS
database after EPA receives the PCS report.
For planning purposes, regions should complete a PCS report within one year after
determining a PCS is warranted. The SEMS project management software will
automatically create a planned PCS finish date one year from the date the site is added to
SEMS. The site assessment Reports area in SEMS includes SEMS report no. SA-036, Sites
Needing Completion of Pre-CERCLA Screening. This report displays sites added to SEMS
that need a PCS completed.
Regional remedial site assessment programs are responsible for reviewing PCS reports and
making a decision on whether to add the site to the SEMS remedial assessment active site
inventory for further assessment. A Remedial Site Initiation (Discovery) activity must be
added to SEMS with a finish date for those sites determined to need further remedial site
assessment (e.g. remedial preliminary assessment). Regions should communicate PCS
report decisions to appropriate state staff and to tribes with a known interest in the site in a
timely manner. The PCS report is a Superfund core document and must comply with the
relevant requirements described in the Superfund Records Management chapter of the
SPIM.
For more information on Pre-CERCLA screening, please refer to the Pre-Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS)
Screening Assessments fact sheet (OSWER 9375.2-11FS) available at
September 30, 2015 VI-12 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
http://www.epa.gov/superfund/sites/npl/hrsres/fact/sascreen.pdf. NOTE: EPA plans to
distribute revised Pre-CERCLA screening guidance in FY 2016.
Accomplishment Definition:
Pre-CERCLA Screening Start - A Pre-CERCLA screening activity is started when: 1) the
region begins collecting data and performing other tasks related to completion of the PCS
report; or 2) a PCS report is submitted by a state or tribe pursuant to a cooperative
agreement with EPA; and SEMS contains the actual Pre-CERCLA screening activity start
date and an activity lead of: EPA; EPA-In House; State; or Tribe. The Pre-CERCLA
screening activity start date can be the same as the activity finish date.
Pre-CERCLA Screening Completion - A Pre-CERCLA screening is completed when:
A PCS document has been approved and signed by EPA, including a decision made
on whether to add the site to the SEMS remedial assessment active site inventory.
The Pre-CERCLA screening finish date is the date the PCS report is signed by EPA;
and
SEMS contains the actual Pre-CERCLA screening activity and finish date, a valid
performance lead, and appropriate values in the NPL and Non-NPL Status fields.
In addition to the Pre-CERCLA screening activity, entry of the following information is
required:
Sites that require remedial assessment work only
A Remedial Site Initiation (Discovery) finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen in the SEMS
Site Management module;
A Non-NPL Status of 'PA Start Needed' on the Site Information screen.
Sites that require both remedial assessment and removal work
A Remedial Site Initiation (Discovery) finish date;
A Removal Site Initiation finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen in the SEMS
Site Management module;
A Non-NPL Status of 'Integrated Removal Assessment PA Start Needed' on the
Site Information screen.
Sites that require only removal work
A Removal Site Initiation finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen;
A Non-NPL Status of 'Removal Only' on the Site Information screen.
Sites that require no further evaluation beyond the Pre-CERCLA screening
An NPL Status of 'Not a Valid Site or Incident' on the Site Information screen;
FY 16 SPIM VI-13 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
A Non-NPL Status of 'Not a Valid Site or Incident', 'Not a Valid Site - RCRA
Lead', 'Not a Valid Site - NRC Lead', 'Not a Valid Site - State Lead', or 'Not a
Valid Site-Tribal Lead'.
EXHIBIT VI.4. PRE-CERCLA SCREENING REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Date the Technical Direction Document (TDD) is
Pre-CERCLA Screening
EPA, Tribe,
State
issued or the date the state/tribal government started
conducting the Pre-CERCLA Screening.
Finish: The date the PCS report is signed by EPA and
SEMS contains the Pre-CERCLA Screening finish date,
performance lead, NPL Status and Non-NPL Status
Special Planning/Reporting Requirements:
All Pre-CERCLA screening activities should be tracked in SEMS, including activities at
sites not found to be CERCLA-eligible. Sites that are screened out of the SEMS remedial
assessment active site inventory will be tracked through the 'Not a Valid Site or Incident'
values in the NPL and Non-NPL status field. If the decision is made that the site requires
remedial site assessment under CERCLA authority, it should be added to the SEMS
remedial site assessment inventory by entering a Remedial Site Assessment Initiation
(Discovery) date and a valid NPL and Non-NPL Status.
A Remedial Site Assessment Initiation (Discovery) activity should not be entered into
SEMS if the site only needs a removal assessment/action and no remedial site assessment
work is necessary. For these sites with removal-only interest, the Removal Site Initiation
Date on the Add Site Information screen needs to be entered for these sites to be considered
part of the SEMS active site inventory.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new activities and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
b. Remedial Site Initiation (Discovery)
Activity Definition:
Remedial Site Initiation (Discovery) is the process by which a potential hazardous waste
site is entered into the SEMS remedial assessment active site inventory for remedial site
assessment activities. All sites moving through the remedial site assessment process must
have a Remedial Site Initiation (Discovery) activity/milestone and finish date documented
in SEMS. Entry of the Remedial Site Initiation (Discovery) date initiates the remedial site
assessment process and places the site on the Preliminary Assessment backlog.
September 3 0,2015
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FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Accomplishment Definition:
Remedial Site Initiation (Discovery) of non-Federal Facilities is the date the region
completes a Pre-CERCLA screening report indicating the site warrants Superfund remedial
site assessment.
The Remedial Site Initiation (Discovery) date for Federal Facilities is the date the site is
formally added to the Federal Facilities Hazardous Waste Compliance Docket indicating
Superfund involvement is required.
EXHIBIT VI.5. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
Work Package
Activity/Milestone
Remedial Site Initiation
(Discovery)
Performance
Lead
EPA, Tribe,
State, EPA-In
house
Activity/Milestone Date Requirements
Start/Finish: Documentation of the decision that the
site warrants Superfund remedial site assessment. The
Remedial Site Initiation (Discovery) date is entered
through the Add Site screen.
Special Planning/Reporting Requirements:
A schedule with planned start/finish dates will automatically be generated when a new site
is added to SEMS. The same calendar date should be entered for both the Remedial Site
Initiation (Discovery) actual start and actual finish date. The actual start/finish date must
not be earlier than the Pre-CERCLA screening finish date. Multiple Remedial Site
Initiation (Discovery) activities/milestones are not allowed.
Note: The Removal Site Initiation activity is used by the removal program to track
initiation of sites that have Superfund removal interest. Sites with only removal interest
should not have a Remedial Site Initiation (Discovery) tracked in SEMS.
Sites with only remedial site assessment interest should not have a Removal Site Initiation
tracked in SEMS.
Sites with both removal and remedial assessment interest should have both a Removal Site
Initiation activity/milestone and a Remedial Site Initiation (Discovery) activity/milestone.
The Remedial Site Initiation (Discovery) actual start and finish date for a site referred from
removal to remedial assessment or from RCRA to remedial assessment should be the date
the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new activities and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.44 above for details.
FY 16 SPIM VI-15 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
c. Preliminary Assessments (PA) at Non-Federal Sites
Activity Definition:
A PA is often the first phase of the remedial site assessment process following remedial
site initiation (discovery). The National Contingency Plan (NCP) requires completion of a
PA at all sites moving through the remedial site assessment process. The PA is used to
determine what steps, if any, need to occur next at the site. Federal, state, and local
government files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. An on- or off-site reconnaissance also may be
conducted, although it is not required. Samples are not generally collected during a PA;
however, limited sampling may be performed as necessary to determine whether further
assessment (e.g., site inspection) is needed.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and remedial preliminary assessment
combines requirements of a both types of assessments into a single report.
There are instances when an Abbreviated Preliminary Assessment (APA) can be performed
in lieu of a standard PA. An APA is preferred when: 1) available information indicates the
site would not pass the Pre-CERCLA screening step if it was not already in the SEMS site
inventory; and 2) available information indicates a SI or ESI is warranted. The October,
1999 Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides
information on conducting APAs and includes a checklist to help site assessors determine
whether an APA report is appropriate for a given site. The checklist or an equivalent
document can serve as documentation that the APA was completed. The APA checklist or
equivalent report must address the requirements set forth in the NCP for conducting
remedial preliminary assessments.
Combining PA and SI or ESI activities into a single event may be performed at sites where
it is known that more intensive sample collection as warranted and where time and cost
efficiencies can clearly be gained. When combining remedial assessments, the PA
documentation must still be developed to meet NCP requirements. An APA report is
sufficient for this purpose.
Accomplishment Definition:
PA Starts - A PA is started when the region begins collecting data and performing other
tasks related to development of the PA report; or when the region signs a letter, form,
memo, or issues a Technical Direction Document (TDD) to the EPA contractor or
state/tribal government (where applicable), requesting performance of a PA at a specific
site or group of sites; or when EPA receives written confirmation from a state/tribal
government that the state/tribal government will conduct the PA; and SEMS contains the
actual PA start date and a performing lead of: EPA; EPA-In House; State; or Tribal. PA
start dates are required and are used by HQ as a program measure.
September 30, 2015 VI-16 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
PA Completions - A Preliminary Assessment is completed when:
A PA Report has been developed by EPA; or received by the region from the federal
contractor or state/tribal government; and the appropriate regional official signs a
letter, form, or memo approving the PA report. The PA finish date is the date the
PA report is approved; and
SEMS contains the actual PA finish date and a decision on whether further activities
are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the PA. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI.6. PRELIMINARY ASSESSMENT REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be a non-Federal Facility site
Preliminary Assessment
EPA, State,
Tribe, EPA In-
house
Start: Date the TDD is issued or the date the state/tribal
government started the PA.
Finish: Letter, form, memo approving the PA report;
Site decision Form 9100-3 in SEMS or equivalent
document signed by the appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, regions should complete a PA at a non-Federal Facility site listed
in SEMS within one year of the remedial site initiation (discovery) finish date.
Integrated removal assessment and remedial preliminary assessment reports are tracked in
SEMS by entering a PA activity and selecting INTEGRATED RV/RMDL as a critical
indicator on the PA Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
APA reports are tracked in SEMS by entering a PA activity and selecting APA as a critical
indicator on the PA Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
When combining PA and SI or ESI assessments, the same actual start and finish dates for
the PA and SI or PA and ESI activity should be entered into SEMS. The PA should be
assigned a high priority qualifier in SEMS. The decision reached at the end of the combined
PA and SI or combined PA and ESI assessment should be entered as the qualifier for the
SI or ESI activity.
When applicable, a critical indicator of Abbreviated PA should be assigned to the PA
activity in SEMS.
PA starts and completions are reported site-specifically in SEMS. Preliminary Assessment
completions at non-Federal Facility sites is a program measure. Regions are responsible
FY 16 SPIM VI-17 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
for maintaining the accuracy of the non-NPL status for every non-NPL site in the SEMS
inventory. As new actions and new dates are entered into SEMS, the system will ask the
user to confirm or change this value as appropriate. Data entry timeliness practices are
important to obtain all accomplishments. See section VI.A.44 above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility PA Review activities performed at Federal Facilities.
d. Site Inspections (SI) at Non-Federal Sites
Activity Definition:
The SI involves the collection of field data from a suspected hazardous waste site to
confirm or deny the presence of contamination and to further characterize contaminants,
migration pathways, and background contaminant levels. The SI serves as a further
screening activity to determine what steps, if any, need to occur next at the site. Regions
should employ Field Analytical Sampling (FAS) techniques wherever practical during
conduct of SI activities.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and remedial site inspection
combines requirements of a both types of assessments into a single report.
See the PA section above for a discussion on combining PA and SI activities into a single
event.
Accomplishment Definition:
SI Starts - A SI start date at a non-Federal Facility site is defined as the date when EPA or
the state/tribal government signs a letter, memo or form approving the site-specific SI work
plan, or a TDD is issued to the contractor at a site (refer to OSWER Publication #9345.1-
03FS for further guidance on defining SI starts) and SEMS contains the actual SI start date
and a performing lead of: EPA; EPA-In House; State; or Tribal. SI start dates are required.
,57 Completions - A SI is completed when:
A SI Report has been generated by EPA, or received by the region from the federal
contractor or state/tribal government, and the appropriate regional official signs a
letter, form, or memo approving the SI report. The SI finish date is the date the SI
report is approved; and
SEMS contains the actual SI finish date, a valid performing lead, and a decision on
whether further activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the SI. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
September 30, 2015 VI-18 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT VI.7. SITE INSPECTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be a non-Federal Facility site
Site Inspection
EPA, State,
Tribe, EPA In-
house
Start: Letter, memo, or form approving the site specific
work plan or TDD signed by the EPA or state/tribal
government.
Finish: Letter, form, memo approving the SI report; Site
decision Form 9100-3 in SEMS or equivalent document
signed by the appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, Sis at non-federal sites are expected to average two years from start
to completion. The SEMS project management software will automatically create a
planned SI finish date two years from the planned or PA finish date.
Actual start and finish dates are required for Sis. SI starts and completions are reported
site-specifically in SEMS. Site Inspection completions at a non-Federal Facility sites is a
program measure.
Integrated removal assessment and remedial site inspection reports are tracked in SEMS
by entering a SI action and selecting INTEGRATED RV/RMDL as a critical indicator on
the SI Work Package Info tab of the Edit Schedule screen in the SEMS Site Management
module.
When combining PA and SI assessments, the same actual start and finish dates for the PA
and SI activity should be entered into SEMS. The PA should be assigned a high priority
qualifier in SEMS. The decision reached at the end of the combined PA and SI should be
entered as the qualifier for the SI activity.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility SI Review activities performed at Federal Facilities.
e. Site Reassessments at Non-Federal Sites
Activity Definition:
A Site Reassessment represents the gathering and evaluation of new information on a site
previously assessed under the federal Superfund program to determine whether further
Superfund attention is needed. A Site Reassessment serves as a supplement to previous
assessment work and not as a replacement for traditional assessment activities (e.g.,
Preliminary Assessment, Site Inspection). The scope of work for a Site Reassessment
activity is flexible, but will usually represent a component of a traditional site assessment
FY 16 SPIM VI-19 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
activity. The intent of the Site Reassessment action is to document the expenditure of
Superfund resources on older sites where EPA has received new information or learned
that site conditions have changed. This activity is also used to record further assessment
decisions made after reviewing this new site information. A brief summary of work
performed as part of the Site Reassessment action and the related site decision as a result
of this work must be documented by completing the Site Decision Form 9100-3 in SEMS,
or an equivalent document. Correction of site decisions (i.e., action qualifiers) on
completed PA, SI or ESI activities based solely on file reviews should be documented using
the historical lockout feature in SEMS and not as a new Site Reassessment activity.
Accomplishment Definition:
Site Reassessment Starts - A Site Reassessment start is defined as the date when EPA or a
state/tribal government signs a letter, memo or form approving the site-specific Site
Reassessment work plan or a TDD is issued to the contractor at a site and SEMS contains
the actual Site Reassessment start date and a performing lead of: EPA, EPA-In House;
State; or Tribal.
Site Reassessments Completions - A Site Reassessment is complete when:
A Site Reassessment report has been developed by EPA or has been received by
the region from the federal contractor or the state/tribal government, and the
appropriate regional official signs a letter, form, or memo approving the Site
Reassessment report. The Site Reassessment finish date is the date the Site
Reassessment report is approved, and
SEMS contains the actual Site Reassessment finish date, a valid performing lead,
and a valid decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the Site Reassessment.
Please refer to exhibit VI.3 for a list of valid qualifiers for this action and a description of
each qualifier.
EXHIBIT VI.8. SITE REASSESMENT REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Letter, memo, or form approving the site-specific
Site Reassessment
EPA, State,
Tribe, EPA In-
house
work plan, when required, or a signed TDD is issued.
Finish: Letter, form, or memo approving the Site
Reassessment report;
Site Decision Form 9100-03, or an equivalent document
signed by appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, Site Reassessments at non-federal sites are expected to average one
year from start to completion. Actual start and finish dates are required for Site
September 3 0,2015
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OSWER Directive 9200.3-15-1G-Z
Reassessment activities. Site Reassessments are reported site-specifically in SEMS. Site
Reassessment completions are program measures for non-Federal Facilities.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility Site Reassessment Review activities as performed at Federal Facilities.
f. Expanded Site Inspections (ESI) at Non-Federal Sites
Activity Definition:
The ESI collects additional data beyond that collected in the SI to evaluate the site for HRS
scoring. ESIs are reserved for more complex sites that cannot be adequately characterized
using standard SI methodologies. Installation of groundwater monitoring wells is typical
of activities performed under the ESI. Regions should employ FAS techniques wherever
practical during ESI activities.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and ESI combines requirements of a
both types of assessments into a single report.
See the PA section above for a discussion on combining PA and ESI activities into a single
event.
Accomplishment Definition:
ESI Starts - An ESI start is defined as the date when EPA or a state/tribal government signs
a letter, memo or form approving the site specific ESI work plan or a Technical Direction
Document is issued to the contractor at a site and SEMS contains the actual ESI start date
and a performing activity lead of: EPA; EPA-In House; State; or Tribal.
ESI Completions - An ESI is complete when:
An ESI Report has been developed by EPA; or received by the region from the
federal contractor; or the state/tribal government; and the appropriate regional
official signs a letter, form, or memo approving the ESI report. The ESI finish date
is the date the ESI report is approved; and
SEMS contains the ESI finish date, a valid performing lead, and a valid decision on
whether further activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the ESI. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
FY 16 SPIM VI-21 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT VI.9. EXPANDED SITE INSPECTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Letter, memo, or form approving the site specific
Expanded Site Inspection
EPA, State,
Tribe, EPA In-
house
work plan or TDD signed by the EPA or state/tribal
government.
Finish: Letter, form, or memo approving the ESI report;
Site Decision Form 9100-3 in SEMS or an equivalent
document signed by appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, ESIs at non-federal sites are expected to average one year from start
to completion. Actual start and finish dates are required for ESIs. ESI starts (Actual Start)
and completions are reported site-specifically in SEMS. ESI starts and completions are
program measures for non-Federal Facilities.
Integrated removal assessment and expanded site inspection reports are tracked in SEMS
by entering an ESI action and selecting INTEGRATED RV/RMDL as a critical indicator
on the ESI Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
When combining PA and ESI assessments, the same actual start and finish dates for the
PA and ESI activity should be entered into SEMS. The PA should be assigned a high
priority qualifier in SEMS. The decision reached at the end of the combined PA and ESI
assessment should be entered as the qualifier for the ESI activity.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
this Federal Facility ESI Review activities performed at Federal Facilities.
g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites
Activity Definition:
The integrated ESI/RI is an assessment consisting of an ESI and a RI. The ESI/RI is used
to expedite remedial response by gathering site characterization data common to both ESI
and RI activities in one step, thereby expediting the later collection of data when
comprehensive RI activities are performed. The goal of ESI/RIs is to save time and costs
characterizing sites when compared to the traditional, sequential ESI-NPL Listing-RI
process. ESI/RIs facilitate but do not replace RIs, and are recommended at sites where
conditions indicate that the HRS score will be above 28.5 and a remedial response will be
needed. The RI portion of an ESI/RI is intended to be a sitewide activity. ESI/RI activities
should be entered into SEMS at operable unit 00.
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ESI/RIs may not always be feasible given known site conditions and activities completed
to date. In some cases, it may be more prudent to conduct a separate ESI and RI. The
definitions for Remedial Investigation/Feasibility Study (RI/FS) Completion and RI
Completion (see definitions in chapter VIII) are different from the definition for ESI/RI
Completion. The definition of an ESI/RI Completion is the same as that of an ESI
Completion. If an ESI/RI activity is recorded in SEMS, a stand-alone ESI activity should
not be recorded at that site.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and integrated ESI/RI combines
requirements of a both types of assessments into a single report.
Accomplishment Definition:
ESI/RI Starts - An ESI/RI start is defined as the date when EPA or a state/tribal government
signs a letter, memo or form approving the site specific ESI work plan or a Technical
Direction Document is issued to the contractor at a site and SEMS contains the actual ESI
start date and a performing activity lead of: EPA; EPA-In House; State; or Tribal.
ESI/RI Completions - An ESI/RI is complete when:
An ESI/RI Report has been reviewed and accepted by the region and the appropriate
regional official signs a letter, form, or memo approving the ESI/RI report. The
ESI/RI finish date is the date the ESI/RI report is approved; and
The following has been recorded in SEMS: the ESI/RI finish date; a valid
performance lead; and a decision on whether further activities are necessary in the
Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the ESI/RI. Please refer
to exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI. 10. ESI/RI REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
ESI/RI
EPA, State,
Tribe, EPA In-
house
Start: Letter, memo, or form approving the site specific
work plan or TDD signed by the EPA or state/tribal
government
Finish: Letter, form, or memo approving the ESI/RI
report;
Site Decision Form 9100-3, or an equivalent document
signed by appropriate regional official
Special Planning/Reporting Requirements:
For planning purposes, ESI/RIs are expected to average one year from start to completion.
Actual start and finish dates are required for ESI/RIs. ESI activities should not be recorded
FY 16 SPIM
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separately in SEMS if they are conducted as part of an ESI/RI. ESI/RI completions at non-
Federal Facility sites are program measures.
An integrated removal assessment and ESI/RI report is tracked in SEMS by entering an
ESI/RI action and selecting INTEGRATED RV/RMDL as a critical indicator on the ESI/RI
Work Package Info tab of the Edit Schedule screen in the SEMS Site Management module.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
h. Hazard Ranking System (HRS) Packages
Activity Definition:
The HRS Package documents a numeric score of the relative severity of a hazardous
substance release or potential release based on: 1) the relative potential of substances to
cause hazardous situations; 2) the likelihood and rate at which the substances may affect
human and environmental receptors; and 3) the severity and magnitude of potential effects.
The HRS Package also includes references and documentation in support of the score. The
score is computed using the revised HRS. Regions are responsible for preparing HRS
packages for both Federal and non-Federal Facility sites. Regions submit a draft version of
the HRS package to HQ for quality assurance (QA) review. Regions and HQ work together
to address issues and agree on a final version of the HRS package. Based on results of the
completed HRS package and other factors, regions determine what next steps, if any, are
appropriate for a site (e.g., NPL listing, NFRAP, etc.)
A full HRS package is required for sites being addressed through the SAA; however, the
HRS package does not have to go through the EPA HQ QA process.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and HRS Package combines
requirements of both types of assessments into a single report.
Accomplishment Definition:
HRS Package Starts - An HRS Package start is defined as the date when EPA signs a
memo, form, or letter requesting development of a HRS Package for a specific site and
SEMS contains the actual HRS Package start date and a valid performance lead of: EPA-
In House; State; or Tribal. HRS Package start and finish dates are required for both Federal
and non-Federal Facility sites, and are used to identify the status of sites in the site
assessment pipeline and to measure activity durations.
Due to the pre-decisional nature of HRS packages, regions may postpone entry of HRS
start dates until after the HRS package has gone through HQ QA review or after the site
has been proposed to the NPL.
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HRSPackage Completions - An HRS Package is complete when:
An HRS Package has completed HQ QA review and HQ and the region agree to a
final version, or an HRS package has completed regional quality control (QC)
review and the HRS package will not be submitted to HQ for QA review; and
The following has been recorded in SEMS: the approval date for the final version
of the HQ QA reviewed (if submitted to HQ) or regional QC reviewed (if not
submitted to HQ); HRS Package date or the NPL Proposal publication date as the
actual HRS Package finish date; a performance lead; and a decision on whether
further activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in SEMS
or an equivalent document.
Note: Submission of HRS Packages to HQ for technical assistance does not
represent an HRS Package completion.
A valid decision must be recorded in SEMS upon completion of the HRS Package. Please
refer to exhibit VI.3 for a list of valid qualifiers for this action and a description of each
qualifier.
EXHIBIT VI. 11. HRS PACKAGE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
HRS Package
EPA, State,
Tribe, EPA In-
house
Start: Letter, form, or memo requesting site specific
development of a HRS Package.
Finish: Site Decision Form 9100-3, or an equivalent
document signed by appropriate regional official
Special Planning/Reporting Requirements:
For planning purposes, HRS packages are expected to average one year from start to
completion.
Actual start and finish dates are required for HRS Packages. HRS Package completions at
both Federal and non-Federal Facilities are program measures.
Integrated removal assessment and HRS Package reports are tracked in SEMS by entering
an HRS Package action and selecting INTEGRATED RV/RMDL as a critical indicator on
the HRS Package Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
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i. Other Cleanup Activity (OCA)
Activity Definition:
This activity is used to document the referral of a non-NPL site to a state, tribal, or federal
environmental cleanup program for remedial-type work without EPA enforcement or
oversight. Remedial-type work can include comprehensive site investigations in support of
making cleanup determinations, interim cleanup actions, removals or final cleanup
decisions, including decisions that cleanup is not required. For this definition, 'without
EPA enforcement or oversight' means that there is no continuous and substantive
involvement on the part of EPA while remedial-type work is ongoing, such as routinely
reviewing work products and other documents and providing comments to the non-EPA
party. However, EPA may gather information about activities at an Other Cleanup Activity
(OCA) site through meetings or calls with the non-EPA party, by accessing related web
sites, or through other means.
OCA status should only be used for sites that have completed a PA within the Superfund
site assessment process and are considered to be NPL-caliber (i.e., existing information
indicates that the site may achieve an HRS score > 28.5) and the site warrants remedial-
type work as described above.
Regions should periodically discuss progress of OCA sites with the other party leading or
managing the remedial-type work to ensure adequate progress is being made. OCA sites
not making adequate progress should be evaluated to determine whether another cleanup
approach is warranted.
Accomplishment Definition:
OCA Starts - An Other Cleanup Activity start date is defined as the date EPA refers the
site to the state, tribal, or federal environmental cleanup program for further consideration
or acknowledges that the site is being cleaned up by a non-EPA party as supported by
existing documentation. Preferred minimum documentation required to proceed with an
OCA start is written confirmation from the other party that it agrees to take the lead and
provide cleanup status updates to EPA on an annual basis or other acceptable timeframe.
This minimum documentation requirement may be relaxed in cases where it is clear based
on other information that cleanup work is progressing adequately. An example of other
information would be a web page managed by the other party that provides periodic site
cleanup progress updates to the public.
OCA Completions - An Other Cleanup Activity completion is defined as either: 1) the date
EPA obtains or receives documentation from the non-EPA party that the site has been
addressed in accordance with all applicable standards (i.e., determination that cleanup was
successfully completed or that cleanup was not necessary); 2) the date EPA determines
remedial-type work will not be completed by the non-EPA party (e.g., site referred back to
EPA or otherwise returned to EPA for evaluation of other cleanup approaches); or 3) the
date EPA determines, based on documentation from the non-EPA party, that sufficient
progress related to needed remedial-type work is being made such that the site should be
archived from the SEMS active site inventory since the site is not considered a likely NPL
candidate. The date the documentation is received or determination is made is entered into
SEMS as the finish date of the OCA.
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The minimum documentation required to record a determination that cleanup was
successfully completed is a close-out report or equivalent document submitted by the non-
EPA party indicating no further remedial cleanup is needed. A finish date for the OCA
activity and a NFRAP qualifier should be entered into SEMS, and the site can be archived
if no further Superfund interest exists. In cases where EPA, states, tribes, municipal
governments or other federal agencies decide to perform a site reassessment or other
remedial site assessment to confirm no further Superfund interest is warranted, a finish date
should be added to the OCA activity in SEMS with a lower or higher priority qualifier and
the appropriate site reassessment or other remedial assessment activity should be added to
the site schedule in SEMS.
Minimum documentation required to record a determination that remedial-type work will
not be completed by the non-EPA party is a signed document from the non-EPA party
stating work will not be completed. In cases where a signed document is not available from
the other party, EPA shall, at a minimum, submit a signed document to the non-EPA party
stating EPA is resuming an active role in pursuing additional remedial assessment and/or
an alternative cleanup approach. A finish date for the OCA activity can be entered into
SEMS with a lower or higher priority or other further assessment-type qualifier.
Minimum documentation required to record a determination that sufficient progress has
been made such that the site is no longer considered a likely NPL candidate is a progress
report or equivalent document submitted by the non-EPA party providing sufficient
information for the region to make a NFRAP determination. A finish date for the OCA
activity and a NFRAP qualifier should be entered into SEMS, and the site can be archived
if no further Superfund interest exists.
In SEMS, the OCA decision is documented by completing the Site Decision Form 9100-3
in SEMS, or an equivalent document.
Valid decisions to be recorded in SEMS upon completion of the OCA include:
For sites that require further remedial site assessment:
(H) - High - Higher priority for further assessment;
(L) - Low - Lower priority for further assessment;
(B) - Addressed as Part of Another Non-NPL Site; or
(G) - Recommended for HRS Scoring
For sites that do not require further remedial site assessment:
(N) - NFRAP - Site Does Not Qualify for the NPL Based on Existing Information;
(W) - Referred to Removal, No Further Remedial Assessment
For sites that require further remedial study/cleanup needed:
(A) - Addressed as Part of an Existing NPL site;
(DN) - Deferred to NRC;
(D) - Deferred to RCRA (Subtitle C);
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(F) - Referred to Removal, Needs Further Remedial Assessment; or
(SA) - Superfund Alternative Agreement.
EXHIBIT VI. 12. OTHER CLEANUP ACTIVITY REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA refers the site to a state, tribal, or federal
Other Cleanup Activity
State, Tribe,
State Oversight,
FF
environmental cleanup program or acknowledges the
site is being cleaned up by a non-EPA party.
Finish: Date EPA receives information that remedial-
type work has been or will not be completed.
Special Planning/Reporting Requirements:
Recording Final Assessment Decisions at Other Cleanup Activity Sites: Regions should
assign a Final Assessment Decision to those OCA sites where no further site assessment
work is anticipated beyond reviewing cleanup progress/closeout reports and related
information. If new information is received or conditions change such that further site
assessment is warranted (e.g., site reassessment), regions should delete the Final
Assessment Decision.
A No Further Federal Action (NFFA) should not be assigned to sites with on ongoing OCA
activity.
OCA activity start and finish dates are used to generate the following OCA status values
displayed on EPA's public web site for Superfund:
Referred to state for Remedial Study/Cleanup - (value calculated when OCA start
date exists and no finish date exists); and
State Remedial Study/Cleanup Completed - (value calculated when OCA start and
finish dates both exist).
For existing OCA actions that do not meet the current SPEVI definition, an Action Anomaly
Code shall be recorded at the OCA action as follows:
Other Start Anomaly (OS) - use if only an actual start date has been recorded; or
Other Start and Completion Anomaly (OA) - use if both a start and finish date have
been recorded.
The following six steps can be entered under the Other Cleanup Activity to genetically
capture the different cleanup phases a site may be undergoing:
1. Comprehensive Site Investigation;
2. Remedy Selection;
3. Design;
4. Construction;
5. Post-Construction Maintenance; and
6. Short Term Cleanup.
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Step start and finish dates and lead codes are available for documenting the start and
completion of the different cleanup phases being conducted at non-NPL sites by non-EPA
parties.
The following qualifiers are available for these activities:
(H) - High - Higher priority;
(L) - Low - Lower priority; and
(Blank) - No qualifier specified.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. Data entry timeliness practices are important to obtain all
accomplishments. See section VI. A.44 above for details.
j. Formal State Deferral
Activity Definition:
State Deferral is an administrative mechanism enabling states and tribes, under their own
laws, to respond at sites in the SEMS inventory that EPA would otherwise not soon address.
Under the State Deferral program, EPA anticipates that responses may be quick and
efficient, yet still be protective of the environment and of communities' rights to participate
in the decision-making process. Refer to the guidance on Deferral of NPL Listing
Determinations While States Oversee Response Actions (OSWER Directive 9375.6-11,
May 1995) for additional information on this program.
Accomplishment Definition:
State Deferral Starts - The state deferral process start is defined as the date when the
regional Superfund program director and the state program director sign a document
deferring the site to the state under the terms established in the deferral guidance. A State
Deferral action must be recorded in SEMS. State deferrals are applicable only to non-
Federal Facility sites that are not on the NPL.
State Deferral Completions. The state deferral completion is defined as either: 1) the
signature date of a formal regional document confirming that the deferral has been
completed successfully, or terminating the deferral agreement; or 2) 90 days after the date
EPA receives state certification that the deferral has been completed. The outcome
(Qualifier) of the state deferral must be entered with the finish date.
Valid decisions (Qualifiers) must be recorded in SEMS upon completion of the state
deferral. Please refer to exhibit VI.3 for a list of valid qualifiers for this activity and a
description of each qualifier.
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EXHIBIT VI.13. STATE DEFERRAL REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Document deferring the site to the state. Signed
State Deferral
State
by regional Superfund program director and state
program director.
Finish: 1) Formal regional document confirming that the
deferral has been completed successfully, or terminating
the deferral agreement; or 2) state certification that the
deferral has been completed.
Special Planning/Reporting Requirements:
When the state deferral is completed, users should also enter an anomaly code of SD (State
Deferral) on the Work Package Info tab in SEMS.
Six steps can be entered for the State Deferral activity to generically capture the different
cleanup phases a site may be undergoing. These steps include:
1. Comprehensive Site Investigation;
2. Remedy Selection;
3. Design;
4. Construction;
5. Post-Construction Maintenance; and
6. Short Term Cleanup
Start and finish dates are available for documenting the start and completion of the different
cleanup phases being conducted at non-NPL sites by non-EPA parties.
Actual start and finish dates are required. Sites successfully completing the deferral process
are eligible for archiving (removal) from the SEMS inventory. Formal State Deferral starts
and completions are program measures.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Data entry
timeliness practices are important to obtain all accomplishments. See section VI.A.44
above for details.
k. NPL Listing Activities
Activity Definition:
The NPL is a list of national priorities among the known or threatened releases of hazardous
substances, pollutants, or contaminants throughout the United States and trust territories.
There are three mechanisms for placing sites on the NPL for possible remedial action:
A site may be included on the NPL if it scores sufficiently high on the HRS. The
HRS serves as a screening device to evaluate the relative threat that uncontrolled
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hazardous substances pose to human health or the environment. As a matter of
agency policy, those sites that score 28.5 or greater on the HRS are eligible for the
NPL.
Each state may designate a single site as its top priority to be listed on the NPL,
regardless of the HRS score.
Certain sites may be listed regardless of their HRS score, if all of the following
conditions are met:
i. The Agency for Toxic Substances and Disease Registry (ATSDR) of the U. S.
Public Health Service has issued a health advisory that recommends
dissociation of individuals from the release; and
ii. EPA determines that the release poses a significant threat to public health;
and
iii. EPA anticipates that it will be more cost-effective to use its remedial authority
than to use its removal authority to respond to the release.
Accomplishment Definition:
Proposed NPL Listing - The process of proposing a site for placement on the NPL is
complete when a Proposed Rule proposing the site to the NPL is published in the Federal
Register.
Removal of Proposed NPL Listing - The process of removing a site from proposal to the
NPL begins and simultaneously ends when a notice announcing the removal of the site
from NPL proposal is published in the Federal Register (typically published in a regularly
scheduled NPL proposed rule)
Final NPL Listing - The Final NPL listing for a site is complete when a Final Rule adding
the site to the NPL is published in the Federal Register.
Withdrawn from the Final NPL - The process of withdrawing a site from the NPL is
complete when a Final Rule withdrawing the site is published in the Federal Register.
EXHIBIT VI.14. NPL LISTING REQUIREMENTS
Work Package
Activity/Milestone
Proposal to NPL
Removed from the Proposed
NPL
Final Listing on the NPL
Withdrawn from the NPL
Performance
Lead
EPA
Activity/Milestone Date Requirements
Proposed Rule proposing the site to the NPL published
in the Federal Register.
Notice of the removal published in the Federal Register.
Final Rule adding the site to the NPL published in the
Federal Register.
Final Rule withdrawing the site published in the Federal
Register.
Special Planning/Reporting Requirements:
HQ will update the following SEMS data when Proposed and/or Final NPL rules are
published in the Federal Register:
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SEMS Site Name;
Federal Register Site Name (for historical record keeping purposes should the
SEMS site name change);
NPL listing activities (Proposed NPL Listing in Federal Register., Removed from
Proposed NPL Listing in Federal Register, Final NPL Listing in Federal Register,
and Withdrawal of Final NPL Listing in Federal Register;
NPL listing activity finish date and performance lead of EPA In-House;
The NPL Status of 'Proposed for NPL (P)', 'Removed from proposed NPL (R)',
'Currently on Final NPL (F)', or 'Withdrawn from NPL (W)';
Federal Docket Management System (FDMS) number, if not already assigned;
The FAD Date will be added to the site and any associated child sites using the date
of NPL proposal (this automatically checks the FAD box);
The Eligible Response Site (ERS) Exclusion will be unchecked at the site and any
associated child sites (when proposed);
The Non-NPL Status and date fields will be deleted (when proposed);
The Federal Register date;
The Federal Facility status; and
Location data updates include latitude/longitude, street address, city, county and
zip code.
VI.A.8 Cleanup Alternatives
The Superfund remedial process begins once sites are brought to the attention of the
Superfund remedial site assessment program. As the EPA uses all available tools to ensure the
protection of human health and the environment, various avenues for site cleanup are evaluated
during remedial site assessment to determine which is the most appropriate to meet site cleanup
needs.
In addition to determining whether placing a site on the National Priorities List is the most
efficient option to achieve site cleanup, the EPA evaluates a number of other options for addressing
site issues. Below are descriptions of each of these site cleanup options.
a. Referral to EPA Removal
Removal actions are quick responses to immediate threats from hazardous substances in
order to eliminate dangers to the public. Typical situations requiring removal actions
include chemical fires or explosions, threats to people from exposure to hazardous
substances, or contamination of drinking water supplies. Types of removal actions include
removing and disposing of hazardous substances, constructing a fence or taking security
precautions to limit human access to a site, providing a temporary alternative water supply
to local residents when drinking water is contaminated, and temporarily relocating area
residents if necessary.
Upon completion of a remedial assessment activity, the region may determine that a time-
critical, non-time critical (NTC), or other activity from the EPA removal program is
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warranted. In SEMS, there are two different activity qualifiers and corresponding Non-
NPL Status values used to track the referral of a site to the removal program. The values
to be used depend upon whether or not the region believes additional remedial assessment
will still be needed following completion of work by the removal program. The two activity
qualifiers and their corresponding non-NPL Status values are self-explanatory and include:
1. Referred to Removal, Needs Further Remedial Assessment (action qualifier)
Referred to Removal-Further Assessment Needed (non-NPL status)
2. Referred to Removal, No Further Remedial Assessment (action qualifier)
Referred to Removal - NFRAP (non-NPL status)
Regions should monitor those sites referred to removal that need further remedial
assessment to ensure additional remedial assessment is not overlooked once removal work
is complete.
b. Deferral to RCRA
Upon completion of remedial assessment activity, the region may determine that the site is
excluded from Superfund consideration under policy, regulatory, or legislative restrictions
and defer it to the RCRA program. It is the EPA's policy to defer placing sites on the NPL
that can be comparably addressed under RCRA Subtitle C corrective action authorities;
however, there are certain exceptions to this policy (e.g., uncooperative or bankrupt
responsible party). Additional information regarding EPA's RCRA deferral policy is
available at http://www.epa.gov/superfund/sites/npl/p880624.htm. RCRA sites not subject
to Subtitle C can continue to be considered for NPL listing.
c. Deferral to Nuclear Regulatory Commission (NRC)
Upon completion of remedial assessment activity, the region may determine that the site is
excluded from Superfund consideration under policy, regulatory, or legislative restrictions
and defer it to the NRC cleanup program. It is EPA's policy not to list releases of source,
by-product, or special nuclear material from any facility with a current license issued by
the NRC because the NRC has full authority to require cleanup of releases from such
facilities. If a facility is licensed by the NRC, but the NRC does not have authority to
require cleanup, the site will not be deferred from NPL listing.
d. Other Cleanup Activity
Sites that are not on EPA's National Priorities List that have completed the Superfund
remedial assessment process and are considered to be NPL-caliber (i.e., existing
information indicates that the site may achieve an HRS score > 28.5 and determined to
need remedial-type cleanup attention may be addressed under a state, tribal, municipal, or
other federal agency environmental cleanup program. EPA refers to these sites as 'OCA'
sites. Remedial-type work can include comprehensive site investigations in support of
making cleanup determinations, interim cleanup actions, removals or final cleanup
decisions, including decisions that cleanup is not required. At these sites, there is no
continuous and substantive involvement on the part of EPA's site assessment program
while remedial-type work is ongoing, such as routinely reviewing work products and other
documents and providing comments.
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EPA performs a monitoring role at OCA sites by annually checking in with state, tribal,
municipal and other federal agency partners on the status of cleanup work at these sites.
Should conditions change such that federal Superfund involvement becomes necessary,
EPA will work with these partners to determine an alternative approach for addressing a
site.
EPA's SEMS inventory contains limited information on these sites. EPA posts OCA sites
on its public web site at:
http://www.epa.gov/superfund/programs/npl_hrs/othercleanup.htm. The information on
this site includes a summary cleanup status designation for each site. EPA staff will
generally need to forward public inquiries for specific cleanup information at non-federal
OCA sites to state, tribal, municipal or other federal agency partner staff. For Federal
Facilities, EPA staff can refer requestors to EPA's Federal Facilities Site Evaluation Project
(FFSEP) web site at http://epa.gov/swerffrr/ffsep/ or to the appropriate federal agency for
more information.
The following definitions are provided to assist EPA staff in making consistent OCA status
designations across regions:
Other Cleanup Activity: State-Lead Cleanup
A state agency with environmental responsibilities has requested or agreed to pursue a non-
NPL cleanup under a state government managed cleanup program such as a state Superfund
or other enforcement program, a State Voluntary Cleanup program, or other program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
Other Cleanup Activity: Tribal-Lead Cleanup
A tribal government program with environmental responsibilities has requested or agreed
to pursue a non-NPL cleanup under a tribal government managed cleanup program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
Other Cleanup Activity: Municipal/Other Government-Lead Cleanup
A municipal or other local government program with environmental responsibilities has
requested or agreed to pursue a non-NPL cleanup under a municipal or other local
government managed cleanup program with sufficient oversight ability to ensure progress
is effectively monitored and communicated annually to the EPA.
Other Cleanup Activity: Federal Facility-Lead Cleanup
A non-EPA federal agency with environmental responsibilities has requested or agreed to
pursue a non-NPL cleanup under their own federally mandated cleanup program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
The four types of OCA designations are tracked in the Non-NPL Status column in SEMS.
Sites with these designations must also have an OCA activity added to their project
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schedule in SEMS. The schedule activity enables EPA to track the start and finish of OCA
work as well as progress made while OCA work is underway.
The OCA cleanup option does not apply to sites being addressed under RCRA Subtitle C
corrective action. Subtitle C sites should use the RCRA deferral cleanup option.
e. Formal State Deferral
State Deferral is an administrative mechanism enabling states and tribes, under their own
laws, to respond at sites in the SEMS inventory that EPA would otherwise not soon address.
Under the State Deferral program, EPA anticipates that responses may be quick and
efficient, yet still be protective of the environment and of communities' rights to participate
in the decision-making process. Refer to the guidance on Deferral of NPL Listing
Determinations While States Oversee Response Actions (OSWER Directive 9375.6-11,
May 1995) for additional information on this program.
f. Superfund Alternative Approach (SAA)
When a liable Potential Responsible Party (PRP) demonstrates it is viable and cooperative,
EPA regional offices, at their discretion, may enter into a SAA agreement with the PRP to
facilitate the cleanup of a site. The SAA uses the same investigation and cleanup process
and standards that are used for sites listed on the NPL. The SAA is generally the Agency's
preferred enforcement approach for CERCLA non-NPL sites that are NPL-caliber, where
feasible and appropriate.
Threshold eligibility criteria for using the SAA are:
site contaminants are significant enough that the site would be eligible for listing
on the NPL (i.e., the site would have a HRS > 28.5);
a long-term response (i.e., a remedial action) is anticipated at the site; and
there is a willing, capable PRP who will negotiate and sign an agreement with EPA
to perform the investigation or cleanup.
EPA determines if the SAA is appropriate at a particular site. (A PRP may request that a
site be evaluated for the SAA.) If a site meets criteria 1 and 2 above, EPA and the PRP
may choose to negotiate an SAA agreement. The SAA agreement is equivalent to an
agreement negotiated at an NPL site.
Potentially responsible parties, or a subset of PRPs, may choose not to negotiate an SAA
agreement. In that case, the site would proceed to cleanup on a different path.
The following transparency and accountability requirements apply to sites using the SAA:
Prior to starting negotiations for a SAA agreement, the regions should bring the site
to the NPL-listing panel for discussion regarding site characteristics (including
adequate documentation supporting a HRS score of > 28.5) and planned use of the
SAA. This is the same panel that reviews sites that the regions propose to list on
the NPL. Adequate HRS documentation consists of a full HRS package prepared
by the region. The HRS package does not have to go through the EPA HQ QA
process.
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The regions should notify the public of its intent to use CERCLA authority at the
site.
The regions should use SEMS to track the same progress milestones for sites with
SAA agreements as those that are tracked for PRP-lead sites listed on the NPL.
Final SAA agreements will be reviewed at EPA HQ and catalogued on EPA's SAA
website so that all interested parties can know what sites have a SAA agreement.
The regions will develop and maintain on the internet the same site-specific fact
sheets that are developed for sites listed on the NPL.
EPA will report annually on progress at sites using the SAA.
EPA will maintain and update the SAA web pages as a source of public information
on the approach. SAA web pages include a list of sites with SAA agreements, links
to their site-specific fact sheets, and links to related information.
The SEMS includes a Special Interest code of 'Site with SA Agreement per Office of
Enforcement and Compliance Assurance (OECA) Policy' to track and report
accomplishments at sites using the SAA. Regions are responsible for ensuring the code
comports with the list of sites posted on the SAA website. For historical reporting purposes,
this code should remain in place once properly added to SEMS. The code should not be
deleted regardless of the outcome of the SAA unless it was originally added due to a data
entry error.
EPA's OECA is responsible for reviewing final SAA agreements and maintaining the SAA
website. The SAA website includes SAA guidance and the latest list of sites with SAA
agreements. The website is located at http://www2.epa.gov/enforcement/superfund-
alternative-approach.
g. NPL Listing
The NPL is a list of national priorities among the known or threatened releases of hazardous
substance, pollutants, or contaminants throughout the United States. The list, which is
appendix B of the NCP (40 CFR part 300), was required under Superfund law. The NPL
is required to be revised annually and it is intended primarily to guide EPA in determining
which sites warrant further investigation to assess the nature and extent of public health
and environmental risks associated with a release of hazardous substances, pollutants or
contaminants. Sites with HRS scores of 28.5 or greater are eligible for placement on the
NPL. Only non-Federal Facility sites on the NPL are eligible for Superfund-financed
remedial actions.
Once a site is determined to be NPL-caliber and a decision has been made that the federal
Superfund program should manage the site cleanup, regions should apply a strong initial
presumption in favor of listing on the NPL. In 1992, EPA's OERR, now OSRTI) issued a
directive entitled Guidance on Setting Priorities for NPL Candidate sites (OSWER)
Directive 9203.1-06). The 1992 directive provided regions with general factors that should
be considered in the risk-based decision making process for choosing sites to propose for
listing pursuant to section 105(a)(8)(B) of CERCLA.
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Superfund Program Implementation Manual
FY16
Chapter VII; Removal Program
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Chapter VII: Removal Program
Table of Contents
VILA Protect Human Health and the Environment VII-1
VII.A.l Overview of Removal Actions Target and Measures VII-1
VII.A.2 Removal Program Performance Activity Leads VII-1
VII.A.3 Data Entry Timeliness VII-2
VII.A.4 Removal Initiation VII-2
VILA.5 Action Memorandum VII-2
VII.A.6 Removal Action VII-3
List of Exhibits
Exhibit VII. 1. Removal Program Activities VII-1
Exhibit VII.2. Action Memorandum Requirements VII-2
Exhibit VII.3. Removal Action Requirements VII-3
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CHAPTER VII:
REMOVAL PROGRAM
VILA PROTECT HUMAN HEALTH AND THE ENVIRONMENT
Protection of human health and the environment remains the highest priority for the
Superfund program. The Environmental Protection Agency (EPA) will continue to address the
worst sites first while balancing the need to complete response actions at sites. The Agency will
ensure that available resources are disbursed in a fiscally sound manner. Maximizing Potentially
Responsible Party (PRP) involvement remains a high priority.
VILA.l Overview of Removal Actions Target and Measures
The following pages contain, in pipeline order, the definitions of removal program targets
and measures. Exhibit VII. 1 displays the reporting hierarchy of removal activities (RV) defined in
this chapter.
EXHIBIT VII.1. REMOVAL PROGRAM ACTIVITIES
Activity
Action Memos
Removal Starts
Removal Completions
External Program
Reporting
Annual
Commitment
System (ACS),
Strategic Plan
Internal Program
Reporting
Headquarters (HQ)
HQ
Target
Note: For each activity, the definitions and reporting requirements in this chapter specify applicability with
respect to National Priorities List (NPL) status, activity lead, and actual start and finish dates.
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14-FY18 Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.
VII.A.2 Removal Program Performance Activity Leads
As EPA transitioned to its new tracking and reporting system, the Superfund Enterprise
Management System (SEMS), in FY 2014, site related activities were modified to more accurately
track the actual work performed by EPA, states and tribes on remedial pipeline activities rather
than the source of funding. This was done at the activity name level, identifying different sub-
activities for government conducted or PRP conducted activities (where the government performs
oversight of the PRP) and by creating two new lead codes, Performance lead and Financial lead,
to replace the Comprehensive Environmental Response, Compensation, and Liability Information
System (CERCLIS) lead code, which was often used to identify the funding source for activities.
For example, a Removal in the previous Superfund Program Implementation Manual
(SPIM) could be Fund-financed using the F-, TR-, S-lead actions, or PRP-fmanced using the SA-
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, SS-, or ST-lead actions. The lead codes identified both a combination of who conducted the action
as well as how it was financed. Similarly, the PRP RV described an RV conducted by a PRP, but
it used a different set of lead codes. EPA's approach now uses Government Removal to denote a
removal performed by a government entity, though not a federal facility, which has its own activity
and its own Performance lead code. The Performance lead code identifies whether EPA, a state,
or a tribe is conducting the work. A PRP Removal is removal work performed by the PRP, and the
Performance lead code identifies whether EPA, a state, or a tribe is performing oversight of the
work done by the PRP. Separate financial lead codes in SEMS are used to identify the funding
source of any government or PRP-performed activityFund, Special Account, or Mixed Sources.
Superfund financial management is addressed in chapter III of this document and Financial Lead
codes are discussed in more detail in section IV.D of this document.
VII.A.3 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C.l of this document for additional information about
data quality and timeliness standards.
VII.A.4 Removal Initiation
Removal Initiation is the process by which a potential hazardous waste site is entered into
SEMS inventory for Removal response activities. All sites considered removal only sites should
have an initiate removal site date documented in SEMS. Entry of the removal initiation site date
begins the removal process and distinguishes it from the National Priorities List (NPL) assessment
process. The initiate removal site date should be entered when a site is entered in SEMS. If the site
needs to go through the NPL assessment process, then a Site Discovery date is required (see
chapter VI, titled Remedial Site Assessment for further information on sites needing assessment
work).
VII.A.5 Action Memorandum
An Action Memorandum is developed to document decisions for removal activities at NPL,
non-NPL, and Superfund Alternative sites. Decisions are documented in an approval memorandum
and authority is granted when the action memorandum is signed by the appropriate regional
official. Subsequent Action Memos may be signed during the course of a removal action to
document Ceiling Increases, Scope of Work changes, 12 Month Exemptions, and $2M
Exemptions. Regions will not receive credit for subsequent Action Memos.
EXHIBIT VII.2. ACTION MEMORANDUM REQUIREMENTS
WorkPackage
Activity/Milestone '
Sign Action Memo
Performance
Lead
EPA, Tribe,
State, PRP
Activity/Milestone Date Requirements
Start/Finish: Action Memo signed bv the appropriate
regional official
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Special Planning/Reporting Requirements:
Specific information must be added to the appropriate Action Memo information screens
within the SEMS Site Management (SEMS-SM) Module. This includes removal activity details,
media, response technology, Action Memo type, and ceiling costs. All tabs for data entry are found
on SEMS screen upon selection of the applicable Action Memo.
VII.A.6 Removal Action
The goal of EPA's emergency response and removal program is to provide quick response
to immediate threats to public health and the environment from releases of hazardous substances,
pollutants or contaminants whenever and wherever they occur. Removal actions are responses
performed at NPL and non-NPL sites that eliminate or reduce threats to public health or the
environment from the release, or potential release, of hazardous substances or pollutants or
contaminants that may pose an imminent and substantial danger to public health or welfare. These
risk reduction activities can be conducted as emergency, time-critical, or non-time critical removal
actions. The appropriate use of special account funds for removal actions is provided in the
Guidance on the Planning and Use of Special Account Funds (OSWER 9275.1-20, September
2010) (http://www2.epa.gov/sites/production/files/2013-10/documents/plan-use-specacct.pdf).
Classic Emergencies: Removals where the release requires that on-site activities be
initiated within hours of the lead agency's determination that a removal action is
appropriate. If the work is ongoing beyond a year, the removal type must be changed to
Time-Critical or Non-Time-Critical.
Time-Critical: Removals where, based on the site evaluation, the lead agency determines
that a removal action is appropriate and that there is a period of less than six months
available before on-site activities must be initiated.
Non-Time Critical: Removals where, based on the site evaluation, the lead agency
determines that a removal action is appropriate and that there is a planning period of more
than six months available before on-site activities must begin. The lead agency will
undertake an Engineering Evaluation/Cost Analysis (EE/CA) for non-time critical
removals. These removal actions are typically led by the remedial program.
EXHIBIT VII.3. REMOVAL ACTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Initial Pollution Report (POLREP) documenting
Government Removal
EPA, Tribe,
State
date of mobilization to the site for the start of removal
work specified in the Action Memo
Finish: Final POLREP documenting the date of
demobilization from the site when all work specified in
the Action Memo has been completed
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Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Initial POLREP documenting date of mobilization
EPA Oversight
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: Final POLREP documenting the date of
demobilization and the date of Notice of Completion
document to the PRPs
Start: Initial POLREP documenting date of mobilization
PRP Removal
EPA Oversight
(Special
Account
Financed)
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: Final POLREP documenting the demobilization
date and the date of Notice of Completion document to
the PRPs
Start: Initial POLREP documenting date of mobilization
State
Oversight,
Tribe
Oversight
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: Final POLREP documenting demobilization date
and the date that the state certified that the PRPs have
fully met the terms of the enforcement instrument and
have completed all work specified in the Action Memo
PRP Emergency Removal
with no Enforcement
Instrument
EPA Oversight
Start: Initial POLREP documenting EPA's role in
conducting oversight of the PRP-lead action and date that
the PRPs mobilized to the site to start the removal work
Finish: Final POLREP documenting the date that EPA
along with the Unified Command / Incident Command
have determined that the emergency has been stabilized
Special Planning/Reporting Requirements (Starts):
1. A Preliminary PRP Search is required in order to start the first non-emergency Government
lead action at a site. The completion date of the PRP search must be entered as the
Preliminary PRP Search Finish Milestone date.
2. To receive credit for PRP removal action starts with an enforcement settlement, the date of
the following applicable enforcement instrument must be entered in SEMS as well as all
required data elements for the enforcement instrument identified in chapter X:
The date the Administrative Order on Consent (AOC) was signed by the PRPs and
the designated regional official; or
The date the PRPs provide notice of intent to comply with a Unilateral
Administrative Order (UAO) for a PRP-lead removal signed by the designated
regional official; or
The date the Regional Administrator signs the memorandum transmitting the
Consent Decree (CD) to the Department of Justice (DOJ) or HQ; or
The date a judgment was signed by the federal judge; or
The date the state enforcement instrument was signed by the appropriate state
official.
3. For both Government and PRP removals, the Response Type (Critical Indicator) field must
be entered into the SEMS-SM Module.
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Program policy remains enforcement first. HQ encourages the regions, in order to have the
ability to bill for oversight costs, to use enforceable instruments for PRP-Lead time critical and
non-time critical removals.
PRP Removals with No Enforcement Instrument (PJ): A PRP Removal With No
Enforcement Instrument should be a response action that:
Is classified as an Emergency Response (i.e., not a Time Critical or Non-Time-Critical
Removal)
Involves the mobilization of an EPA On-Scene Coordinator (OSC) to the incident site
Involves the release or threat of release of a hazardous substance, pollutant or contaminant
Involves EPA oversight or participation in the oversight (i.e., unified command) of an
identified PRP that is conducting clean-up activities
Involves EPA oversight or participation in the oversight (i.e., unified command) that has
been completed within 30 days of initial mobilization (not including waiting for disposal
or administrative delays)
OSCs and regional removal programs should make the determination of when an
emergency response is considered complete. In cases where a PJ response does not meet these
criteria, the region should contact their Office of Emergency Management (OEM) HQ regional
coordinator to determine if the response should be counted as a PJ or another activity (e.g., Time-
Critical PRP Removal with Enforcement Instrument) for Government Performance and Results
Act (GPRA) credit.
A PRP-fmanced emergency removal action with no enforcement instrument is considered
complete when the OSC, in consultation with the unified command/incident command system if
applicable, has determined that the emergency is stabilized (as documented in the Final POLREP).
Special Planning/Reporting Requirements (Finish):
The removal program requires the actual start and finish dates to be entered for removal
completions. The data elements listed below must also be entered into the SEMS-SM Module for
Government and PRP Removal completions. If these fields are left blank the removal will not be
captured on reports and will not count towards the GPRA annual performance goal.
Removal Work Package Name and Sequence Number
Performance Lead
Response Type (Critical Indicator)
Media Name
Media Type
Volume
Contaminants of Concern
In addition, regions should ensure the NPL and/or Non-NPL Status fields and Site
Type/Subtype fields are maintained in the Site Information screens within SEMS-SM.
Common Exceptions: An entry of '0' (zero) for volume is valid when no volume
information for contaminated material is reported by EPA or the PRP, or if EPA activities include
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only air monitoring or groundwater sampling. Specific cases for other possible exceptions will be
evaluated as needed.
Temporary demobilization and temporary storage on-site are not considered completions,
unless temporary storage is the only action specified in the Action Memorandum to mitigate threats
to public health, welfare, and the environment. Likewise, temporary off-site storage of hazardous
substances at a Treatment, Storage, and Disposal (TSD) facility other than the facility of ultimate
disposal is a continuation of the action, not a completion, unless temporary off-site storage at a
TSD is the only action specified in the Action Memorandum. In addition, a Removal would not be
considered complete if: a) The Action Memorandum requires the EPA contractor to monitor the
hazardous substances stored on-site or additional contractor expenditures are anticipated; or b)
Hazardous substances are being stored at an off-site facility other than the ultimate TSD facility
required in the Action Memorandum.
Regions will receive credit in the management of the Superfund program for completion
of a removal action even though the removal action itself may not be complete for cost recovery
statute of limitations purposes. Agency policy for statute of limitations purposes provides that a
removal action is not complete until EPA has made a final decision on whether any additional
cleanup activity is required (and, if it is required, until EPA has both made a final decision on such
additional activity and has completed the design for that activity). The date found in the removal
action, actual finish column of a SEMS report is a programmatic measure only, and cannot be
relied upon to create any rights, substantive or procedural, enforceable by any party in litigation
with the United States. EPA reserves the right to change such data at any time without public
notice.
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Superfund Program Implementation Manual
FY16
Chapter VIII: Remedial Program
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Chapter VIII: Remedial Program
Table of Contents
VIII. A Remedial Program Targets and Measures VIII-1
VIII.A.l Remedial Program Targets and Measures VIII-1
VIII.A.2 Remedial Program Performance Activity Leads VIII-3
VIII.A.3 Data Entry Timeliness VIII-3
VIII.A.4 Remedial Program Definitions VIII-3
Part I. Remedy Selection VIII-3
a. Remedial Investigation VIII-3
b. Feasibility Study VIII-4
c. Combined RI/FS VIII-4
d. Treatability Studies VIII-5
e. Proposed Plan (Start of Public Comment Period) VIII-6
f. Non-Time Critical Removal Action VIII-6
g. Remedial Decision Documents VIII-7
Part II. Remedial Implementation VIII-8
h. Remedial Design VIII-8
i. Remedial Action VIII-9
j. Start of On-Site Construction VIII-11
k. Operational and Functional (O&F) VIII-12
1. Final Inspection by EPA VIII-13
m. Construction Completion VIII-14
Part III. Post Construction Completion VIII-15
n. Long Term Response Action VIII-15
o. Operation and Maintenance (O&M) VIII-15
p. Cleanup Goals Achieved VIII-17
q. Groundwater Monitoring VIII-17
r. NPL Site Completions VIII-18
s. Five Year Reviews VIII-18
t. Sitewide Ready for Anticipated Use (SWRAU) VIII-20
u. Partial NPL Deletion VIII-21
v. Final NPL Deletion VIII-22
Part IV. Cross Program Revitalization Measures (CPRM) VIII-23
w. Protective for People Under Current Conditions (PFP) VIII-23
x. Ready for Anticipated Use (RAU) VIII-24
y. Cross Program Revitalization Measures (CPRM) Indicators VIII-25
Part V. Environmental Indicators VIII-28
z. Human Exposure Under Control VIII-28
aa. Migration of Contaminated Groundwater Under Control VIII-3 3
bb. Population Protected. VIII-36
cc. Cleanup Volume VIII-37
Part VI. Support Activities VIII-37
dd. Support Agency Assistance VIII-37
ee. Technical Assistance VIII-38
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List of Exhibits
Exhibit VIII. 1. Remedial Program Activities VIII-1
Exhibit VIII.2.RI,FS, and Combined RI/FS Requirements VIII-4
Exhibit VIII.3. Treatability Study Requirements VIII-6
Exhibit VIII.4. Proposed Plan Requirements VIII-6
Exhibit VIII.5. Non-Time Critical EE/CA and NTCRA Requirements VIII-7
Exhibit VIII.6. Remedial Action Decision Document Requirements VIII-8
Exhibit VIII.7. Remedial Design Requirements VIII-8
Exhibit VIII.8. Remedial Action Requirements VIII-10
Exhibit VIII.9. Start of On-Site Construction Requirements VIII-11
Exhibit VIII. 10. Operational and Functional Requirements VIII-13
ExhibitVIII.il. Final Inspection by EPA Requirements VIII-13
Exhibit VIII. 12. Construction Completion Requirements VIII-14
Exhibit VIII. 13. LTRA Requirements VIII-15
Exhibit VIII. 14. Operations & Maintenance Requirements VIII-16
Exhibit VIII. 15. Cleanup Goals Achieved Requirements VIII-17
Exhibit VIII. 16. Groundwater Monitoring Requirements VIII-17
Exhibit VIII. 17. NPL Site Completions Requirements VIII-18
Exhibit VIII. 18. Five Year Review Requirements VIII-19
Exhibit VIII. 19. Partial NPL Deletion Requirements VIII-22
Exhibit VIII.20. NPL Deletion Requirements VIII-23
Exhibit VIII.21.PFP/RAU Checklist Requirements VIII-25
Exhibit VIII.22. Human Exposure Evaluation Flowchart VIII-32
Exhibit VIII.23. Superfund Migration of Contaminated Groundwater Under Control Worksheet VIII-35
Exhibit VIII.24. Support Agency Assistance Requirements VIII-38
Exhibit VIII.25. Technical Assistance Requirements VIII-38
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CHAPTER VIII: REMEDIAL PROGRAM
VIILA REMEDIAL PROGRAM TARGETS AND MEASURES
VIII.A.I Remedial Program Targets and Measures
As described in chapter I of this manual, the Superfund remedial program implements
numerous processes to determine the need for and to conduct response actions. These processes
include collecting data on sites to determine the eligibility for a Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) response, conducting or overseeing
investigations and studies to select remedies, designing and constructing or overseeing
construction of remedies and post-construction activities at non-Federal Facility (FF) sites. The
remedial program also includes technical and administrative support activities, redevelopment
functions, participation of states, tribes, and communities in cleanups, and enhancement of
response capabilities of states and tribes.
The following pages contain, in pipeline order, the definitions of remedial activities,
programmatic measures, and remedial project support activities. Exhibit VIII. 1 displays the
internal and external reporting hierarchy for the full list of remedial activities defined in this
chapter.
EXHIBIT VIII. 1. REMEDIAL PROGRAM ACTIVITIES
. .. Activity . .
Remedial Action Project Completion (RAPC)
Construction Completion (CC)
Migration of Contaminated Groundwater Under Control
Human Exposure Under Control
Sitewide Ready for Anticipated Use (SWRAU)
Remedial Investigation/Feasibility Study (RI/FS) (RI, FS,
Combined RI/FS)
Decision Document (Record of Decision [ROD], ROD
Amendment, Explanation of Significant Differences [BSD],
Action Memo for Non-Time Critical Removal Action
[NTCRA])
Remedial Design
Five Year Review (FYR)
Final National Priorities List (NPL) Deletion
External Program
Reporting
Annual
Commitment
System (ACS)
ACS
ACS
ACS,
Strategic Plan
ACS,
Strategic Plan
Internal Program
Reporting
Target
Target
Target
Target
Target
Target
Target
Target
Target
Target
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Start of Public Comment Period (Proposed Plan to Public)
Engineering Evaluation/Cost Analysis (EE/CA)
Operational and Functional (O&F)
Long Term Response Action (LTRA)
Operation and Maintenance (O&M)
Groundwater Monitoring
Site Completion
Partial NPL Deletion
Remedial Action (RA) Contract Award
Start of On-Site Construction
Final Inspection by EPA
Cleanup Goals Achieved
Acres Protective for People Under Current Conditions
Acres Ready for Anticipated Use
Cleanup Volume
Treatability Study
Support Agency Assistance
Technical Assistance
Cross Program
Revitalization
Measure (CPRM)
CPRM
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Headquarters (HQ)
HQ
HQ
HQ
HQ
HQ
HQ
Regional
Regional
Regional
For each activity, the definitions and reporting requirements in this chapter specify applicability with
respect to NPL status, activity performance lead, and actual start and finish dates.
For measures in italics: this edition of the SPIM includes a change in definition or requirements.
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14-FY18 Strategic Plan.
CPRM = Reported to external parties as part of Cross Program Revitalization Measures.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.
Regional = Tracked by regions only, primarily for financial management purposes.
Where noted in this document, specific activities may be applicable at non-National
Priorities List (NPL) sites with a Superfund Alternative Approach (SAA) settlement under the
Office of Enforcement and Compliance Assurance (OECA) SAA policy. Additional details on the
SAA category of sites can be found in chapter X, titled Enforcement. SAA sites should be
identified in Superfund Enterprise Management System (SEMS) using the Special Interest code of
'Site with SA Agreement per OECA Policy' in order to ensure accurate reporting.
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VIILA.2 Remedial Program Performance Activity Leads
As the Environmental Protection Agency (EPA) transitioned to its new tracking and
reporting system, SEMS, in fiscal year (FY) 2014, site related activities were modified to more
accurately track the actual work performed by EPA, states and tribes on remedial pipeline activities
rather than the source of funding. This was done at the activity name level, identifying different
sub-activities for government conducted or Potentially Responsible Party (PRP) conducted
activities (where the government performs oversight of the PRP) and by creating two new lead
codes, Performance lead and Financial lead, to replace the Comprehensive Environmental
Response, Compensation, and Liability Information System (CERCLIS) lead code, which was
often used to identify the funding source for activities.
For example, a Remedial Investigation (RI) in the previous Superfund Program
Implementation Manual (SPEVI) could be Fund-financed using the F-, TR-, S-lead actions, or PRP-
fmanced using the SA-, SS-, or ST-lead actions. The lead codes identified both a combination of
who conducted the action as well as how it was financed. Similarly, the PRP RI described a RI
conducted by a PRP, but it used a different set of lead codes. EPA's approach now uses
Government RI to denote a RI performed by a government entity, though not a federal facility,
which has its own activity and its own Performance lead code. The Performance lead code
identifies whether EPA, a state, or a tribe is conducting the work. A PRP RI is RI work performed
by the PRP, and the Performance lead code identifies whether EPA, a state, or a tribe is performing
oversight of the work done by the PRP. Separate financial lead codes in SEMS are used to identify
the funding source of any government or PRP-performed activityFund, Special Account, or
Mixed Sources. Superfund financial management is addressed in chapter III of this document and
Financial Lead codes are discussed in more detail in section IV.D of this document.
VIILA.3 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C.l of this document for additional information about
data quality and timeliness standards.
VIILA.4 Remedial Program Definitions
PART I. REMEDY SELECTION
a. Remedial Investigation
The purpose of the RI is to collect data necessary to adequately characterize the site for the
purpose of developing and evaluating effective remedial alternatives. The RI provides
information to assess the risks to human health and the environment and to support the
development, evaluation, and selection of appropriate response alternatives.
The RI may be conducted alone, as part of a sitewide integrated Expanded Site
Investigation/Remedial Investigation (ESI/RI) assessment, or as a Combined Remedial
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Investigation/Feasibility Study (RI/FS). The RI activity should only be added to SEMS
when the RI is conducted as a stand-alone activity.
b. Feasibility Study
The primary objective of a FS is to ensure that appropriate remedial alternatives are
developed and evaluated such that an appropriate remedy may be selected.
The FS may be conducted alone or as part of a Combined RI/FS. The FS activity should
only be added to SEMS when the FS is conducted as a stand-alone activity.
c. Combined RI/FS
The purpose of the Combined RI/FS is to assess site conditions and evaluate alternatives
to the extent necessary to select a remedy.
Regions should not report a Combined RI/FS start if a separate RI and FS are being
conducted and have been reported. The RI/FS start and the RI start definition are the same.
The following exhibit describes the requirements to accomplish start and finish at NPL and
SAA sites for RI, FS and Combined RI/FS remedial pipeline activities.
EXHIBIT VIII.2. RI, FS, AND COMBINED RI/FS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site
Government RI; Government
FS; Government Combined
RI/FS
EPA, Tribe,
State
EPA in-house
Start: Contract modification or work assignment/task
order signed by EPA contracting officer (CO); or
an Inter-agency Agreement signed by other federal
agency; or
Cooperative Agreement signed by Regional
Administrator or designee.
Finish: RI only - RI Report signed by appropriate
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, BSD) signed by appropriate
regional official
Start: Date Memo to file documenting initial scoping
meeting signed by appropriate regional official;
Finish: RI only - RI Report signed by appropriate
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, BSD) signed by appropriate
regional official
PRPRI;
PRPFS;
PRP Combined RI/FS
Start: Administrative Order on Consent (AOC); or
EPA oversight
Notice of intent to comply with Unilateral
Administrative Order (UAO); or Memo transmitting
Consent Decree (CD) to the Department of Justice (DOJ)
or HQ - signed by Regional Administrator or designee
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WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Finish: RI only - RI Report signed by appropriate
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, BSD) signed by appropriate
regional official
State
Oversight,
Tribe
Oversight
Start: State enforcement Cooperative Agreement; or
Superfund Memorandum of Agreement (SMOA); Tribal
Memorandum of Agreement (TMOA) or other
state/tribal/EPA agreement - signed by the appropriate
state and regional officials; or
Memo transmitting CD to HQ or DOJ signed by the
appropriate regional official.
Finish: : RI only - RI Report signed by appropriate
regional official;;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, BSD) signed by appropriate
regional official
Special Planning/Reporting Requirements:
If a subsequent GOVT-RI, GOVT-FS, GOVT Combined RI/FS is initiated without a new
obligation of funds, the start date as recorded in SEMS is defined as EPA's written approval
of the work plan for the subsequent activity
If a subsequent PRP-RI, PRP-FS, or PRP-Combined RI/FS is initiated under an amended
Administrative Order on Consent (AOC), Consent Decree (CD) state order, or comparable
state enforcement document, the start date as recorded in SEMS is the date the last state
official or Regional Administrator/designee signs the amendment. If a CD is amended, the
start date is the date the Regional Administrator signs the memorandum transmitting the
CD to the Department of Justice (DOJ) or Headquarters (HQ).
If a subsequent PRP-RI, PRP-FS, or PRP-Combined RI/FS is initiated without a new or
amended AOC, CD, state order, or other comparable state enforcement document, the start
date for the subsequent activity as recorded in SEMS is documented by a letter, form, or
memo from EPA or the state approving the work plan for the subsequent activity.
d. Treatability Studies
Treatability studies are laboratory or field tests used to determine whether available
technologies will effectively decontaminate a given matrix in order to develop feasible
remedial alternatives. Treatability studies may be tracked at the regional level but this
activity is not a program target or measure.
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EXHIBIT VIII.3. TREATABILITY STUDY REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site
Perform Treatability Study
(Optional)
Not lead
specific
Start: Approval of Treatability Study Work Plan
Finish: Approval of Treatability Study Report
e. Proposed Plan (Start of Public Comment Period)
The Government Proposed Plan accompanies the completed FS or RI/FS report when the
contamination at the site has been characterized and alternatives for remediation have been
evaluated. The proposed plan identifies the preferred remedial alternative on which the
public has an opportunity to comment during the public comment period.
Accomplishments are based on the first proposed plan released to the public for each FS
or RI/FS, regardless of performance lead. Sites with an SAA agreement should be
identified in SEMS using the appropriate Special Interest code. The proposed plan is an
internal program measure.
EXHIBIT VIII.4. PROPOSED PLAN REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site
Government Proposed Plan
EPA
Start: Letter transmitting RI/FS reports and proposed
plan or first page of approved proposed plan with
comment period dates is included in site file.
Finish: Proposed plan signed bv appropriate regional
official.
f. Non-Time Critical Removal Action
EPA's remedial program is authorized to take removal actions under limited
circumstances. Two documents make up this process and both are part of the approved
action memorandum.
The Engineering Evaluation/Cost Analysis (EE/CA) identifies objectives for a non-time
critical removal action (NTCRA) and includes an analysis of cost, effectiveness, and the
ability to implement the various alternatives that may be used to satisfy these objectives.
EE/CAs are reported site-specifically in SEMS as an internal program measure.
An Action Memorandum is developed to document decisions at NPL, non-NPL, and SAA
sites for removal activities. Decisions are documented in an approval memorandum and
authority is granted when the action memorandum is signed by the appropriate regional
official.
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EXHIBIT VIII.5. NON-TIME CRITICAL EE/CA AND NTCRA REQUIREMENTS
Work Package
. Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL, non-NPL or SAA site
Engineering Evaluation/Cost
Analysis
NTCRA Action Memorandum
EPA, Tribe,
State, EPA In-
house
Start: Signature date of Approval Memorandum signed
by appropriate regional official
Finish: Signature date of Action Memorandum signed
by appropriate regional official
g. Remedial Decision Documents
A Remedial Decision Document is developed to document decisions or changes to
decisions at NPL, non-NPL, and SAA sites to perform a remedial activity.
Government Decision Document - A remedial decision document is documented in a
Record of Decision (ROD). The ROD documents the selected remedy, provides the basis
for taking action, and documents compliance with statutory requirements. It is prepared
after completion of the FS and public comment on the Proposed Plan.
Modifications to a Government Decision Document - After a ROD is signed, new
information may be obtained that could affect the scope, performance, and/or cost of the
selected remedy. Three types of changes require documentation:
ROD Amendment - captures fundamental changes
Explanation of Significant Differences (BSD) - captures significant changes
Memo to File - captures insignificant or minor changes.
Guidance on the appropriate use of ROD Amendments, ESDs and Other Remedy
Changes (Memo to File) is available in A Guide to Preparing Super fund Proposed
Plans, Records of Decision, and Other Remedy Selection Decision Documents
(OSWER 9200.1-23 .P. July 1999).
The SEMS Records Management (SEMS-RM) document ID number for each of these
documents needs to be sent to the following e-mail group within five days after signing:
Office of Solid Waste and Emergency Response (OSWER) Office of Superfund
Remediation and Technology Innovation (OSRTI) HO DOC Center. Please ensure that the
documents are text searchable PDFs of the final version. The documents should also
contain signed signature pages and all attachments (especially figures and tables).
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EXHIBIT VIII.6. REMEDIAL ACTION DECISION DOCUMENT REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site may be NPL, non-NPL or SAA Site
Government Decision
Document - (ROD)
Government Decision
Document - ROD Amendment
Government Decision
Document - BSD
Government Decision
Document - Memo to file
EPA
Start/Finish: Approved ROD signed bv designated
regional official.
Start/Finish: Amended ROD signed bv designated
regional official
Start/Finish: BSD signed bv designated regional
official
Start/Finish: Memo to File signed bv designated
regional official
These are internal program targets and measures.
SEMS contains action qualifiers. The following action qualifier can be associated with
remedy decisions:
Final Remedy Selected at Site
PART II. REMEDIAL IMPLEMENTATION
h. Remedial Design
The Remedial Design (RD) converts all or part of the remedy selected in the ROD into a
final design document(s) for the remedial action. The obligation of funds for design
assistance or technical assistance does not constitute a RD start. Pre-design activities will
not be counted as an RD start.
Accomplishments are reported site-specifically. This is an internal program target and
measure.
EXHIBIT VIII.7. REMEDIAL DESIGN REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Government RD must be at NPL sites; PRP RD may occur at NPL or SAA sites
Government Remedial Design
EPA, Tribe,
State, or EPA
In-house
Start: Contract modification or work assignment/task
order for the RD signed by the CO; Cooperative
Agreement signed by Regional Administrator or
designee or Interagency Agreement (IA) signed by the
other federal agency.
Finish: EPA approves, in writing, the Final Design
document.
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Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA notifies PRP in writing or the enforcement
EPA oversight
PRP Remedial Design
document under which the RD is to be conducted
becomes effective (e.g., the AOC, or an amendment to
an existing AOC) signed by Regional Administrator or
designee; or the PRP's written notice of intent to comply
with the UAO; or
Memo transmitting the CD to DOJ or EPA HQ signed
by the Regional Administrator or designee.
Finish: EPA concurs in writing with Final Design
document.
State Oversight,
Tribe Oversight
Start: State order or other comparable state or tribal
enforcement document signed and issued to PRP.
Finish: State or tribe concurs in writing with Final
Design document.
Special Planning/Reporting Requirements:
In those instances where design assistance is conducted prior to ROD signature, and there
is not a new obligation of funds for a subsequent RD, the start of RD is defined as the
written approval of the work plan to conduct these activities. If there is a new obligation of
funds, the start of RD is defined as the date funds are obligated. When an RD has been
prepared by other parties (e.g., water lines where the city already prepared plans and
specifications) or plans developed for a similar remedy will be used, the RD actual start
date is the same as the Remedial Action (RA) actual start date.
i. Remedial Action
Remedial Action - An RA is the actual construction or implementation of a discrete scope
of activities supporting a Superfund site cleanup. Each RA project is generally designed to
achieve progress toward specific remedial action objectives (RAOs) identified in a
CERCLA remedy decision document (e.g., ROD, ROD amendment, BSD). Government
RAs can only be funded at sites that are on the NPL (Final or Deleted). PRP-fmanced RAs
(including RAs financed from a Special Account) may be performed at NPL and non-NPL
SAA sites. RA accomplishments, termed 'Remedial Action Project Completions' are both
an internal program target and an external program reporting measure in the ACS.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision document where the only action selected is
Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional Controls
(ICs). A Limited RA is distinguished from Remedial Action because the remedy typically
requires no remedial design and is distinguished from a No Action/No Further Action ROD
because the remedy includes at least some remedial action component. In the case of
monitored natural attenuation, natural processes are used to attain cleanup objectives, and
the Limited RA may only consist of adding monitoring wells and a determination that those
actions are complete. Monitored natural recovery is a remedy that typically uses known,
ongoing, naturally occurring processes to contain, destroy, or otherwise reduce the
bioavailability or toxicity of contaminants in sediment. A monitored natural recovery
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remedy generally includes site-specific cleanup levels and remedial action objectives, and
the Limited RA may only consist of monitoring to assess whether risk is being reduced as
expected. For an institutional control only ROD, the Limited RA consists of ensuring the
ICs are implemented. To identify an RA as a Limited RA, a region should select the
Limited RA Critical Indicator in SEMS.
Institutional Control Remedial Action - An institutional control remedial action is an
anomaly-coded remedial action used solely to fund the institutional control implementation
(or oversight) component of a selected remedy where the engineered components of the
remedial action have already been completed. This activity is distinguished from a limited
remedial action, in which the selected remedy is monitored natural attenuation, monitored
natural recovery, and/or ICs only. Because this 1C action is associated with an existing
completed remedial action, the Other Start and Completion anomaly code should be used.
Where the selected remedy includes physical construction as well as ICs, and the physical
construction has not occurred, typically, this activity is not used. In this circumstance, any
implementation funding needs may be associated with implementation of the engineering
components of the remedy.
EXHIBIT VIII.8. REMEDIAL ACTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Government RA must be at NPL sites; PRP RA may occur at NPL or SAA sites
Government Remedial Action
EPA, Tribe,
State, or EPA
In-house
Start: Remedial Action & Institutional Control
Remedial Action: EPA CO signature date of RA
contract or RA contract modification; or
IA signed by the other federal agency; or Cooperative
Agreement (CA) signed by state or tribe. Limited
Remedial Action: ROD selecting a limited remedial
action is signed by the appropriate regional official
Finish: Remedial Action & Limited Remedial Action:
date of RA Report signature by appropriate regional
official
Institutional Control Remedial Action: Documentation
confirming that the institutional control instrument
designated in the ROD has been fully implemented
Start: Signature date of EPA Regional Administrator or
PRP Remedial Action
EPA oversight
designee approving the PRP RD document; or
Memo transmitting the CD to DOJ or HQ; or
The judgment, or written approval from the EPA of the
final design document for the RD, or
PRP's written notice of intent to comply with UAO;
or written notice to proceed issued by EPA to the PRP
(Institutional Control Remedial Action only)
Finish: Date of RA Report signature (or concurrence)
by appropriate regional official
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Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
PRP Remedial Action
State Oversight
Start: Date of state written approval of the PRP RD
document
Finish: Date of RA Report signature (or concurrence)
by appropriate regional official
Special Planning/Reporting Requirements:
This is an internal program target and measure. The actual start date of the RA, must be
entered into SEMS.
Beginning in FY 2011, the Superfund program began reporting Remedial Action Project
Completions (RAPCs) externally as an ACS program measure with an annual target. The
measure includes Government, PRP (including Special Account-funded) and Federal
Facility RA completions at final and deleted NPL sites. Beginning in FY2014, the
Superfund remedial program began including RAPCs at sites with an SAA agreement in
the ACS tally of RAPC accomplishments. The RAPC measure augments the existing
sitewide Construction Completion measure and reflects the large amount of work being
done at Superfund sites. The measure provides valuable information to communities by
demonstrating incremental progress in reducing risk to human health and the environment
at sites.
Remedial action, limited remedial action, and institutional control remedial action
completions will be tracked separately but accomplishments (excluding anomaly-coded
remedial actions) will be reported on a combined basis.
j. Start of On-Site Construction
This measure counts the initiation of on-site construction for all remedial actions at NPL
or non-NPL SAA sites.
On-Site Construction for a Remedial Action begins when the EPA, United States Army
Corps of Engineers (USAGE), state or PRP, or their contractors, have begun on-site
construction work for the remedial action selected in the ROD or other decision document.
EXHIBIT VIII.9. START OF ON-SITE CONSTRUCTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start of On-Site Construction RA must be at NPL sites; PRP RA may occur at NPL or SAA sites
Government On-Site
Construction Confirmed
PRP On-Site Construction
Confirmed
EPA, Tribe,
State, or EPA
In-house
EPA oversight
Start/Finish: Memo to the site file documenting
substantial and continuous physical on-site construction
has begun; or a copy of a report of start up from the
contracting party is acceptable.
Start/Finish: Memo to the site file documenting
substantial and continuous physical on-site construction
has begun; or a copy of a report of start up from the
contracting party is acceptable.
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Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start/Finish: Memo to the site file documenting
PRP On-Site Construction
Confirmed
State Oversight
substantial and continuous physical on-site remedial
action. A copy of a report of start up from the
contracting party is acceptable.
Note: PRP must also be in compliance with a state
enforcement instrument.
Special Planning/Reporting Requirements:
For a PRP to receive credit on this measure, the PRP must be in compliance with a
Unilateral Administrative Order (UAO), or an enforcement instrument signed by EPA and
the PRPs, or a judgment signed by a federal judge. The following information must be
entered into SEMS for the enforcement instrument:
The date the PRP provides notice of intent to comply with a UAO signed by the
designated regional official and the PRPs, or
The date the CD was signed by the PRPs, the designated regional official and the
federal judge; or
The date a judgment was signed by the federal judge and PRPs.
The date of RA on-site construction will be used for purposes of establishing the Statute of
Limitations (SOL) determination. It is also used as the trigger date for a statutory Five Year
Review (FYR), if applicable. The Five Year Review planned finish is set for five years
after the actual RA On-Site Construction Start date. The On-Site Construction may be
tracked by HQ for program management purposes, but it is not a program target or measure.
k. Operational and Functional (O&F)
"A remedy becomes 'operational and functional' either one year after construction is
complete, or when the remedy is determined concurrently by EPA and the state to be
functioning properly and is performing as designed, whichever is earlier. EPA may grant
extensions to the one-year period, as appropriate. " (40 CFR ง300.435(f)(2))
Operational and Functional (O&F) activities are conducted concurrently with remedial
actions. In general, the O&F period occurs during the last year of remedial action. EPA is
responsible for the O&F determination (with concurrence from the appropriate parties).
The O&F determination guides the schedule for transferring a Government RA to Long
Term Response Action (LTRA) or Operation and Maintenance (O&M).
O&F determination is complete when the appropriate parties (e.g., EPA, state) concur that
the remedy is operational and functional. The completion of O&F is documented in a letter
from EPA to the state.
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EXHIBIT VIII. 10. OPERATIONAL AND FUNCTIONAL REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site.
Operational and Functional
(O&F)
EPA
Start: Letter to the appropriate parties documenting that
the remedy is constructed properly.
Finish: EPA issues letter to and obtains concurrence
from the appropriate parties documenting that the
remedy is O&F.
Special Planning/Reporting Requirements:
Completion of this activity may be tracked by HQ for program management purposes, but
it is not a program target or measure. O&F does not receive funding.
In 2011, EPA updated the Close-Out Procedures for NPL Sites and standardized the
documentation requirements for O&F start and finish. In order to ensure timely transition
to LIRA and O&M activities, the O&F finish should be documented in a an EPA letter to
the state. Before this guidance update, the RA Report was used to document O&F
completion. The RA report is no longer the appropriate documentation to report the finish
of this measure.
1. Final Inspection by EPA
Final Inspection by EPA refers to the remedial action contract final inspection, conducted
to determine whether construction of the remedy has been completed in accordance with
the contract design and specifications. This inspection is not the same as the EPA-State
joint final inspection described in the Superfund State Contract.
The final contract inspection is complete when the designated regional official approves
the Final Inspection Report, documenting that all work has been completed in accordance
with the contract plans and specifications (including any punch list items identified during
the pre-fmal inspection).
EXHIBIT VIII. 11. FINAL INSPECTION BY EPA REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site.
Final Inspection by EPA
EPA
Start/Finish: Written approval of the Final Inspection
Report signed by the appropriate regional official
Special Planning/Reporting Requirements:
The contract final inspection is an important step prior to approval of the Remedial Action
Report and receiving credit for RA completion for Government RAs executed under EPA
contracts. This activity may be tracked by HQ for program management purposes, but it is
not a program target or measure. The finish date should be entered into SEMS with an
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actual flag upon written approval of the final report. Additional information on RA
inspections may be found in see Close Out Procedures for National Priorities List Sites
(OSWER 9320.2-22. May 2011).
m. Construction Completion
Construction Completion (CC) is both an internal program target and an external program
reporting measure. Construction at a NPL or non-NPL SAA site is considered complete
when the remedy is documented in a final ROD, physical construction of the remedy is
complete, a contract pre-fmal inspection has been conducted and only minor punch list
items remain, and a Preliminary Close-Out Report (PCOR) has been signed by the
designated regional official and HQ has concurred. In some instances, if a site meets both
the CC and Site Completion criteria simultaneously, a Final Close-Out Report (FCOR)
may be prepared (in lieu of a PCOR) in order to satisfy documentation requirements for
both milestones. There is only one CC accomplishment per site and hence the PCOR or
FCOR must address construction activities for the entire site. Since CC is a sitewide
measure, construction completion of the last response action at site generally determines
when site becomes eligible for CC. Since institutional controls do not require physical
construction, a site can achieve the CC measure before ICs are in place. For more detailed
information on the specific requirements for CC, see Close Out Procedures for National
Priorities List Sites (OSWER 9320.2-22. May 2011).
EXHIBIT VIII.12. CONSTRUCTION COMPLETION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
* . *
Site must be an NPL or SAA site.
Prelim Close-Out Report
(PCOR)
Final Close-Out Report
(FCOR)
EPA
EPA
Start/Finish: Signature date of PCOR signed bv
appropriate regional official and HQ selection of Special
Interest code of CC or SAA CC.
Start/Finish: Signature date of FCOR signed bv
appropriate regional official and HQ selection of Special
Interest code of CC or SAA CC
Special Planning/Reporting Requirements:
Credit for a CC is official when signature date of a HQ approved Preliminary (or Final)
Close-Out Report is entered into SEMS, and HQ selects the appropriate NPL or non-NPL
SAA site indicator in SEMS. Regions identify sites to meet the goal prior to the start of the
FY. The CC indicator applies to final and deletedNPL sites as well as SAA sites. Beginning
with FY 2014, Superfund began counting sites with SAA agreements per the OECA policy
in this measure.
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PART III. POST CONSTRUCTION COMPLETION
n. Long Term Response Action
Government LTRA refers to the operation of groundwater and surface water restoration
remedies, including monitored natural attenuation, following the O&F completion, for the
first 10 years of operation, or until cleanup levels are achieved, whichever is earlier.
PRP long-term response is a specific type of O&M for groundwater and surface-water
restoration remedies (including monitored natural attenuation) conducted by responsible
parties. The 10-year time period described above does not apply to PRP Long Term
Response Action (PRP LR).
Note that Government LTRA and PRP LR do not apply to source remediation or
containment remedial actions that simply require a long time to achieve cleanup levels,
such as bioremediation or soil vapor extraction. Government LTRA and PRP LR also do
not apply to groundwater or surface water containment measures, groundwater monitoring,
or groundwater or surface water measures initiated for the primary purpose of providing a
drinking water supply.
EXHIBIT VIII. 13. LTRA REQUIREMENTS
Work Package
'Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Government LTRA must be at NPL sites; PRP LR may occur at NPL or SAA sites
Government Long Term
Response Action (LTRA)
PRPLR
EPA, Tribe,
State, EPA In-
house
EPA Oversight,
State Oversight
Start: Letter documenting O&F completion signed bv
the designated regional official.
Finish: Report containing valid monitoring data that
demonstrate cleanup goals have been achieved signed
by the appropriate regional official; or
Letter to the state confirming LTRA transfer to O&M
signed by the appropriate regional official if cleanup
levels have not been achieved within the 10-year period.
Start: Letter documenting O&F completion signed bv
the designated regional official.
Finish: Valid monitoring data (e.g., routine O&M
report) document that cleanup goals have been achieved
Special Planning/Reporting Requirements:
Government LTRA and PRP LR are planned on a site-specific basis in SEMS and are used
for resource allocation purposes only. Funds for LTRA are issued site-specifically in the
RA Site Allowance. Funds for oversight of the PRP LR are contained in the Pipeline
Operations Site Allowance. Completion of LTRA and/or PRP LR is an internal program
measure.
o. Operation and Maintenance (O&M)
O&M are the activities required to maintain the effectiveness or the integrity of the remedy
and continued operation of such measures beyond the LTRA period until cleanup levels
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are achieved. For Government LIRA, O&M measures are initiated after the LIRA is
transferred to the state and continue until groundwater or surface water cleanup levels are
achieved.
Except for ground- or surface- water restoration activities covered under section
300.435(f)(4) of the National Contingency Plan (NCP), O&M measures are initiated after
the remedy has achieved the remedial action objectives and remediation goals in the ROD,
and is determined to be O&F (see definition of O&F).
O&M is not required for all remedial actions. For containment remedies or remedial actions
that require ICs, O&M is generally required for an indefinite period. As stated above, for
groundwater or surface water restoration remedies, O&M may be complete when the
ground- or surface- water restoration cleanup levels have been are met.
In general, the state or PRP is fully responsible for funding and conducting O&M activities.
EXHIBIT VIII.14. OPERATIONS & MAINTENANCE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site.
Operations and Maintenance
EPA Oversight,
State Oversight
Start: Containment Remedies - A letter to the state
declaring O&F, signifying that the state has assumed
responsibility for all activities necessary to operate
and/or maintain the long-term effectiveness or integrity
of the actions selected in the ROD
Groundwater or Surface Water Restoration Remedies -
Letter to the state confirming LTRA transfer signed by
the designated regional official (Note: date should be no
more than 10 years after LTRA Start)
Finish: If applicable, documentation, signed by the
appropriate regional official, stating the remedial action
objectives and cleanup levels selected in the ROD and
documented in the Superfund State Contract (SSC),
Cooperative Agreement or consent decree have been
met Note: If O&M will be conducted indefinitely, do not
enter an Actual flag on the finish date
Special Planning/Reporting Requirements:
Completion of O&M is an internal program measure. O&M is planned site-specifically in
SEMS. Funds for oversight of O&M are contained in the Pipeline Operations Site
Allowance and/or a site specific Special Account. If O&M is not required, regions should
not enter the action into SEMS. Where O&M must be conducted indefinitely, regions
should not enter an actual flag on the finish date for the O&M activity.
If an O&M activity being conducted by the PRPs at the site is to evaluate groundwater or
surface water restoration remedial actions, regions should use the PRP LR activity instead
of the Operations and Maintenance activity. In this situation, regions should not enter both
activities.
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p. Cleanup Goals Achieved
This activity documents achievement of cleanup goals for groundwater and surface water
restoration remedies. Cleanup goals are achieved when sufficient monitoring data are
obtained and support that restoration goals have been achieved (e.g., routine O&M report).
For more information regarding groundwater restoration actions, see the Recommended
Approach for Evaluating Completion of Groundwater Restoration Remedial Actions at a
Groundwater Monitoring Well fOSWER Directive 9283.1-44, Aug. 2014) and Guidance
for Evaluating Completion of Groundwater Restoration Actions (OSWER 9355.0-129,
Nov. 2013).
EXHIBIT VIII.15. CLEANUP GOALS ACHIEVED REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site must be an NPL or SAA site.
Cleanup Goals Achieved
EPA
Start/Finish: Report containing valid monitoring data
that demonstrate cleanup goals achieved
Special Planning/Reporting Requirements:
Cleanup Goals Achieved is planned on a site-specific basis in SEMS. This activity may be
tracked by HQ for program management purposes, but it is not a program target or measure.
q. Groundwater Monitoring
This measure addresses groundwater monitoring at non-NPL, NPL, or SAA sites that is
specifically intended to ensure that assumptions that form the basis of a No Action ROD
for groundwater are still valid. If the ROD specifies that groundwater monitoring is the
only activity that will be implemented, then it is a No action or No Further Action ROD.
This measure is not intended to track routine groundwater monitoring activities that occur
during site characterization or to verify performance of a groundwater remedial action (e.g.,
extraction and treatment of groundwater, or monitored natural attenuation).
EXHIBIT VIII.16. GROUNDWATER MONITORING REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Site may be a non-NPL, NPL or SAA site.
Groundwater Monitoring
(Post-ROD)
EPA, Tribe,
State, EPA
Oversight
State Oversight
Start: ROD signature date
Finish: Memo documenting completing of the post-ROD
groundwater monitoring activity.
Start: ROD signature date
Finish: Memo documenting completing of the post-ROD
groundwater monitoring activity.
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Special Planning/Reporting Requirements
Groundwater monitoring and oversight of groundwater monitoring is covered under the
Pipeline Operations Site Allowance. This is an internal program measure.
r. NPL Site Completions
An NPL site must meet all of the following criteria to be eligible for site completion:
All remedial decision documents have been completed and the selected remedy is
consistent with EPA policy and guidance;
All response actions have been completed and documented; and
All ICs are in place.
There is only one NPL Site Completion per NPL site, and the site must be final on the
NPL. For more detailed information, see Close Out Procedures for National Priorities List
Sites (OSWER 9320.2-22, May 2011).
EXHIBIT VIII. 17. NPL SITE COMPLETIONS REQUIREMENTS
Work Package
Activity/Milestone
Final Close-out Report
(FCOR)
Performance
Lead
EPA
Activity/Milestone Date Requirements
Start/Finish: Final Close-out Report signed bv
appropriate regional official
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the NPL Site Construction Completion
measure as a result of the same Final Closeout Report. This is an internal program measure.
s. Five Year Reviews
A Five Year Review is a review of remedial action(s) selected under CERCLA 121(c) that
leaves waste in place above levels that allow for unlimited use and unrestricted exposure.
The purpose of the Five Year Review is to determine whether the remedy at a site
is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. EPA conducts statutory reviews
of any site at which a post-Superfund Amendments and Reauthorization Act of 1986
(SARA) remedy, upon attainment of cleanup levels specified in the ROD, will not allow
for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites where
remedial actions will attain cleanup levels that, upon completion, will allow for unlimited
use and unrestricted exposure but will take longer than five years to complete, at sites with
pre-SARA remedies at which the cleanup levels do not allow for unlimited use and
unrestricted exposure, or at NPL removal only sites where cleanup levels do not allow
unlimited use and unrestricted exposure. EPA may also conduct Five Year Reviews at their
discretion for other sites.
Five Year Reviews should not be entered for Formerly Used Defense Sites (FUDS) and
non-NPL Federal Facilities because they are not conducted under the purview of EPA's
oversight. Additional information on requirements and procedures for conducting Five
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Year Reviews can be found in the Comprehensive Five-Year Review Guidance (OSWER
9355.7-03B-P, June 2001). Refer to the Federal Facilities chapter in this document on
recording Federal Facility Five Year Reviews.
Statutory Reviews:
The Five Year Review and F YR Report Due finish date fields are typically planned for five
years from the earliest planned or actual RA On-Site Construction Start date among the
operable units (OU) included in the FYR. RA On-Site Construction Start is the standard
trigger for a statutory FYR. For remedies where the On-Site Construction Start action may
not be used, a non-standard triggering date will need to be entered in its place. This date
will typically be the first monitoring event following ROD signature or the ROD signature
date itself.
Policy Reviews:
The Five Year Review and FYR Report Due finish dates are typically planned for five
years after the earlier PCOR or FCOR planned finish date.
Discretionary Reviews:
The Five Year Review planned finish date is based on the date set by the user at the time
of entry of Five Year Review type.
EXHIBIT VIII.18. FIVE YEAR REVIEW REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Memo to file or work plan documenting tasks
Government Five Year
Review
EPA, Tribe,
State
approved by designated regional official
Finish: Five Year Review report signed by designated
regional official or signed concurrence memo for state
or tribal lead FYRs.
Start/Finish: Five Year Review Addendum report
Five Year Review Addendum
EPA, Tribe,
State
signed by designated regional official or signed
concurrence memo for a state or tribal lead FYR
addendum.
Special Planning/Reporting Requirements:
The following information is captured in the SEMS Five Year Review module:
The ability to associate issues/recommendations with the correct OU and response
actions;
The ability to enter/track more than one Five Year Review with multiple OUs for
each site;
A Missing Data Tab available on the FYR screen informs the user of all missing
information and includes the OU that it affects; and
The ability to update milestone dates and track the current status of implementation
for Five Year Review Issues and Recommendations.
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In order to receive credit for a Five Year Review, the region must enter the following data
in SEMS:
applicable OUs
associated issue for each OU (if there is no issue, enter the relevant OUs with the
'No Issue' category)
recommendations or follow-up actions (a party responsible, oversight agency, and
milestone date must be identified for each recommendation or follow-up action)
protectiveness determination for each remedy/OU
protectiveness statement as it appears in the Five Year Review
If the site Construction Completion flag has been checked, the user must enter the
following information:
site protectiveness determination
sitewide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR addendum completion, the user must enter the
following information:
The new protectiveness determination for those OUs that were deferred;
Protective Statement as it appeared in parent FYR; and
If new issues/recommendations are referenced in the Five Year Review Addendum,
enter them into the Five Year Review screens through the FYR parent action for
the addendum.
All sites must have the following information:
If future Five Year Reviews are not necessary at the site, indicate that this is the final Five
Year Review at the site by selecting the 'no' radio button under the heading asking whether
future FYRs are necessary and explain. If future FYRs are necessary, select the 'yes' radio
button and enter the next planned FYR into SEMS with the appropriate due date (planned
finish).Five Year Review finish dates must be planned and reported site-specifically in
SEMS. Funds to conduct FYRs are allocated in the Remedial Action Site Allowance. This
is an internal program target and measure.
t. Sitewide Ready for Anticipated Use (SWRAU)
The Sitewide Ready for Anticipated Use (SWRAU) measure documents sites as ready for
reuse when construction is complete in two categories. The first is final and deleted NPL
sites that have achieved Construction Completion. The second category was added in FY
2014 and includes eligible SAA sites that have achieved construction complete. To be
eligible, SAA sites must be designated as SAA per the official OECA policy and the special
indicator of SAA construction complete must be selected. SAA sites count as regional and
national targets.
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Eligibility for SWRAU is established when the following criteria are met:
All cleanup goals in the ROD or other remedy decision document(s) have been
achieved for media that may affect current and reasonably anticipated future land
uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the ROD or other remedy decision
document(s) have been put in place.
The SWRAU accomplishment is obtained when the following occur:
1) The entire site meets the criteria established in the guidance; a hard copy checklist has
been completed, signed by a regional approving official, and submitted to HQ.
2) The Protective for People Under Current Conditions (PFP)/Ready for Anticipated Use
(RAU) Checklist activity must be assigned an actual finish date in SEMS reflecting the
signature date on the hard copy form. Regions must submit an electronic version of the
checklist within SEMS and the HQ Data Sponsor must approve the electronic
submission. This requires entering data on the SWRAU tab within the Land Reuse
schedule and then initiating and approving the form using the My Work List menu
option in SEMS.
All acres that are part of the Superfund site universe must be documented as SWRAU
within SEMS prior to the region's submission of a Superfund Checklist for Reporting the
Sitewide Ready for Anticipated Use Government Performance and Results Act (GPRA)
Measure. If the number of acres changed from the baseline to actual SWRAU, users need
to update them before checking the SWRAU box in SEMS. The SWRAU accomplishment
date entered into SEMS should be the signature date on the Checklist of the regional
reviewing official. Checklists for SWRAU sites are available at this HO SWRAU link.
This measure is based on current site conditions. Therefore, instances do occasionally
occur when a site which is already SWRAU no longer meets the criteria. In these instances,
the regions are required to complete a SWRAU retraction form, have it signed by a regional
approving official, submit it to HQ, and enter the retraction date into SEMS. HQ will then
approve this action in SEMS. The form is available from this HO Rescind link.
Special Planning/Reporting Requirements:
SWRAU is both an internal program target and an external program reporting measure in
the ACS.
u. Partial NPL Deletion
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portion may be a defined geographic unit of
the site, perhaps as small as a residential unit, or may be a specific medium at the site (e.g.,
groundwater), depending on the nature or extent of the release(s). The criteria for partial
deletion are the same as for final deletion. EPA must consider, in consultation with the
state, whether the following criteria have been met for that portion of the site:
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OSWER Directive 9200.3-15-1G-Z
Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
The remedial investigation has shown that the release poses no significant threat to
public health, or the environment and, therefore, no remedial measures are
necessary.
For more detailed information, see Close Out Procedures for National Priorities List Sites
(OSWER 9320.2-22. May 2011).
EXHIBIT VIII. 19. PARTIAL NPL DELETION REQUIREMENTS
Work Package
'Activity/Milestone
Notice of Intent to Partially
Delete
Partial NPL Deletion
Performance
Lead
EPA
EPA
Activity/Milestone Date Requirements
Start/Finish: Notice of Intent to Partially Delete or
Direct Final Action Notice published in the Federal
Register
Start/Finish: Notice of Partial Deletion or Direct Final
Action Notice published in the Federal Register
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL
deletions will be entered by HQ if a portion or portions of the release remain listed on the
NPL following completion of the partial deletion. Partial deletions will only be coded at
specific OUs when a single OU is subject to the partial deletion and the particular OU is
specified in the Notice of Intent to Partially Delete in the Federal Register.
A site deletion will be entered by HQ if the deletion activity addresses the remaining release
listed on the NPL (either as a one-time deletion activity for the entire site as originally
listed, or as the last deletion activity associated with a site subject to previous partial
deletions). This is an internal program measure.
v. Final NPL Deletion
With state concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
The remedial investigation has shown that the release poses no significant threat to
public health or the environment and, therefore, no remedial measures are
necessary.
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Regions need to enter planned dates for notices and the final deletion activity to view them
on the site schedule in SEMS. HQ will enter the Federal Register dates for the Deletion
from the NPL activity and the Notice of Intent to Delete activity into SEMS upon
publication of the notices in the Federal Register. For more detailed information, see Close
Out Procedures for National Priorities List Sites (OSWER 9320.2-22. May 2011).
EXHIBIT VIII.20. NPL DELETION REQUIREMENTS
Work Package
Activity/Milestone
Notice of Intent to Delete
NPL Deletion
Performance
Lead
EPA
EPA
Activity/Milestone Date Requirements
Start/Finish: Notice of Intent to Delete or Direct Final
Action Notice published in the Federal Register
Start/Finish: Notice of Deletion or Direct Final Action
Notice published in the Federal Register
Special Planning/Reporting Requirements:
The Final Deletion from the NPL will be used whether deletion is accomplished through
the Notice of Deletion or the Direct Final Action Notice. When the Notice of Deletion is
published or the date of deletion is effective, HQ will change the NPL Status in SEMS to
'Deleted from Final NPL.' This is an internal program target and measure.
PART IV. CROSS PROGRAM REVITALIZATION MEASURES (CPRM)
The Cross Program Revitalization Measures (CPRM) indicators and performance
measures establish a similar, consistent set of measures that can be applied across all OSWER
cleanup programs. OSRTI and Federal Facilities Restoration and Reuse Office (FFRRO)
implemented the following three indicators and two performance measures established in the
March 2007 CPRM Guidance. The two performance measures are: PFP and RAU. The three
indicators are: Universe indicator (required to meet the performance measures), Status of Use
(optional), and Type of Use (optional). The CPRM indicators and performance measures are pulled
quarterly.
Specific guidelines for the indicators and performance measures are provided below. For
additional information, visit:
http://www.epa.gov/superfund/programs/recycle/pdf/cprm guidance.pdf.
w. Protective for People Under Current Conditions (PFP)
This measure is based on the Human Exposure Under Control Environmental Indicator and
reports sites and land area (as measured in acres) that are protective for people under
current conditions.
The PFP performance measure reports the number of sites and acres at which there is no
complete pathway for human exposures to unacceptable levels of contamination, based on
current site conditions. Reporting on a particular site for this measure should be based on
an understanding of current conditions, presence and toxicity of contamination, routes of
contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g.,
dermal, inhalation, ingestion).
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Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are below
health-based levels for current land use conditions. 'Under control' means that adequately
protective controls are in place to prevent any unacceptable human exposure under current
land use conditions. Achieving the PFP measure does not involve consideration of future
use conditions or ecological receptors. The PFP measure can be achieved through
temporary solutions based on current conditions and associated exposures at a given point
in time, and does not necessarily require that all cleanup goals be met at a site or OU.
For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator. The three designations in the existing Sitewide Human Exposure
Environmental Indicator that ensure acres meet PFP include:
Current Human Exposures Under Control;
Current Human Exposures Under Control and Protective Remedy or Remedies in
Place; or
Current Human Exposures Under Control and Long Term Human Health
Protection Achieved.
Note that an OU or entire site may meet PFP if the groundwater is contaminated yet no
human exposure pathways exist, and the soil above the plume has been investigated to
ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may
have several OUs with different designations, some of which have met PFP criteria, some
of which have also met RAU criteria, and some of which do not meet either performance
measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in SEMS and routinely reported for management
and communication purposes.
x. Ready for Anticipated Use (RAU)
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria:
All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the SWRAU
measure. Therefore, all sites and acres counted toward the SWRAU measure will also count
toward the RAU measure. In addition, the RAU measure described here may also include
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individual OUs and a broader universe of sites (i.e., NTCRA, certain non-NPL Federal
Facilities, FUDS, etc.) than those included in the SWRAU measure.
The determination that an OU achieves the RAU measure can occur at any particular point
in time and the OUs reported status should be revised if the site's conditions change or if
new or additional information is discovered regarding the contamination or conditions at
the site (e.g., contaminant occurrence, migration, toxicity levels for specific contaminants,
and exposures). If at the time of the determination, or at any other time, EPA becomes
aware of other environmental problems that pose unacceptable risk relevant to the site or
reuse, including risks addressed under other cleanup or public health authorities, the site
should not be reported under the RAU measure. Documentation that OUs achieve the RAU
measure should be changed accordingly if, or when, information becomes available that
would bring into question whether the OUs continue to meet the RAU definition. Those
specific acres associated with the OU in question should only be re-recorded as meeting
the RAU measure if and when acres once again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in SEMS and routinely reported for management
and communication purposes.
For more information about this measure, please refer to the Guidance for Documenting
and Reporting Performance in Achieving Land Revitalization (OSWER 9200.1-74).
EXHIBIT VIII.21. PFP/RAU CHECKLIST REQUIREMENTS
WorkPackage
Activity/Milestone . '
PFP/RAU Evaluation
Checklist
Performance
Lead
EPA In-House
Activity/Milestone Date Requirements
Start/Finish: Checklist signed bv regional division
director or designee
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
y. Cross Program Revitalization Measures (CPRM) Indicators
Universe Indicator (Mandatory). Seeks to count the total number of acres and sites that
have been investigated at all sites since program inception. In order to be included in the
Universe Indicator, the site should be eligible for investigation under CERCLA, or as the
result of EPA's involvement at Base Realignment and Closure (BRAC) facilities. For sites
that are proposed for, listed on, or deleted from the NPL, or for SAA sites, acres included
in the Universe Indicator should be investigated in a manner consistent with the Guidance
for Conducting Remedial Investigations and Feasibility Studies Under CERCLA.
Similarly, NTCRA sites should be investigated in a manner consistent with Guidance on
Conducting Non-Time-Critical Removal Actions Under CERCLA. Both remedial and
NTCRA sites and acres where initial investigations indicate that no unacceptable risks
exist, and therefore no further action is required, should be included in the Universe
Indicator.
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The Universe includes those non-NPL Federal Facilities (such as BRAC or Formerly Used
Sites Remediation Action Program [FUSRAP] sites) and FUDS where EPA has
signed/concurred on a response action (at a minimum, completed a RI/FS, removal action,
or other major cleanup decision document) or a property transfer.
The Universe Indicator and performance measures apply to the following contaminated or
potentially contaminated media - land, wetlands, surface water, and/or sediments -
provided that media is subject to Superfund and Federal Facilities remedial investigation,
oversight, and/or response action. However, the acres captured under the Universe
Indicator do not include land areas overlying a groundwater plume where those land areas
are not intended to be assessed consistent with applicable EPA guidance. For example, if
a plume extends under a land area and EPA has no intention of investigating these acres of
land for contamination unrelated to the plume, then those land acres would not be included
in the acreage reported by the Universe measure. By extension, a site with only
groundwater contamination would not be captured by the Universe Indicator. Note that
there may also be exceptions in which sites with areas of surface water, sediments, and/or
tidal basins will not automatically be included due to site-specific circumstances. These
types of sites will be dealt with on a case-by-case basis.
Status of Use Indicator (Optional). Refers to how the acres of the sites and OUs included
in the Universe Indicator are being used at the point in time when the determination is made
for the PFP and RAU performance measures. The Status of Use Indicator has the following
sub-indicators:
Continued Use: Refers to areas that are being used in the same general manner as they were
when the site became subject to the Superfund or Federal Facilities programs.
Reused: Refers to a site or OU where a new use, or uses, are occurring such that there has
been a change in the type of use (e.g., industrial to commercial), or the property was unused
and now supports a specific use. This means that the developed site or OU is actually used
for its intended purpose by customers, visitors, employees, residents, or fauna, in the case
of ecological reuse.
Planned Reuse: Includes sites or OUs where a plan for a reuse is in place, but reuse has not
yet begun. This could include conceptual plans, a contract with a developer, secured
financing, approval by the local government, or the initiation of site redevelopment.
Unused: Includes sites or OUs not being used in any identifiable manner. This could be,
for example, because site investigation and cleanup are ongoing, operations have ceased,
the owner is in bankruptcy, or cleanup is complete, but the site remains vacant.
Undetermined: Acres at a site or OU that cannot be currently identified as one of the four
Statuses of Use.
The Status of Use Indicator is independent of the status of response action because it
recognizes that sites or OUs could be in various stages of use at various stages of cleanup
and because use and reuse can change.
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Type of Use Indicator (Optional). The Type of Use Indicator describes how acres at sites
or OUs included in the Universe Indicator are used at the point in time when the PFP or
RAU determination is made. Information on the type of use at a site or OU should be
classified under one of the following 10 primary categories:
Commercial Use: Refers to use for retail shops, grocery stores, offices, restaurants, and
other businesses.
Public Service Use: Refers to use by a local or state government agency or a non-profit
group to serve citizens' needs. This can include transportation services such as rail lines
and bus depots, libraries and schools, government offices, public infrastructure such as
roads, bridges, utilities, or other services for the general public.
Agricultural Use: Refers to use for agricultural purposes, such as farmland for growing
crops and pasture for livestock. Agricultural use also can encompass other activities, such
as orchards, agricultural research and development, and irrigating existing farmland.
Recreational Use: Refers to use for recreational activities, such as sports facilities, golf
courses, ball fields, open space for hiking/picnicking, and other opportunities for indoor or
outdoor leisure activities.
Ecological Use: Refers to areas where proactive measures, including a conservation
easement, have been implemented to create, restore, protect, or enhance a habitat for
terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries, nature preserves,
meadows, and wetlands.
Industrial Use: Refers to traditional light and heavy industrial uses, such as processing and
manufacturing products from raw materials, as well as fabrication, assembly, treatment,
and packaging of finished products. Examples of industrial uses include factories, power
plants, warehouses, waste disposal sites, landfill operations, and salvage yards.
Military Use: Refers to use for training, operations, research and development, weapons
testing, range activities, logistical support, and/or provision of services to support military
or national security purposes.
Other Federal Use: Refers to use to support the federal government in federal agency
operations, training, research, and/or provision of services for purposes other than national
security or military.
Mixed Use: Refers to areas at which uses cannot be differentiated on the basis of acres. For
example, a condominium with retail shops on the ground floor and residential use on the
upper floors would fall into this category. When selecting Mixed Use, the individual types
of uses should be identified, if possible.
Residential Use: Refers to use for residential purposes, including single-family homes,
town homes, apartment complexes and condominiums, and child/elder care facilities.
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Undetermined: Refers to acres at a site or OU that cannot be identified as one of the ten
Types of Use.
PART V. ENVIRONMENTAL INDICATORS
z. Human Exposure Under Control
The Human Exposure Under Control Environmental Indicator documents the progress
achieved towards providing long-term human health protection by measuring the
incremental progress achieved in controlling unacceptable human exposures at a site. The
indicator applies to proposed, final, and deleted NPL sites and SAA sites, but only final
and deleted NPL sites count toward annual GPRA targets. In general, sites may be brought
Under Control by the following methods:
Reducing the level of contamination. For purposes of this policy, 'contamination'
generally refers to media containing contaminants in concentrations above
appropriate protective risk-based levels associated with complete exposure
pathways to the point where the exposure is no longer 'unacceptable;' and/or
Preventing human receptors from contacting contaminants in-place; and/or
Controlling human receptor activity patterns (e.g., by reducing the potential
frequency or duration of exposure).
Five categories have been created to describe the level of human health protection achieved
at a site:
Insufficient data to determine human exposure control status;
Current human exposures not under control;
Current human exposures under control;
Current human exposures under control and protective remedy or remedies in place;
and
Current human exposures under control, and long-term human health protection
achieved.
The criteria for determining the Sitewide Human Exposure status at a site are found in the
Environmental Indicators Guidance Manual, the Long Term Human Health Protection
Data Quality Objectives document, and on the Superfund Environmental Indicators
website.
The indicator name has changed from Long Term Human Health Protection indicator to
Sitewide Human Exposure Environmental Indicator. As of FY 2008, the Sitewide Human
Exposure Indicator is required for NPL Proposed and SAA sites in addition to Final and
Deleted NPL sites, though only Final and Deleted NPL sites will count toward annual
program targets.
The Human Exposure (HE) evaluation reflects current, sitewide conditions. For sites that
have been categorized as current human exposures under control and long-term human
health protection achieved, it also reflects reasonably anticipated future sitewide
conditions. As data collection and analysis or response actions occur or environmental
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OSWER Directive 9200.3-15-1G-Z
conditions change, it is expected that regions will update HE evaluations and update SEMS
to reflect changes in status. This should generally occur within 10 days of a known change.
It is expected that regions will review the status of all HE evaluations at a minimum
annually and confirm that each site has an updated and accurate HE evaluation. If there is
no change in the status of the site, update the 'Last Review Date' in SEMS on the HE tab
in the Environmental Indicators module within 10 days of the review.
Entering Human Exposure Data on the Exposure Pathway Description Tab of the
HE SEMS Module
EPA has committed to providing current human exposure evaluations to the public via its
Superfund Site Profiles available on the internet. As part of this effort, the Agency will
provide descriptions of situations where a site is categorized as 'Insufficient Data' or 'Not
Under Control.' This information will be derived from SEMS. Consequently, it is critical
that regions maintain the quality of the Exposure Pathway Descriptions in SEMS.
When making a Human Exposure Not Under Control or Insufficient Data evaluation in
SEMS, regions must record exposure descriptions on the Exposure Pathway Description
tab in order to save the evaluation as draft. The purpose of this approach is to provide the
public with a succinct and clear description of why a site is so listed, along with information
about the steps EPA plans to take to address the exposures. Upon OSRTI review and
approval of the text, the human exposure evaluation will be saved in SEMS as final.
To help standardize the descriptions entered into SEMS, and to assure that similar exposure
scenarios are described consistently across regions, the templates below should be used
when populating the Exposure Pathway Description tab. The information entered on this
tab will appear on the publicly available Superfund Site Progress Profiles Webpage, so it
should be accurate, updated when necessary, and contain the information outlined below.
Current Human Exposure Not Under Control
The (insert site name) Superfund site is considered 'Current Human Exposure Not Under
Control' because (insert a detailed description of the current completed human exposure
pathway(s) not under control; include the contaminants of concern and media).
The planned activities to address this pathway are ( ).
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Example Justification:
The Site X Superfund site is considered 'Current Human Exposure Not Under Control'
because residents and recreational users of the creek can be exposed through direct contact
to arsenic and lead contaminated soils and sediments.
The planned activities to address this pathway are continuation of ongoing removal of
arsenic and lead contaminated soils.
FY 16 SPIM VIII-29 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
EPA has already begun cleaning up the contaminated soil. Removal actions started in April
2007. Temporary fences to prevent access to the site were installed in May 2007. Warning
signs identifying the area as a Superfund site were posted in June 2007.
Insufficient Data to Determine Human Exposure Control Status
There is insufficient information to determine the Sitewide Human Exposure Control status
at (insert site name) Superfund Site. (Provide general context for why there are insufficient
data at the site.) An example:
(Insert site name) was (proposed/finalized) for the NPL on MM/DD/YY, and there has
been no evaluation of the human health exposure indication yet. (This does not necessarily
mean that unacceptable exposures are occurring.)
The planned activities to collect sufficient information to make a human exposure
evaluation are i
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Example Justification:
There is not sufficient information available to determine the Sitewide Human Exposure
Control status at X Superfund Site because of a newly identified potential exposure
pathway and/or contaminant(s) (insert a detailed description of the human exposure
pathway of concern, include the contaminants of concern and media).
The activities planned to make the HE evaluation include ( ) (list whatever activity is
necessary to make the evaluation: e.g., data needed, conduct sampling, monitor basements
for vapor intrusion, complete risk assessment, and conduct well surveys).
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Special Planning/Reporting Requirements:
The status of each site in the Human Exposure universe must be reviewed at least annually,
regardless of whether the site should change HE categories. The exposure justification
paragraphs for 'Not Under Control' and 'Insufficient Data' sites must be reviewed and
updated to reflect current site progress at least annually, or whenever conditions change. If
there is a known change in the HE status of a site, SEMS should be updated within 10 days
(Site Schedule/Environment Indicator(s)), and should be reviewed and approved by the
regional division director or his/her designee. HE evaluations should be made (and entered)
or reviewed at all Proposed, Final, and Deleted NPL sites and SAA sites prior to the end
of the fiscal year, September 30. In cases where this is not possible the region should
contact the data sponsor for these measures. HE changes entered during the first seven
September 30, 2015 VIII-30 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
working days of the new fiscal year will be counted as accomplishments for the prior fiscal
year. This practice may differ from that required for other measures; special notice should
be taken. Site condition changes may be documented in RODs, ROD Amendments,
Removal Action Memoranda, Pollution Reports, Close Out Reports, and Five Year
Reviews.
This is a key program target and measure; the program reports accomplishments to external
parties and makes available to the public real-time changes to the exposure justification
paragraphs.1
1 For detailed information regarding HE determinations, see chapter 4 of the Superfund Environmental Indicators
Guidance: Human Exposure Revisions, March 2008.
http://www.epa.gov/superfund/accomp/ei/pdfs/fmal_ei_guidance_march_2008.pdf
FY 16 SPIM VIII-31 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
No
EXHIBIT VIII.22. HUMAN EXPOSURE EVALUATION FLOWCHART
I. Is there sufficient known and reliable information to
make an evaluation on human exposure at this site?
Response:
No
Insufficient Data to
Determine Human
Exposure Control Status
(HEID)
Yes
2. Have all long-term human exposure-related cleanup
goals been met for the entire site?
Response;
Yes
t uircnl Human
hxposurts I 'mler Control
.mil 1 oiig-Temi Human
Health Piotcetion
Achtc\ed(HHPA)
No
3 Aie (heie complete human e\poปiiio pathways
between contaminated ground water, soil, surUce
water, sediment or air media and human receptors.
such that cxposuitf can be reasonably expected undo
cui'tent conditions?
Response:
Resulting Current Human Exposure
Evaluation:
Yes
4, \re Ihe actual or lejsonahle expected human
exposures associated with ihe complete pathways
identified in Step Ji \\iihin acceptable limits under
cutten! uMnlitioiis'1
Response:
No
C intent Human
E\posuies Not I'ndoi
( onttolfHLNl')
Yes
5. Is flic site t'onstructton t oinplete, is the icinedy
operating as iniendetl. and aie engineering and
institutional controls, (if required), in place and
effective"
Response:
If one or
more
criteria from
Step 5 are
not met
t in rent Human
t \poMiies Under ( ontrol
If all
criteria
from Step 5
are met
t intent Human
Fxposiire.s Under Control
and Protecti\o Remedies
in Place I HI PRl
i> \ie there continning exposiiies at the site'1 -\nswei "\es" only it F P\ toi a state 01 PRP) has exhausted all response
actions and legal nitliuiities topio\ent tmacoeplahli- human i\posuies, \et e\ptปsmes continue due to -i lefusal In
the piopeitv o\\ nei(s) to paiticipate in the iemed\ (f g letusil to aieept a municipal \\atoi supph hookup) AND
the legion \\ ishes to e\eu isc its i)is.cretion to tlas>it) this site as Human I \posuie t 'ndei C onirol. consistent ซ tilt
the lequnements Inidout in the Superlund nmnoninentai lndioalois
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OSWER Directive 9200.3-15-1G-Z
Accuracy Requirement:
The Sitewide Human Exposure Environmental Indicator is designed to allow Remedial
Project Managers (RPMs) to make first-hand determinations based on their knowledge of
current conditions at a site as well as actions undertaken at a site. Complete certainty
regarding the above factors is not a necessary condition to make a Sitewide Human
Exposure evaluation at a site. In characterizing a site as 'current human exposures not under
control', a region is making a determination that: 1) there are currently completed human
exposure pathways and 2) that those exposure pathways pose an unacceptable risk to
humans based on the magnitude, frequency, duration and route(s) of exposure relative to
the exposure concentrations and chemical intakes. Where a region lacks sufficient
information to make such a determination on whether there are completed pathways or
whether a completed pathway poses an unacceptable risk, a site should be classified as
'insufficient data to determine human exposure control status'. A site is placed in one of
the three 'under control' categories when a region has determined that there are not
currently completed human exposure pathways or that exposure(s) that may be occurring
do not pose an unacceptable risk to humans based on the magnitude, frequency, duration
and route(s) of exposure relative to the exposure concentrations and chemical intakes.
Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the HE
worksheet. To support the response for each worksheet question, the RPMs should provide
the Document number in the document number field for every document referred to in
answering each question. Further, the RPM should provide the complete citation of each
referenced document in the Reference section of the worksheet and also provide a complete
copy of each referenced document.
aa. Migration of Contaminated Groundwater Under Control
The Migration of Contaminated Groundwater Under Control indicator assesses only
whether groundwater contamination is below protective, risk-based levels or, if not,
whether the migration of contaminated groundwater is stabilized and there is not
unacceptable discharge to surface water and monitoring will be conducted to confirm that
affected groundwater remains in the original area of contamination. This indicator is
limited to sites with known past and/or present groundwater contamination. The indicator
applies to proposed, final, and deleted NPL sites and SAA settlement sites, but only final
and deleted NPL sites count toward annual GPRA targets.
The criteria for determining if groundwater migration is controlled are found in Migration
of Contaminated Groundwater Under Control Survey (refer to exhibit VIII.24), the
Environmental Indicators Guidance Manual, the Long Term Human Health Protection
Data Quality Objectives document, and on the Superfund Environmental Indicators
website.
Special Planning/Reporting Requirements:
The Migration of Contaminated Groundwater Environmental Indicator worksheet must be
completed in SEMS and/or reviewed before the end of the fiscal year. If there is a known
change in Groundwater Migration (GM) status, SEMS should be updated within 10 days
(Site Schedule/Environment Indicator(s)). It is expected that regions will review the status
FY 16 SPIM VIII-33 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
of all GM evaluations at a minimum annually, and confirm that each site has an updated
and accurate GM evaluation. GM evaluations must be made (and entered) or reviewed at
all Proposed, Final, and Deleted NPL sites and SAA sites prior to the end of the fiscal year
in order to be included in the Superfund Comprehensive Accomplishments Plan (SCAP)
end of year report pull. In cases where this is not possible the region should contact the
data sponsor for these measures. GM changes entered during the first seven working days
of the new fiscal year will be counted as accomplishments for the prior fiscal year. This
practice may differ from that required for other measures; special notice should be taken.
Site condition changes may be documented in RODs, ROD Amendments, Removal Action
Memoranda, Pollution Reports, Close Out Reports, and Five Year Reviews.
This is a key program target and measure; the program reports accomplishments to external
parties.
September 30, 2015 VIII-34 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT VIII.23. SUPERFUND MIGRATION OF CONTAMINATED GROUNDWATER UNDER
CONTROL WORKSHEET
Definition: Is the migration of contaminated ground water being controlled through engineered or natural processes?
Insufficient
Data/No
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Q. Does the site currently have contaminated ground water or did site conditions
warrant EPA's investigation or remediation of ground water contamination in the
past?
No
Yes
Stop, you do not
need to
complete the
GMEI
Step 1. Based on the most current data on the site, has all available relevant/
significant information on known and reasonably suspected to ground water
been considered in this evaluation?
List Reference Document(s):
Yes
Step 2, Is ground water known or reasonably suspected to be "contaminated" above
appropriately protective risk-based "levels" (applicable promulgated standards, as
well as other appropriate standards, guidelines, or criteria) as a result of a
from the site?
List Reference Docyment(s): ___________________^^
Contaminated
Ground Water
Migration Under
Control
Yes
Step 3, Is the migration of contaminated ground water stabilized (such that
contaminated ground water is expected to remain within "existing area of
contaminated ground water") as defined by the monitoring locations designated at the
time of this evaluation?
List Reference Docyment(s):
No
Yes
Step 4. Does "contaminated" ground water discharge into surface water bodies?
List Reference Document(s):
No
Yes
Step 5. Can the discharge of "contaminated1" ground water into surface water be
shown to be "currently acceptable" as defined (i.e.. not cause unacceptable impacts
to surface water, sediments, or ecosystems that should not be allowed to continue
until a final remedy decision can be made and implemented)?
List Reference Document(s):
Yes
Step 6. Will ground water monitoring/measurement (and surface water/
sediment/ecological data as necessary) be collected in the future to verify that
contaminated ground water has remained within the horizontal (or vertical, as
necessary) dimensions of the "existing area" of contaminated ground water?
List Reference Docyment(s):
No
No
Insufficient Data to
Determine
Contaminated Ground
Water Migration
Under Control Status
I Yes
Contaminated
Ground Water
Migration Under
Control
Contaminated
Ground Water
Migration Not
Under Control
FY 16 SPIM
VIII-35
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Accuracy Requirement:
The Groundwater Migration approach was designed to allow RPMs to make first-hand
determinations based on their knowledge of current conditions at a site as well as actions
undertaken at a site. These determinations must be made with reasonable certainty using
all available documentation on media contamination for current land and groundwater use.
Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the surveys. To
support the response for each worksheet question, the RPMs should provide the document
number in the document number field for every document referred to in answering each
question. Further, the RPM should provide the complete citation of each referenced
document in the Reference section of the worksheet and also provide a complete copy of
each referenced document.
bb. Population Protected
This measure tracks the environmental progress achieved atNPL, SAA and non-NPL sites
through the protection of human receptors from immediate threats of exposure to
contaminated media. The following information will be reported under this measure:
The number of human receptors protected during removals and remedial actions
that result in:
Relocation of affected populations; or
Provision of an alternate water supply.
Population Protected data are required upon a removal or remedial action start where a
population has been either relocated and/or provided an alternative drinking water supply
in association with the following actions: Removal; PRP Removal; FF Removal; Remedial
Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.
The following information must be entered into SEMS for each action resulting in a
population being relocated or provided an alternative source of drinking water:
Action: action associated with the population relocation or the provision of
alternative drinking water;
Affected Date: date the population was relocated or provided alternative drinking
water;
Protection Level: level (permanently, temporarily, or returned/reinstated) at which
the population was relocated and or provided alternative drinking water; and
Number Affected: number of people relocated or provided alternative drinking
water.
The Populations Protected screen can be accessed through the Population Affected Tab of
the Environmental Indicators screen.
Special Planning/Reporting Requirements:
Population Protected data are required to be updated once per year. Data documenting
relocation or provision of alternative drinking water can typically be found in RODs,
Action Memoranda, Pollution Reports, Remedial Actions Reports and Close Out Reports.
September 30, 2015 VIII-36 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
A source document and document number should be entered in SEMS for this measure.
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
cc. Cleanup Volume
This measure tracks the amount of contaminated media that has been treated, stabilized,
contained, or removed through the use of risk management technologies, engineering
techniques, or ICs.
Cleanup Volume data are required in association with a removal action (Removal, PRP
Removal, FF Removal) finish as defined in the Removal Start and Removal Completion
measures.
The following information must be entered into SEMS for each medium addressed by the
completed response action:
Cleanup Date: date contaminated media was addressed
Media Name: media name as documented in the Add/Edit Media screen and media
type
Original Amount: amount of contaminated media addressed
Original Unit: volumetric unit of contaminated media
The Cleanup Volumes screen can be accessed through the Clean-Up Volume Tab of the
Environmental Indicators screen.
Special Planning/Reporting Requirements:
Cleanup Volume data are required to be updated once per year. Data documenting volumes
of contaminated media addressed can typically be found in RODs, Action Memoranda, and
Pollution Reports. This activity may be tracked by HQ for program management purposes,
but it is not a program target or measure.
PART VI. SUPPORT ACTIVITIES
dd. Support Agency Assistance
Support Agency Assistance refers to the activities performed by another entity to support
an EPA response action. The support agency furnishes necessary data to EPA, reviews
response data and documents, and provides other assistance to EPA. EPA may provide
states, political subdivisions, and Indian tribes with funding to carry out a variety of
management responsibilities via a support agency Cooperative Agreement to ensure
meaningful and substantial involvement in response activities.
Unless otherwise specified in the Cooperative Agreement, all support agency costs, with
the exception of RA support agency costs, may be planned under a single Superfund
account number designated specifically for support agency activities. RA support agency
activities must be planned site-specifically and require cost share provisions.
FY 16 SPIM VIII-37 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT VIII.24. SUPPORT AGENCY ASSISTANCE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Cooperative Agreement Signed by Regional
State Support Agency
Cooperative Agreement
EPA
Administrator or his designee
Finish: Expiration or termination of the assistance
agreement
Special Planning/Reporting Requirements:
Funds for support agency assistance are contained in the pipeline operations, enforcement,
or Federal Facility Site Allowance. Start and finish dates need to be entered in SEMS.
Funds may be planned or obligated site or non-site and OU specifically; however, they
must be outlayed site-specifically. This activity may be tracked at the regional level but it
is not a program target or measure.
ee. Technical Assistance
Technical assistance is support provided by a third party to EPA regions to conduct
response activities. Third parties that may provide assistance include USAGE, U. S. EPA
laboratories, U.S. Fish and Wildlife Service, Superfund Technical Assistance and
Response Team (START), and Remedial Action Contract (RAC) contractors.
EXHIBIT VIII.25. TECHNICAL ASSISTANCE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Technical Assistance
EPA, EPA In-
House, State,
Tribe, EPA
Oversight, State
Oversight
Start: Obligation of Funds for technical assistance
signed by the Contracting Officer
Finish: Completion of response activities for the stage
at which technical assistance was requested; or
Closeout of the task order or contract under which the
technical assistance was performed
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the Pipeline
Operations Site Allowance. Start and finish dates need to be entered in SEMS. Funds may
be planned or obligated site- or non-site and OU specifically; however, they must be
outlayed site-specifically. This activity may be tracked at the regional level but it is not a
program target or measure.
September 3 0,2015
VIII-38
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Superfund Program Implementation Manual
FY16
Chapter IX: Federal Facility Program
FY 16 SPIM September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
September 30, 2015 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
CHAPTER IX: Federal Facility Program
Table of Contents
IX.A Federal Facilities Goals and Priorities IX-3
IX.A.l Overview IX-3
IX.A.2 Superfund Federal Facility Goals IX-3
a. Strategic Federal Facility Goals IX-3
b. Cross Program Revitalization Measure Implementation IX-5
IX.A.3 EPA's Federal Facility Superfund Cleanup Principles IX-6
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment IX-8
a. Overview IX-8
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process IX-9
c. Federal Facility Site Assessment Process and Time Frames IX-10
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580... IX-10
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation IX-
11
f. Tracking of Federal Facility Sites in SEMS IX-12
IX.A.5 BRAC Budget and Financial Guidance IX-12
a. Resources and Tracking Mechanisms IX-12
b. Accountability for Resources IX-13
IX.A.6 Cleanup Privatization at BRAC NPL Sites IX-14
IX.A.7 Military Munitions Response Program IX-15
IX.A.8 Stakeholder Involvement IX-16
IX.B Federal Facilities Targets and Measures IX-16
IX.B.I Overview of Federal Facilities Targets and Measures IX-16
IX.B.2 Data Entry Timeliness IX-18
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions IX-18
a. Remedial Site Initiation (Discovery) IX-18
b. Federal Facility Preliminary Assessment Reviews IX-19
c. Federal Facility Site Inspection Reviews IX-21
d. Federal Facility Expanded Site Inspection (ESI) Reviews IX-22
IX.B.4 Federal Facilities Accomplishment Definitions IX-23
a. Base Closure Decisions IX-23
b. Non-BRAC Property Actions IX-24
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) IX-25
d. Federal Facility Dispute Resolution IX-26
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) IX-26
f. Decision Documents IX-27
g. Final Remedy Selected IX-27
h. Remedy Decision Changes IX-28
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) IX-29
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)IX-29
k. Removal or RCRA Interim/Stabilization Measure (ISM) IX-31
1. Operation and Maintenance (O&M) IX-32
FY 16 SPIM IX-i September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
m. Cleanup Goals Achieved IX-32
n. Percent Construction Completion IX-33
o. Federal Facility Five Year Reviews IX-33
IX.B.5 Community Involvement Definitions IX-36
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) .. IX-
36
b. Technical Assistance Grants (TAGs) IX-36
IX.B.6 Cleanup Privatization at BRAC NPL Sites IX-37
List of Exhibits
Exhibit IX. la. Federal Facilities NPL Sites IX-17
Exhibit IX.lb. Federal Facilities FAST-TRACK BRAC Sites IX-17
Exhibit IX.2. Remedial Site Initiation (Discovery) Requirements IX-19
Exhibit IX.3. Federal Facility Preliminary Assessment Review Requirements IX-20
Exhibit IX.4. Federal Facility Site Inspection Review Requirements IX-21
Exhibit IX.5. Federal Facility Expanded Site Inspection Review Requirements IX-22
Exhibit IX.6. Base Closure Decision Requirements IX-23
Exhibit IX.7. Non-BRAC Property Action Requirements IX-25
Exhibit IX.8.FFA/IA Requirements IX-25
Exhibit IX.9. Federal Facility Dispute Resolution Requirements IX-26
Exhibit IX. 10. RI/FS or RCRA Facility Investigation (RFI) Requirements IX-26
ExhibitIX.ll. Decision Document Requirements IX-27
Exhibit IX.12. Final Remedy Selected Requirements IX-28
Exhibit IX.13. Remedy Decision Change Requirements IX-29
Exhibit IX. 14. RD or RCRA CMD Requirements IX-29
Exhibit IX. 15. RA or RCRA CMI Requirements IX-30
Exhibit IX. 16. Remedial Pipeline Flow Charts IX-31
Exhibit IX. 17. Removal or RCRA ISM Requirements IX-32
Exhibit IX.18. Operation and Maintenance Requirements IX-32
Exhibit IX.19. Cleanup Goals Achieved Requirements IX-33
Exhibit IX.20. Percent Construction Complete Calculations IX-33
Exhibit IX.21. Federal Facility Five Year Review Requirements IX-34
Exhibit IX.22. RAB/SSAB Requirements IX-36
Exhibit IX.23. Technical Assistance Grant Requirements IX-36
Exhibit IX.24. Cleanup Privatization at BRAC NPL Sites Requirements IX-38
September 30, 2015 IX-ii FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
CHAPTER IX: FEDERAL FACILITY PROGRAM
IX. A FEDERAL FA CILITIES GOALS AND PRIORITIES
IX. A.I Overview
To facilitate cleanup, property transfer, and reuse, the Environmental Protection Agency
(EPA) has taken on a major role in forging proactive, innovative solutions to address
environmental problems at federal facilities. Within EPA, there are several offices that conduct
activities relating to federal facilities. To provide a unified program to the federal facility
community, these offices often collaborate on initiatives to meet stakeholder needs. The offices
most heavily involved in federal facility activities include:
Federal Facilities Restoration and Reuse Office (FFRRO)
Federal Facilities Enforcement Office (FFEO)
EPA Regional offices
Multiple federal statutes establish requirements for EPA and other federal agencies to
protect health and the human environment through cleanups at Federal Facilities, including the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980,
which was amended by the Superfund Amendments and Reauthorization Act (SARA) in 1986; the
Defense Authorization Amendments and Base Realignment and Closure (BRAC) Acts of 1998
and the Defense Base Closure and Realignment Act of 1990; and the Resource Conservation and
Recovery Act (RCRA).
With certain exceptions specified in CERCLA 120(a), each federal agency shall be subject
to CERCLA to the same extent as a private entity, including liability. Federal agencies shall
comply with all guidelines, rules, regulations, and criteria related to removal and remedial actions
and shall not adopt guidelines inconsistent with those established by the EPA Administrator.
To manage the Superfund Federal Facilities program, FFRRO and FFEO engage the
Federal Facilities Leadership Council (FFLC) to identify and resolve issues unique to the
management of EPA's Superfund Federal Facility (FF) response program. The FFLC is comprised
of Superfund and/or the RCRA program and enforcement/counsel representatives from all regions,
as well as representatives from the Federal Facilities Headquarters (HQ) offices and other HQ
offices that handle Federal Facilities. The guidance documents and policy memos referenced in
this chapter may be found by searching by title or document number on the Cleanups at Federal
Facilities webpage (http://www2.epa.gov/fedfac).
IX.A.2 Superfund Federal Facility Goals
a. Strategic Federal Facility Goals
Superfund Federal Facility activities have high visibility because of the significant threats
posed by military sites, the impact of military base closings, the resources needed to
implement Department of Defense (DoD)/Department of Energy (DOE) cleanup efforts at
facilities listed on the National Priorities List (NPL) and other non-NPL facilities, and
heightened state, tribal, local governments and other stakeholder interests. Federal Facility
FY 16 SPIM IX-3 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
program goals are based on a number of related factors, including overall Superfund
program goals, anticipated resource constraints, and statutory requirements. Program
activities and resources should be planned to achieve the following goals of the Federal
Facility program:
Percent Construction Complete (CO - This new percent construction complete
measure is based on the average of three specific factors at each Federal Facility
NPL site: 1) Operable Unit (OU) percent complete; 2) Total actions percent
complete; and 3) Duration of actions percent complete.
Expediting Property Transfer and Reuse - Revitalization is one of the Office of
Solid Waste and Emergency Response's (OSWER) highest priorities. The number
of acres EPA has found suitable for transfer or lease are currently being tracked by
EPA in the Superfund Enterprise Management System (SEMS). One way of
facilitating property reuse occurs when DoD installations are slated for closure or
realignment, or have been identified as excess property through other means. At
these BRAC installations, environmental restoration activities continue with the
same cleanup objective as those of active installations - protect human health and
the environment. At the time of closure or realignment, specific BRAC property,
and its possible future use, is identified. The closed or realigned property will
eventually be transferred to another Service Component, federal agency or a non-
federal entity, such as a state or local government or private entity. Along with
achieving cleanup objectives, BRAC installations focus on efficient property
transfer and providing beneficial and protective reuse of the property by the local
community.
Environmental Indicators - The environmental indicator currently reported under
the Government Performance and Results Act (GPRA) framework for the
Superfund program is Human Exposure Under Control, This measure provides
current site information regarding risk reduction at all NPL sites.
Sitewide Ready for Anticipated Use - This GPRA performance measure documents
the number of final and deleted construction complete NPL sites where, for the
entire site or facility:
All cleanup goals in the Record(s) of Decision (ROD) or other remedy decision
document(s) have been achieved for media that may affect current and
reasonably anticipated future land uses of the site, so that there are no
unacceptable risks; and
All institutional or other controls required in the RODs or other remedy decision
document(s) have been put in place.
The introduction of this measure reflects the Agency's commitment to land revitalization.
The Agency's policies have increasingly addressed the issue of making Superfund NPL
sites protective for current and future uses. In particular, one of EPA's key responsibilities
under the CERCLA is to ensure that contaminated property owned by the federal
government is environmentally suitable for transfer or lease.
Involving Citizens, Local Governments, and Tribes in Environmental Decision
Making - The publication of the Final Report of the Federal Facilities
Environmental Restoration Dialogue Committee (FFERDC) in April 1996 was a
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watershed event for public involvement in Federal Facility cleanups. As a result of
the Report, federal agencies have established Restoration Advisory Boards (RABs)
at DoD installations and Site-Specific Advisory Boards (SSABs) at DOE facilities.
Other federal agencies have also formed advisory boards. Regional staff and
management are expected to be especially sensitive to the requests at NPL facilities
and at the BRAC facilities. Because of resource constraints, EPA regional
participation and support for non NPL facilities is minimal. Regions need to work
closely with state agencies and their federal counterparts to ensure that the
President's Executive Order on Environmental Justice is successfully carried out
(E.G. 12898).
Enforcing the Laws - The public needs to know that it will be protected from
environmental hazards through vigorous enforcement by the EPA and the states for
violations of environmental laws and situations that put people and natural
resources at risk. EPA intends to use its enforcement authorities not only to compel
compliance, but also to promote long term policy objectives such as greater citizen
involvement, pollution prevention, technology development, and natural resource
management.
Regions should continue to strive to place these priorities and project milestones in
enforceable Federal Facility Agreements (FFAs)/Interagency Agreements (lAs) at NPL
sites. FFAs and lAs should reflect the best judgments by all parties of cleanup priorities
and milestones at the time of agreement.
b. Cross Program Revitalization Measure Implementation
Federal Facilities and remedial programs continue to implement the OSWER-wide Cross
Program Revitalization Measures (CPRM) effort by tracking the number of actually or
potentially contaminated, or previously contaminated, sites and surface acres that are
'Protective for People Under Current Conditions' (PFP) and 'Ready for Anticipated Use'
(RAU).
Sites and surface acres tracked by these measures include investigated land, wetlands,
surface water, and/or sediments for which these programs have a documented oversight
role for any necessary assessment, remedial action, and/or property transfer. The Federal
Facilities and Superfund programs are using the current Human Exposure Under Control
Environmental Indicator as basis for determining whether sites and acres are PFP; the PFP
measure captures the number of acres at a site for which there are no complete pathways
for human exposure to unacceptable levels of contamination based on current site
conditions.
The program is also tracking two optional indicators, Status of Use and Type of Use. These
indicators describe how the acres are being used when the determination is made for the
PFP and RAU performance measures. Acres and sites that meet CPRM PFP and/or RAU
criteria as well as Status and Type of Use information are documented via a checklist in
SEMS. Acres are measured on an OU or property transfer parcel basis.
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IX.A.3 EPA's Federal Facility Superfund Cleanup Principles
Consideration of Human Health and Environmental Risk and Other Factors in Federal
Facility Environmental Cleanup Decision Making: Protection of Human Health and the
Environment and meeting state applicable or relevant and appropriate requirements (ARARs) are
threshold criteria at all Superfund sites, including Federal Facilities. Addressing the greatest risk
sites will generally be a driving factor, but not the only factor in determining environmental
cleanup priorities and milestones. In setting priorities and milestones, regions should consider:
Human Health and Environmental Risk: Risk assessments and other analytical tools used
to evaluate risks to human health (including non-cancer as well as cancer health effects)
and the environment all have scientific limitations and require assumptions in their
development. As decision-aiding tools, risk assessments should only be used in a manner
that recognizes those limitations and assumptions. In addition to criteria established by
statute, regulation or guidance, as noted below there are other factors that affect whether
and to what extent cleanups are to occur.
Emerging pollutants, contaminants and hazardous substances of concern: As analytical
detection methods improve and health risk data are better defined, EPA and the federal
community are detecting chemicals, like perchlorate, perfluorinated compounds, and
Trichloroethylene (TCE), at lower levels of concern and at a greater number of sites. Thus,
we may need to expand the scope of investigations and cleanup actions, and take other
actions to adequately address these chemicals.
Other Factors: In addition to human health and environmental risk, other factors that
warrant consideration in setting environmental cleanup priorities and milestones include,
but are not limited to:
cultural, social, and economic factors, including environmental justice
considerations
short-term and long-term ecological effects and environmental impacts in general,
including damage to natural resources and lost use
making land available for other uses
acceptability of the action to regulators, tribes, and public stakeholders
statutory requirements and legal agreements
life cycle costs
permanence and reliability of remedy
pragmatic considerations, such as the ability to execute cleanup projects in a given
year, and the feasibility of carrying out the activity in relation to other activities at
the facility
overall cost and effectiveness of a proposed activity
Green Remediation: The practice of considering all environmental effects of remedy
implementation and incorporating options to minimize the environmental footprints of
cleanup actions. EPA strives for remedies that use natural resources and energy efficiently,
reduce negative impacts on the environment, minimize or eliminate pollution at its source
and reduce waste to the greatest extent possible. Therefore green remediation reduces the
demand placed on the environment during cleanup actions. EPA's OSWER issued the
Principles for Greener Cleanups (Principles) in August 2009. The Principles document
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defines the five core elements that may be considered when evaluating and implementing
a green cleanup: Total Energy Use and Renewable Energy Use, Air Pollutants and
Greenhouse Gas Emissions, Water Use and Impacts to Water Resources, Materials
Management and Waste Reduction and Land Management and Ecosystems Protection.
Green Remediation practices fit within existing cleanup programs and comply with
existing statutes and regulations. Green Remediation can be applied throughout all phases
of cleanup, including site investigation, design, construction, operation, and monitoring.
For more information visit:
http://sems.epa. gov/xwiki/bin/view/SPIM/urlhttp ://www. epa. gov/superfund/greenremedi
ation/
Collaboration: The Federal Facilities response program will continue to work in a
collaborative fashion with other federal agencies, other regulators, tribal governments,
local governments and communities. In many situations, EPA's statutory responsibilities
will place the Agency in a leadership role that requires convening the relevant parties and
facilitating interaction. In other situations, EPA will simply act as one of the many
interested parties in a collaborative problem-solving effort convened by another federal
agency, tribe, state, local government or a private entity. However, it is important to recall
that collaboration cannot replace the core functions of a regulatory agency nor compromise
EPA decision-making and enforcement responsibilities.
Typically, EPA looks to all affected stakeholders for ideas and innovative solutions and,
where appropriate, incorporates stakeholder recommendations into policy and practice.
Innovation: Federal Facilities should continue to serve as a test bed for new cleanup
technologies and new cleanup processes. We should continue efforts, working with others,
to promote more effective and efficient cleanups that support redevelopment and reuse of
contaminated properties, especially those that support the mission of the responsible
agency. Efforts to improve and streamline the cleanup process should continue to focus on
reducing paperwork and developing more collaborative relationships among all parties.
Consistency of Treatment between Federal Facilities and Private Sites: Federal Facilities,
especially NPL sites, are generally large complex sites. CERCLA requires that Federal
Facilities be treated the same as other entities.
Environmental Justice: As Federal Facilities affect many diverse communities and
communities of low income, the federal Government has an obligation to make special
efforts to reduce the adverse effects of environmental contamination related to Federal
Facility activities on affected communities that have historically lacked economic and
political power, adequate health services, and other resources. This needs to continue to be
a focus for the program.
Stakeholder Involvement: Despite a very impressive record of success, involvement by the
public continues to be an area where improvements can be made. Federal Facility cleanup
decisions and priorities should reflect a broad spectrum of stakeholder input from affected
communities including indigenous peoples, low-income communities, and minority
groups. Stakeholder involvement has, in many instances, resulted in significant cleanup
cost reductions. It should therefore not only be considered as a cost of doing business but
as a potential means of efficiently determining and achieving acceptable cleanup goals.
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The Role of Negotiated Cleanup Agreements: Enforceable cleanup agreements play a
critical role both in overseeing priorities at a site and providing a means to define and
balance the respected interdependent roles and responsibilities in Federal Facilities cleanup
decision making. EPA must continue to hold federal agencies accountable for meeting the
terms of these agreements to ensure timely and protective cleanup.
The Critical Role of Future Land Use or Activity Determinations: Reasonably anticipated
future land uses should be considered when making cleanup and reuse decisions for Federal
Facilities. The communities that are affected by Federal Facility cleanups, along with their
state and local governing bodies and affected tribes, should be given a significant role in
determining reasonably anticipated future use of federal property that is expected to be
transferred, and in how future use determinations will be used in making cleanup decisions.
The Importance of Characterizing Sites Correctly: The identification and characterization
of contamination and the evaluation of health impacts on human populations and ecological
effects are essential parts of the cleanup process. If a quality characterization is done,
money and time can be saved during the response phase. Characterization must also include
proper quality assurance/quality control processes to ensure that data are used to make
decisions of known and reliable quality.
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment
a. Overview
The U.S. EPA Federal Agency Hazardous Waste Compliance Docket (Docket) Process
and Federal Facility Site Discovery/Site Assessment Process are different from the non-
Federal Facility Site Assessment Process; and are governed by a specific set of statutes and
guidance in the CERCLA, 1980, as amended by the SARA, 1986, and in the National
Contingency Plan (NCP). The Federal Facilities process is different in at least four ways:
1. Federal Facility Docket Process and Federal Facilities Discovery Process: The
process for Federal Facilities involves listing Federal Facility sites on the Docket
(CERCLA/SARA section 120(c)) prior to any listing of the Site Discovery in
SEMS.
2. Federal Facilities Site Assessment and Time Frames: The time frame for
completion of Federal Facilities site assessment activities following Site Discovery
is that of 'a reasonable time schedule' (CERCLA/SARA section 120(d)) as
Amended in 1997; and for completion of Hazard Ranking System (HRS)
evaluations the time frame is within four years from Site Discovery.
3. Authority for Conducting Federal Facility Site Assessments - Executive Order
12580: The authority for conducting Federal Facility site assessments has been
delegated to the federal agencies under Executive Order 12580 (E.O. 12580), and
CERCLA 120(h).
4. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation:
EPA is required to review Federal Facility site assessment reports and evaluate such
facilities in accordance with the HRS criteria (authority retained by EPA).
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b. Federal Facility Docket Process and the Federal Facilities Site Discovery Process
EPA is required to establish a Federal Agency Hazardous Waste Compliance Docket
('Docket') under section 120(c) of the CERCLA of 1980, as amended by SARA of 1986.
section 120(c) requires EPA to establish a Docket that contains information reported to
EPA by Federal Facilities that manage hazardous waste or from which a reportable quantity
of hazardous substances, pollutants, or contaminants have been or may be released. The
Docket was established by EPA in 1988.
The Docket is used to identify Federal Facilities that should be evaluated to determine if
they pose a threat to public health or welfare and the environment; and to provide a
mechanism to make this information available to the public. As new facilities are reported
to EPA by federal agencies, EPA publishes a list of these facilities in the Federal Register.
The Docket contains information submitted by federal agencies under the following
authorities:
Section 103 of CERCLA requires owners or operators of vessels or facilities to
notify the National Response Center of a release of a reportable quantity of a
hazardous substance (notification of a release or potential release);
Section 3005 of RCRA provides EPA authority to establish a permitting system for
hazardous waste treatment, storage, and disposal (TSD) facilities, which in turn
requires them to submit certain information as part of the permit application
(interim status/permitting authority). The hazardous waste permitting program is
generally implemented by authorized states;
Section 3010 of RCRA requires hazardous waste generators, transporters, and TSD
facility owners/operators to notify EPA of their hazardous waste activities
(notification of hazardous waste activity);
Section 3016 of RCRA requires Federal Facilities to submit an inventory of
hazardous waste sites they own or operate, or have owned and operated in the past
(biennial inventory of hazardous waste activities);
'Other' has been added as a reporting mechanism to indicate those Federal
Facilities that otherwise have been identified to have releases or threat of releases
of hazardous substances. EPA's National Contingency Plan (NCP), (40 CFR
300.405) further addresses the discovery or notification and outlines what
constitutes discovery of a hazardous substance release, and states that a release may
be discovered in several ways.
This information is collected and stored in the Federal Facilities E-Docket tool. Facilities
are identified via web query pulls from RCRA Info and the Emergency Response
Notification System (ERNS), and compiled for Regional Docket Coordinator review and
proposal to the Docket. Following publication of the site's addition to the Docket in the
Federal Register, the site is then entered in SEMS as a Site Discovery. The Site Discovery
Date is that of the publication in the Federal Register. For additional information see the
EPA Docket Reference Manual, Federal Agency Hazardous Waste Compliance Docket,
Interim Final, March 9, 2007; website: http://www.epa.gov/fedfac/documents/docket.htm
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c. Federal Facility Site Assessment Process and Time Frames
CERCLA/SARA, as amended, section 120(d) (1) requires that EPA take steps to assure
that a Preliminary Assessment (PA) be completed and that evaluation and listing of sites
be completed within a reasonable time frame (CERCLA/SARA, as amended, section
120(d) (3)) for each Federal Facility included on the published list of Federal Facilities
reported pursuant to section 120(c) of CERCLA/SARA (the 'Federal Facilities docket').
The PA is designed to provide information for EPA to consider when evaluating the site
for potential listing on the NPL. E.O. 12580 delegated the authority to conduct Federal
Facility PAs and, when warranted, Federal Facility Site Inspections (Sis) to the federal
agencies.
EPA believes the most reasonable schedule for assessing Federal Facility sites listed on the
Docket would be one consistent with the schedule for assessing non-Federal Facility sites
which are tracked in SEMS. Potential budgeting issues of a Federal Facility may also be a
factor in conducting a PA. Under Superfund policy (OSWER directive 9200.3-14-1E),
EPA attempts to complete a non-Federal Facility PA within one year of that site's
discovery (inclusion in SEMS). However, the need of federal agencies to wait for the next
budget cycle to obtain funding may make the one year time frame problematic in some
cases. Further, past experience using the 18 month time frame has shown it to be a
reasonable period of time for completion of the Federal Facility PA. As a result, it is
appropriate to expect Federal Facilities to strive to submit completed Federal Facility PA
Reports within 18 months from inclusion on the Docket. Of course, in cases where a PA
petition is submitted pursuant to CERCLA section 105(d), a PA may need to be completed
within 12 months.
It is worth noting that under section 116(b) of SARA, a facility should be evaluated within
four years of SEMS listing. EPA believes this is a reasonable time frame for making listing
decisions at Federal Facility sites as well. On receipt and following evaluation of a Federal
Facility PA and, if warranted, a Federal Facility Site Inspection (SI), EPA would make a
determination either of No Further Remedial Action Planned (NFRAP) under EPA's
Superfund program (CERCLA/SARA); or of potential NPL candidate. However, if further
EPA involvement is warranted for an HRS evaluation and proposal of the site to the NPL,
then all these steps, from Discovery to NPL proposal, have to be completed within a four
year time frame. Historically, it was sometimes difficult for EPA and the federal agencies
to complete these tasks within the 30 months originally provided under section 120(d), and
EPA believes 48 months is a more appropriate and reasonable time frame for both the
Federal Facility and EPA.
EPA and the individual agencies should work together to ensure these time frames are met.
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580
Sections 104(b) and (e) of CERCLA grant to the President broad investigative authority to
conduct a PA and/or a SI. The President has delegated this authority through E.O. 12580 to
the heads of the respective federal executive departments and agencies with jurisdiction,
custody, or control over their facilities. The NCP provides for the lead federal agency to
perform a PA and, as appropriate, an SI, on all sites on the Docket and in SEMS (see
CERCLA/SARA 120(d) and 40 CFRPart 300.420(b)(l) and (c) (1)). Section 300.5 of the
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NCP defines 'lead agency' generally as that federal executive agency with jurisdiction,
custody, and control over the facility on which a release occurs or is from (except in the
case of an emergency). Accordingly, each federal agency typically is the lead agency to
conduct a PA or an SI on facilities within its respective jurisdiction, custody, or control.
Lead agency, or the responsible federal agency, can differ from the federal agency
ownership party. The Federal Agency Owner field of the Docket is the federal department
or agency that owns the facility at the time of Docket listing, deletion, and/or correction
whereas the Responsible Federal Agency is the lead agency responsible for the oversight.
EPA must take steps to ensure that a PA is completed for facilities on the Federal Facilities
docket where the respective federal agencies are delegated the authority to conduct a PA
or SI, and thus the respective federal agencies are the 'lead agency' for conducting such
investigations.
Federal Facilities that conduct a PA may satisfy some of the PA reporting requirements
through work already conducted pursuant to the RCRA corrective action program or state
cleanup programs. For example, a facility at which a RCRA Facility Assessment (RFA)
has been conducted may base its PA on the RFA report. When work conducted under such
non-CERCLA authorities is the basis for satisfying PA requirements, the facility should
demonstrate that all information required for the CERCLA PA is provided. In some
instances, it may be appropriate to provide supplemental information to ensure that all
hazardous substances, pollutants, or contaminants at the facility are addressed. Similarly,
at a Federal Facility sites when under CERCLA 120(h) ownership Federal Real Property
is being transferred, where there have been observed releases, the Federal Facilities may
satisfy some of the PA reporting requirements through work already conducted for General
Services Administration (GSA) Environmental Phase II Reports or other environmental
investigations done by DoE/DoD. Again, as in the foregoing RCRA Facility Assessment
discussion, the Federal Facilities should demonstrate that all information required for the
CERCLA PA is provided, and as appropriate, provide similar supplemental information as
mentioned above.
For additional information see the Federal Facilities Remedial Preliminary Assessment
and the Federal Facilities Remedial Site Investigation Summary Guides, 2005
(http ://www2. epa. gov/fedfac).
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
For Federal Facilities, the site assessment process under CERCLA/SARA begins when the
Federal Facility site has been listed on the Docket. When a Federal Facility submits a
Federal Facility PA report (also see CERCLA 104(h)), and if warranted a Federal Facility
SI report, EPA evaluates the site in accordance with the HRS final rule1 to determine
whether the site poses a threat to human health and the environment.
If EPA determines that the site does not pose a threat to human health and the environment
based on the data provided in the PA or SI reports, then EPA will designate a decision of
1 Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December
14, 1990.
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NFRAP under Superfund. A decision not to take further response/remedial action under
the Superfund program is based on a finding that the facility/situation does not meet the
minimum CERCLA eligibility requirements or that there is insufficient threat to human
health or welfare, or the environment to be included or proposed at this time on the NPL
by the EPA. This decision does not preclude any further action at the facility by other EPA
programs, by the states or other federal agencies. If there is a clear non-compliance with
other environmental programs, EPA will make a deferral to the appropriate alternate
authorities. Should EPA receive new information and/or issue new rule making that
warrants further EPA involvement, EPA will reactivate the site.
If the results of a Federal Facility SI indicate that the Federal Facility site warrants further
investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to
evaluate propose the site on the NPL. To make such an NPL decision, EPA may collect
further data to complete the HRS package.
f. Tracking of Federal Facility Sites in SEMS
Federal Facility sites can be tracked through the Federal Facility docket screen in SEMS,
EPA's official CERCLA/SARA sites database tracking system. It allows authorized EPA
SEMS users to enter new Federal Facility Docket sites. SEMS users can access that and
other screens to select and track Federal Facility sites in the SEMS universe, and to manage
site assessment activities (i.e., Federal Facility Preliminary Assessment Review and
Federal Facility Site Inspection Review actions) at these sites.
SEMS tracks site assessment activities that are being or have been conducted for all Federal
Facilities listed on the Docket pursuant to CERCLA section 120 et al.
For more in depth understanding of the site assessment process for Federal Facilities,
search for the following documents at http://www2.epa.gov/fedfac:
EPA Federal Facilities Preliminary Assessment Summary Guide., July 21, 2005;
EPA Federal Facilities Remedial Site Inspection Summary Guide., July 21, 2005;
Appendix A to the above: Federal Facilities Remedial Preliminary Assessment and
Remedial Site Inspection Summary Guide (Information Supplement), July 21, 2005,
for Law/Regulations: Summary of Appropriate Legislation/Regulation; Definition
of Site; and Site Assessment Process for Federal Facilities;
EPA Guidance for Performing Preliminary Assessments Under CERCLA (1991);
EPA Guidance for Performing Site Inspections Under CERCLA (1992).
IX.A.5 BRAC Budget and Financial Guidance
a. Resources and Tracking Mechanisms
BRACs occurred in five different rounds: 1988 (BRAC I), 1991 (BRAC II), 1993 (BRAC
III), 1995 (BRAC IV), and 2005 (BRAC V). The primary mission of the BRAC program
is to ensure that the hazardous waste sites owned or operated by the Military Components
are addressed, cleaned up and in some cases made available for transfer and/or lease as
quickly as possible.
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BRAC I-IV
In 1994, EPA and DoD signed the first BRAC Memorandum of Understanding (MOU)
establishing responsibilities and funding for EPA's assistance in accelerating cleanup at
107 realigning and closing installations. Although EPA's participation in BRAC is being
phased out, DoD will provide nominal resources in fiscal year (FY) 16 to ensure EPA's
assistance in assessing BRAC properties and determining their suitability for transfer
and/or lease, accelerating cleanup actions wherever possible, and ensuring that remedies
selected reflect the views of the affected communities surrounding the sites and the
proposed future reuse. In expediting the BRAC cleanup and supporting property transfer,
reuse and economic development, the Federal Facilities program works with its federal
partners, tribal, state and local governments, and private parties. The majority of EPA's
BRAC resources are directed to the regions for technical, regulatory and property transfer
oversight at BRAC installations. BRAC funding is also used for EPA personnel to
participate on BRAC Base Cleanup Teams (BCT) as either the EPA designated team
member or as technical experts. EPA reports to DoD on the issues and progress at
individual sites through semi-annual reports, as required under the Memorandum of
Understanding.
BRAC-V
EPA continues to fulfill its statutory obligations at the 72 NPL installations which were
affected by the fifth round of BRAC, and at certain non-NPL bases where EPA has a
regulatory role. In addition, EPA regions may be requested to perform activities by states,
tribes, local governments, the military components or others at certain facilities where EPA
has no formal regulatory role. Given EPA's resource constraints, each region has to
examine those requests individually and determine whether it can positively respond.
EPA's annual budget request does not include additional support for BRAC-related
services to DoD at BRAC V facilities. If EPA services are required at levels above its base
for non-NPL BRAC V related installations, EPA would seek reimbursement from DoD.
See the interim BRAC guidance for more information: http://www2.epa.gov/fedfac/base-
closure-federal-facilities.
b. Accountability for Resources
Regions are allocated Full-time Equivalent (FTE) and administrative dollars (payroll and
site travel) based on installation-specific negotiations between EPA and DoD. BRAC
resources received from DoD are to be used and allocated according to the Base
Realignment and Closure Memorandum of Understanding (MOU) between EPA and DoD
(http://www2.epa.gov/fedfac), and the official funding letter which provides the annual
budget and installation-specific FTE levels. BRAC reimbursable FTE and funding must be
used only for EPA related Base Closure activities, and changes affecting the FTE level for
any installation require prior approval by FFRRO. Military Base Closure activities are
activities related to cleanup of specific installations identified by OSWER (in consultation
with DoD). These activities include: accelerating the identification of clean parcels under
the Community Environmental Response Facilitation Act (CERFA); developing BRAC
Cleanup Plans (BCP); promoting community involvement in cleanup decision making;
preparing and reviewing site documents (e.g., BCP, Environmental Baseline Survey,
Remedial Investigation [RI]/Feasibility Study [FS], RODs, Remedial Design [RD], and
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Remedial Actions [RA]) and RCRA documents (e.g., RCRA Facility Investigation [RFI]
Starts, Corrective Measure Design [CMD] Starts, and Interim/Stabilization Measure
[ISM)] Starts and Completions); studying and sampling field data; National Environmental
Protection Act (NEPA) review and analysis; assisting DoD or states with BRAC site issues;
and activities supporting EPA personnel participation in the BRAC program. These
activities are outlined in the EPA/DoD BRAC MOU, and subsequent memorandums and
guidance related to EPA BRAC resources.
As the signatory and executing agent for the reimbursable agreement with DoD, the
Assistant Administrator for OSWER will rely on Regional Administrators and, as the
primary focus of the EPA BRAC resources, the regional RCRA/Superfund National
Program Managers to ensure reimbursable costs are accurate and appropriate. Each region
has identified an individual in the appropriate division that is responsible for coordinating
the regional BRAC program and resources, and acts as a day to day liaison with OSWER
and DoD. FFRRO, within OSWER, provides the Assistant Administrator (AA) OSWER
with periodic programmatic and financial updates on the program. Reprogramming of fund
requests submitted to the Office of Budget require notification of FFRRO for their
approval. Around late August, the Superfund and Waste Division Directors are asked to
provide a response to FFRRO validating that individuals charging to BRAC are actually
doing BRAC work, and the hours reflected on the Compass Data Warehouse report are
correct. HQ and regional personnel utilizing BRAC resources should receive authorization
from their appropriate regional senior managers and use the funds as outlined in the BRAC
MOU. The EPA Remedial Project Manager (RPM) and the support team are empowered
to make decisions locally to the maximum extent possible. EPA has delegated certain
authorities to the Regional Administrators (e.g., CERFA and Covenant Deferral Request
[CDR] concurrence), who have in turn delegated the authorities to others within their
organizations. Regional personnel should be familiar with their internal delegation of
authorities. Should the need arise, the RPM and support team will have the ability to raise
issues immediately to senior EPA officials for resolution.
FFRRO and the Cincinnati Finance Office use Compass, Business Objects and Compass
Data Warehouse for monitoring BRAC resources. HQ receives semi-annual program
activity reports from the regional offices on the progress of work at existing BRAC I-IV
installations. These reports are generated by the EPA regional BRAC Cleanup Team
personnel and provide HQ and DoD with pertinent program information related to cleanup
and reuse. FY 16 is the final year of the BRAC MOU and associated funding by DoD.
Since we do not have FY 15 carryover to cover additional charges, the regions must be
mindful of their BRAC spending.
IX.A.6 Cleanup Privatization at BRAC NPL Sites
EPA recognizes that the privatization of the cleanup at BRAC sites can present an
opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provide
another option to federal and state agencies and local communities to help maximize the impact of
cleanup and redevelopment resources to help move properties back into productive reuse more
quickly.
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Privatization refers to a site where: 1) a non-federal party will take title to BRAC property;
2) the property will be transferred using CERCLA 120(h)(3)(C) early transfer, covenant deferral
authority; and 3) the transferee, rather than the military, will conduct the cleanup using funding
provided by the DoD. The DoD funding to the transferee is provided through an Environmental
Services Cooperative Agreement (ESCA). Other documents that are typically required for such
transfers include an amendment to the existing Federal Facility Agreement. The amendment
provides: that in the event the transferee defaults on the cleanup of the property or fails to meet the
cleanup standards, the military is obligated to return and complete the cleanup; negotiation of an
Administrative Order on Consent (AOC) with the non-federal entity who is to be responsible for
the cleanup; and the issuance of a Finding of Suitability to Early Transfer (FOSET). Importantly,
the AOC provides for continuing EPA and state oversight and the reimbursement of such oversight
costs. (See the April 27, 2006, Interim Guidance for EPA 's Base Realignment and Closure (BRAC)
Program, at pages 18-21.) Early transfer covenant deferral requests seek deferral of the CERCLA
120(h)(3)(A)(ii)(I) deed covenant that all remedial action has been taken.
IX.A.7 Military Munitions Response Program
Millions of acres of former munitions use or manufacturing areas have been transferred
from DoD control to non-federal entities or other federal agencies to be used for other purposes (a
large percentage of these properties now are identified as Formerly Used Defense Sites [FUDS]).
DoD has an online inventory of munitions response sites (MRS) and associated acreage that are
potentially contaminated. Furthermore, active military installations and installations affected by
the BRAC program may have locations other than operational ranges contaminated with Munitions
and Explosives of Concern (MEC) and Munitions Constituents (MC). While some MRS are fairly
small (e.g., small arms ranges, burial pits and trenches), others may be dozens or even hundreds
of square miles in area (e.g., former bombing ranges). In addition to MEC, these MRS may have
soil, groundwater, and surface water contamination from MC or other sources (including
explosives and heavy metals, depleted uranium, and at a small number of sites, chemical warfare
agents or chemical warfare materiel. The MC may derive from a number of sources. Such sources
include: live-fire training or testing, low order detonations of munitions used in training or testing,
open burning and open detonation (OB/OD) treatment/destruction activities, or munitions burial.
Explosives safety (e.g., the potential for the detonation of MEC) is usually the principal concern
during munitions response actions involving MEC.
The National Defense Authorization Act for FY 2002 (P.L. 107-107) directed DoD to
develop and maintain an inventory of defense sites that are known or suspected to contain
unexploded ordnance, discarded munitions or munitions constituents. The Handbook on the
Management of Munitions Response Actions (http://www2.epa.gov/fedfac/military-
munitionsunexploded-ordnance) is designed to facilitate a common understanding of the state of
the art of MEC detection and munitions response, and to present EPA guidance on the management
of munitions response actions. The EPA Munitions Response Guidelines (July 2010) were
developed to provide guidance to project managers overseeing munitions response actions at
locations other than operational ranges where MEC/MC are suspected to be or have been
encountered. Types of response actions include, but are not limited to, assessments, investigations
and cleanups under the authorities of CERCLA, RCRA, and, where appropriate, response actions
under other federal environmental authorities, such as the Safe Drinking Water Act (SDWA). The
Guidelines may be useful in situations involving enforcement, permitting, and emergency or time
critical actions where MEC/MC are involved. There are several ongoing collaborative efforts with
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DoD, states and others to address MRS issues. These include multi-agency munitions response
policy workgroups, training programs, quality assurance/quality control requirements, and
technology evaluations.
EPA issued a memo to the regions on April 5, 2010 to clarify issues with the DoD Military
Munitions Response Program (MMRP) (http://www2.epa.gov/fedfac/military-
munitionsunexploded-ordnance). In some situations, an MRS that is within the boundaries of an
NPL site may not be currently included in the list of areas of concern, facility inventory, or other
description of sites to be addressed under a FFA or other document providing for regulatory
oversight (e.g., RCRA 7003 order). The MRS should be added to the FFA (or other oversight
document) as soon as practicable together with an enforceable schedule of milestones, including
primary and secondary documents. To resolve any disagreements that arise over adding the MRS,
EPA regions should use the tools provided by the applicable FFA, including the Dispute
Resolution process. Neither Congress' enactment of Defense Environmental Restoration Program
(DERP) providing funds to address munitions, nor DoD's administrative creation of its MMRP to
spend that money, exempts DoD from or alters CERCLA section 120 requirements. That includes
the requirement for an FFA for any cleanup at a Federal Facility on the NPL.
IX.A.8 Stakeholder Involvement
By Executive Order, Federal Facilities have lead responsibilities for cleanup activities
under CERCLA. This means that they are responsible for implementing the full suite of
community involvement activities that Superfund performs for private sites. Federal Facilities are
required to staff this function with personnel who are knowledgeable about all aspects of public
participation and who are authorized to encourage and support the public in becoming involved in
the cleanup decision-making process through early and meaningful community involvement
activities. In its regulatory role, Superfund provides oversight of this activity, principally through
its Community Involvement Coordinators (CIC). In the absence of an assigned CIC, the Superfund
Remedial Project Manager is responsible to ensure early and meaningful public participation
through all cleanup stages. In particular, Superfund staff will ensure that public participation
documents, like the Proposed Plan, are of the highest quality in terms of clarity, completeness,
ease of use and plain language. For DoD sites, Superfund staff will participate in RAB, offer
Technical Assistance Grants, remind the DoD facility to offer their Technical Assistance for Public
Participation (TAPP) program to RAB members, assure that the facility updates its mailing list
and provides frequent community update fact sheets, and approximately every two years, review
the Community Involvement Plan (CIP) to determine the need for an update. For Department of
Energy sites, the above applies, except that the stakeholder groups are called SSABs.
IX.B FEDERAL FA CILITIES TARGETS AND MEASURES
IX.B.l Overview of Federal Facilities Targets and Measures
The following pages contain, in pipeline order, the definitions of Federal Facilities targets
and measures. Exhibit IX. 1 displays the internal and external reporting hierarchy for the full list
of Federal Facilities activities defined in this chapter.
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Regions are responsible for entering data into SEMS for Federal Facility
BRAC Sites where regions are involved. This data includes, where appropriate,
removals, decision documents, acres transferred, etc.
sites, especially
FUDS, PA, SI,
EXHIBIT IX. 1 A. FEDERAL FACILITIES NPL SITES
Activity
FFAs/IAs
Remedial Site Assessment Completions
RI/FS or RFI Starts
Decision Documents (RODs, ROD Amendments, Explanation of Significant
Differences [ESDs], Action Memos)
Final Remedy Selected
RD or RCRACMD Starts
RD or CMD Completions
RA or CMI Starts
RA or CMI Completions
Removal or RCRA ISM Starts
Removal or ISM Completions
Operation and Maintenance (O&M) Starts
Percent Construction Completion
Federal Facility Five-Year Reviews (FYR)
External
Program
Reporting
ACS,
Strategic Plan
ACS
(RA only)
Internal
Program
Reporting
Measure
Target
Target
Target
Measure
Measure
Target
Target
Measure
Measure
Measure
Target
Target
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency's Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
EXHIBIT IX.1B. FEDERAL FACILITIES FAST-TRACK BRAC SITES
Activity
,
FFAs/IAs
Federal Facility Dispute Resolution
Use of Supplemental Environmental Projects (SEPs)
RI/FS or RFI Starts
Decision Documents (RODs, ROD Amendments, ESDs, Action Memos)
External
Program
Reporting
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
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Activity
Final Remedy Selected
RD or RCRACMD Starts
RD or CMD Completion
RA or CMI Starts
RA or CMI Completion
Removal or RCRA ISM Starts
Removal or ISM Completions
BRAC Construction Completions
Operation and Maintenance (O&M) Starts
Federal Facility Five-Year Reviews
Active RABs
Technical Assistance Grants (TAGs)
Operating Properly and Successfully (OPS)
External
Program
Reporting
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency FY14-FY18 Strategic Plan.
Target = SCAP target and reporting measure.
Measure = SCAP reporting measure, but target not required.
IX.B.2 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C.l of this document for additional information about
data quality and timeliness standards.
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions
a. Remedial Site Initiation (Discovery)
Remedial Site Initiation (Discovery) is the process by which a potential hazardous waste
site is entered into the SEMS inventory for NPL assessment activities. All sites moving
through the NPL assessment process must have a Remedial Site Assessment Initiation
milestone and actual finish date documented in SEMS. Entry of the Remedial Site
Assessment Initiation date initiates the NPL assessment process and places the site on the
FF Preliminary Assessment Review backlog.
The process typically starts when the facility has been listed on the Federal Agency
Hazardous Waste Compliance Docket. NOTE: There may be instances when a facility
included in the docket may not be listed in the SEMS database.
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EXHIBIT IX.2. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Remedial Site Initiation
(Discovery)
EPA, EPA In-
House, Tribe,
State, FF
Start/Finish: After the region determines the Federal
Facility is a valid CERCLA site, the site discovery date
for Federal Facilities is the date the site is formally
added to the Federal Agency Hazardous Waste
Compliance Docket.
Special Planning/Reporting Requirements:
Planned start/finish dates will automatically be generated when a new site is added to
SEMS. The same calendar date should be entered for both the Remedial Site Initiation
(Discovery) actual start and actual finish date. The actual start/finish date must not be
earlier than the Pre-CERCLA Screening finish date. Multiple Remedial Site Initiation
(Discovery) activities are not allowed.
Note: The Removal Site Initiation (Discovery) activity is used by the removal program to
track initiation of sites that have Superfund removal interest. Sites with only removal
interest should not have a Remedial Site Initiation (Discovery) activity tracked in SEMS.
Sites with only remedial assessment interest should not have a Removal Site Initiation
(Discovery) activity tracked in SEMS. Sites with both removal and remedial assessment
interest should have both a Removal Site Initiation (Discovery) activity and a Remedial
Site Initiation (Discovery) activity. The Remedial Site Initiation (Discovery) actual
start/finish date for a site referred from removal to remedial assessment or from RCRA to
remedial assessment should be the date the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new activities and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
Site discovery is an internal program measure.
b. Federal Facility Preliminary Assessment Reviews
Federal Facility PA Review is a quality assurance review of a PA or PA-equivalent report
submitted by another federal agency. EPA's role at Federal Facilities is to review PA
reports developed and submitted by the federal agencies responsible for a given Federal
Facility. EPA may also approve the review done by a state in lieu of its review. Upon
reviewing the PA or PA-equivalent report for accuracy, completeness, and working with
the other federal agency to address any deficiencies, EPA then determines what next steps
are appropriate with respect to additional response action. Guidance can be found in the
Federal Facilities Remedial Preliminary Assessment Summary Guide (July 21, 2005)
(http ://www2. epa. gov/fedfac).
There are instances when an Abbreviated Preliminary Assessment (APA) can be performed
in lieu of a standard PA. The October, 1999 Abbreviated Preliminary Assessment fact sheet
(OSWER 9375.2-09FS) provides information on conducting APAs and includes a
checklist to help site assessors determine whether an APA report is appropriate for a given
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site. The checklist or an equivalent document can serve as documentation that the APA
was completed. The APA checklist or equivalent report must address the requirements set
forth in the NCP for conducting remedial preliminary assessments.
Once a Federal Facility site has been entered into the SEMS site inventory for remedial
assessment, an APA may be performed if the site/release:
is regulated under a statutory exclusion (e.g., petroleum);
is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substance in its unaltered form);
can be addressed as part of another site already in SEMS;
will be deferred to another program (e.g., RCRA, Nuclear Regulatory Commission
[NRC], EPA removal) based on existing policy considerations (follow-up
confirmation of the deferral is required);
requires no further remedial assessment; or
will require a Superfund site inspection.
Backlogs: The Federal Facility PA Review backlog consists of Federal Facility sites with
a Non-NPL Status of FF-PA review needed or FF-PA review ongoing.
EXHIBIT IX.3. FEDERAL FACILITY PRELIMINARY ASSESSMENT REVIEW
REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA starts an in-house review of the Federal
FF Preliminary Assessment
Review
EPA, EPA In-
House
Facility PA or PA-equivalent report, or sends a letter,
form, or memo to the EPA contractor requesting review
of the Federal Facility PA or PA-equivalent report.
Finish: Letter, form, or memo approving the PA report
is signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete PA reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient PA. PA review starts
and completions are reported site-specifically in SEMS. Federal Facility Preliminary
Assessment Review starts and completions are internal program measures. An action
qualifier representing a valid decision must be recorded in SEMS (see chapter VI for a list
of valid qualifiers).
If the Federal Facility PA report does not provide sufficient information to complete the
PA, the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Preliminary Assessment Review should not be entered
until all the report deficiencies have been addressed.
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An Abbreviated Preliminary Assessment report at a Federal Facility is tracked in SEMS
by entering a Federal Facility PA Review activity and selecting APA as a critical indicator
on the Federal Facility PA Review activity in the Work Package Info screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
c. Federal Facility Site Inspection Reviews
Federal Facility Site Inspection Review is a quality assurance review of an SI or Si-
equivalent report submitted by another federal agency. EPA's role at Federal Facilities is
to review SI reports developed and submitted by the federal agencies responsible for a
given Federal Facility response. Upon reviewing the SI or Si-equivalent report for
accuracy, completeness, and working with the other federal agency to address any
deficiencies, EPA then determines what next steps are appropriate. Guidance can be found
at Federal Facilities Remedial Site Inspection Summary Guide (July 21, 2005)
(http ://www2. epa. gov/fedfac).
Backlogs: The Federal Facility SI Review backlog consists of sites with a Non-NPL Status
of FF-SI review needed or FF-SI review ongoing.
EXHIBIT IX.4. FEDERAL FACILITY SITE INSPECTION REVIEW REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA starts an in-house review of the Federal
Federal Facility SI Review
EPA, EPA In-
House
Facility SI or Si-equivalent.
Finish: Letter, form, or memo approving the SI report is
signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete SI reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient SI. SI review starts and
completions are reported site-specifically in SEMS. Federal Facility Site Inspection
Review starts and completions are internal program measures. An action qualifier
representing a valid decision must be recorded in SEMS (see chapter VI for a list of valid
qualifiers).
If the Federal Facility SI report does not provide sufficient information to complete the SI,
the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Site Inspection Review should not be entered until all the
report deficiencies have been addressed.
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OSWER Directive 9200.3-15-1G-Z
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
d. Federal Facility Expanded Site Inspection (ESI) Reviews
Federal Facility Expanded Site Inspection (ESI) Review is a quality assurance review of
an ESI or ESI-equivalent report submitted by another federal agency. EPA's role at Federal
Facilities is to review ESI reports developed and submitted by the federal agencies
responsible for a given Federal Facility. Upon reviewing the ESI or ESI-equivalent report
for completeness, and working with the other federal agency to address any deficiencies,
EPA then determines what next steps are appropriate with respect to NPL listing.
Backlogs: The Federal Facility ESI Review backlog consists of sites with a Non-NPL
Status of FF-ESI review needed or FF-ESI review ongoing.
EXHIBIT IX.5. FEDERAL FACILITY EXPANDED SITE INSPECTION REVIEW
REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA starts an in-house review of the Federal
Federal Facility ESI Review
EPA, EPA In-
House
Facility ESI or ESI-equivalent.
Finish: Letter, form, or memo approving the ESI report
is signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete ESI reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient ESI. ESI review starts
and completions are reported site-specifically in SEMS. Federal Facility Expanded Site
Inspection Review starts and completions are internal program measures. An action
qualifier representing a valid decision must be recorded in SEMS (see chapter VI for a list
of valid qualifiers).
If the Federal Facility ESI report does not provide sufficient information to complete the
ESI, the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Expanded Site Inspection Review should not be entered
until all the report deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
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IX.B.4 Federal Facilities Accomplishment Definitions
a. Base Closure Decisions
A base closure action occurs when EPA is involved in either a CERCLA section 120(h)(4)
uncontaminated parcel CERFA determination, a Finding of Suitability to Transfer (POST),
a Finding of Suitability to Lease (FOSL), or a determination is made by EPA that an
approved remedy is Operating Properly and Successfully (OPS) at BRAC locations
pursuant to CERCLA section 120(h)(3). Under CERCLA section 120(h)(4), the military
service must designate, and EPA/state is required to concur, on property that is
uncontaminated. A FOST documents the conclusion that real property made available
through the BRAC process is environmentally suitable for transfer by deed under the
CERFA amendment to CERCLA. A FOSL documents that property at a BRAC location is
environmentally suitable for lease, i.e., that the reuse does not impede the environmental
response at the location and that the use of the property is limited to a manner which will
protect human health and the environment. Under CERCLA section 120(h)(3), before
property can be transferred by deed, the military service must demonstrate to EPA that the
approved remedy is operating properly and successfully.
The phrase 'operating properly and successfully' involves two separate concepts: operating
'properly' is used if the remedy is operating as designed; operating 'successfully' is used
if the operation of the remedy will achieve the cleanup levels or performance goals for the
particular contaminant delineated in the decision document. Where more than one remedial
action is required for a parcel, all such actions must operate properly and successfully.
Therefore, EPA interprets the term 'operating properly and successfully' to mean that the
remedial action was engineered and implemented and is functioning in such a manner that
it is expected to achieve cleanup goals and adequately protect human health and the
environment.
EXHIBIT IX.6. BASE CLOSURE DECISION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF Finding of Suitability to
Transfer (FOST)
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
EPA In-House
Start: EPA receives a document that identifies a facility
or a parcel as a candidate to be transferred by deed or
lease (e.g., Environmental Baseline Survey [BBS]
submitted); or EPA receives a clean parcel
determination for concurrence as required by CERFA;
or EPA receives a written request submitted by the other
federal agency for concurrence on suitability to transfer
or lease; or EPA receives a written request for EPA
concurrence that a 120(h)(3) remedy is operating
properly and successfully.
Finish: Letter, form, or memo stating that EPA has
completed its review and provided comments or
concurrence on the FOST or FOSL signed by the
appropriate regional official; or letter, form, or memo
stating that EPA has completed its review of the
demonstration that a remedy is operating properly and
successfully for purposes of CERCLA section 120(h)(3)
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WorkPackage
Activity/Milestone
Performance
Lead
Activity /Milestone Date Requirements
signed by the appropriate regional official; or letter
concurring on a clean parcel identified under CERFA
signed by the appropriate regional official.
Special Planning/Reporting Requirements:
In addition to entering the finish date, regions must also enter the acreage covered by the
Base Closure Decision Document. Acreage information can be entered through the POST
or FOSL screens in SEMS.
b. Non-BRAC Property Actions
A non-BRAC property transfer action occurs when EPA has reviewed and concurred on:
The transfer of non-BRAC property from the federal government under CERCLA
120(h)(3)(A): A federal agency may request that EPA review and comment/concur
on transfers under this section, however, EPA does not statutorily have to provide
concurrence or comment for the transfer to occur, other than in instances where an
OPS determination is required to be made prior to the transfer of deed.
An early transfer under CERCLA 120(h)(3)(C): For facilities listed on the NPL,
EPA is required to approve the deferral of the covenant found in CERCLA
120(h)(3)(A)(ii)(I) that all remedial action necessary to protect human health and
the environment has been taken before the date of transfer. The EPA Early Transfer
Guidance should be used to approve such requests.
Provided an OPS determination pursuant to CERCLA 120(h)(3): Under CERCLA
section 120(h)(3), before property can be transferred by deed, the federal
department or agency must demonstrate to EPA that the approved remedy is
operating properly and successfully.
Provided a concurrence to DOE for the lease of property on the NPL under the
Hall Amendment: Leasing of real property at DOE weapons production facilities
that are either being closed or reconfigured is subject to the requirements of the
Hall Amendment under the following conditions: 1) the Hall Amendment is the
authority invoked for a lease, and 2) the real property to be leased is on the NPL.
In these cases, DOE must request the concurrence of the EPA Regional
Administrator for the proposed lease. DOE may lease if EPA concurs within 60
days or EPA fails to respond to DOE's concurrence request after 60 days. The Joint
DOE/EPA Interim Policy Statement on Leasing Under the Hall Amendment (1998)
governs these leases.
Made a CERCLA 120(h)(4) uncontaminated parcel determination: Under the
CERFA amendment to CERCLA section 120(h)(4), the federal department or
agency must designate, and EPA is required to concur, on property that is a part of
a facility listed on the NPL that is uncontaminated. For property not closed or
realigned pursuant to a base closure law, the identification and concurrence is
required to be made at least six months before the termination of operations on the
facility.
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EXHIBIT IX.7. NON-BRAC PROPERTY ACTION REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: EPA receives a written request submitted by the
FF Finding of Suitability to
Transfer (POST)
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
other federal agency for EPA concurrence on suitability
to transfer, including early transfers, or lease; or EPA
receives a clean parcel determination for concurrence as
required by CERFA; or EPA receives a written request
for EPA concurrence that a 120(h)(3) remedy is
operating properly and successfully.
Finish: Letter, form, or memo stating that EPA has
EPA In-House
completed its review and provided comments or
concurrence on the transfer or leasing document(s) is
signed by the appropriate regional official; or Letter,
form, or memo stating that EPA has completed its
review of the demonstration that a remedy is operating
properly and successfully for purposes of CERCLA
section 120(h)(3) is signed by the appropriate regional
official; or Letter concurring on a clean parcel identified
under CERFA is signed by the appropriate regional
official.
Special Planning/Reporting Requirements:
In addition to entering the finish date, regions must also enter the acreage covered by the
property action. Acreage information can be entered through the POST or FOSL screens
in SEMS.
c. Federal Facility Agreement (FFA)TInteragency Agreement (IA)
FFAs/IAs are legal agreements between federal agencies responsible for cleanup, EPA,
and the states. A state elects whether to participate in FFA/IA negotiations. FFA/IAs set
forth detailed requirements for performance of site response activities as well as penalties
for non-compliance with the FFA/IA. The FFA/IA requirement is set forth in section 120(e)
of CERCLA. Such agreements are required at NPL facilities no later than six months after
the first ROD is signed at the facility.
EXHIBIT K.8. FFA/IA REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FFA/IA Negotiation
EPA In House
Start: Notice letter is sent by EPA to the Federal
Facility.
Finish: FFA/IA is signed by the federal agency, EPA,
and/or state.
Special Planning/Reporting Requirements:
This is an internal program measure. Regions do not receive credit for FFA/IA completion
when the FFA/IA is elevated to HQ for dispute resolution.
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d. Federal Facility Dispute Resolution
When the federal agency, state, and/or EPA make an effort to formally resolve a FFA/IA
dispute after the FFA/IA is signed.
EXHIBIT K.9. FEDERAL FACILITY DISPUTE RESOLUTION REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Letter from any party of the FFA/IA to the other
Alternative Dispute Resolution
EPA In-House
parties notifying them as to the issue in dispute.
Finish: Document resolving the issue is signed by the
appropriate regional official (e.g., letter of agreement,
agreement document).
Special Planning/Reporting Requirements:
This is an internal program measure.
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI)
The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature
and extent of contamination, evaluate potential risks to human health and the environment,
and develop and evaluate potential remedial alternatives. A RFI is a RCRA investigation
designed to evaluate thoroughly the nature and extent of the release of hazardous wastes
and hazardous constituents and to gather necessary data to support the Corrective Measure
Study (CMS) and/or ISM.
EXHIBIT IX.10. RI/FS OR RCRA FACILITY INVESTIGATION (RFI) REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF RI/FS
FFRI
RCRA Facility Investigation
FF
If there has been no Previous RI/FS or RFI work or
RI/FS or RFI work started prior to the FFA/IA effective
date and there has been substantial EPA or state
involvement (EPA or the state has reviewed and
commented, approved/concurred, or accepted the work
plan)
Start: RI/FS or RFI draft work plan received by EPA or
state
If RI/FS or RFI work starts prior to the FFA/IA effective
date and there has been limited EPA or state
involvement:
Start: FFA/IA signed by EPA or the state and the other
agency
Finish: Decision document signed by appropriate
regional official
Special Planning/Reporting Requirements:
This is an internal program target and measure.
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f. Decision Documents
Upon completion of a Federal Facility RI/FS, CMS, or Engineering Evaluation/Cost
Analysis (EE/CA), the federal agency selects a remedy that is presented in a cleanup
decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments, Action
Memo, Removal Action Decision Document, ROD Amendment or Explanation of
Significant Differences [ESD]). EPA may either approve or concur on the remedy selection
or, in the case of a dispute, EPA may select the remedy. For EPA, this authority has been
delegated to the Regional Administrator or her/his delegate.
EXHIBIT IX.11. DECISION DOCUMENT REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF GOVT Remedy Decision
Change
Start/Finish: Decision document signed by the
FF
Regional Administrator or delegate, or the date of EPA
concurrence/approval on the clean-up decision
document pursuant to FFA/IA or other enforceable
decision document, or the date of EPA's letter of
concurrence.
Special Planning/Reporting Requirements:
This is an internal program target and measure. One ROD document equals one ROD target
completion, even if the ROD covers multiple OUs. HQ's ROD data entry contractors will
enter in the associated remedy selection information.
The regions should not enter a RD or a RA following a 'No Action ROD'. For RODs which
choose limited actions (e.g., institutional controls), the regions should not enter a RD for
these RODs. However, the regions should enter a RA on the project schedule with the
Critical Indicator of 'Limited Action'.
g. Final Remedy Selected
This measure will track the Final Remedy Selected at NPL Sites. A Final Remedy
Selected occurs when a final decision has taken place at a site (i.e. the final remedy has
been selected at the last OU of a site). This can include the signature of the Final ROD,
ROD Amendment or Removal Action at a site. In general, an ESD will not constitute a
Final Remedy Selected since ESDs document a non-fundamental change to a remedy.
Also, a partial deletion from the NPL does not constitute a Final Remedy Selected since it
does not constitute a final decision for the entire site.
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EXHIBIT K.12. FINAL REMEDY SELECTED REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF GOVT Remedy Decision
Change (ROD Amendment
Only)
FF
Start/Finish: Decision document signed by the
Regional Administrator or delegate when no planned
ROD, ROD Amendment, Removal Action
Memorandum, RI/FS, or EE/CA exist at the site.
Preliminary Close-Out Report
EPA In-House
Start/Finish: Site is Construction Complete with
Preliminary Close-Out report signed by EPA, and no
future ROD, ROD Amendment, Action Memorandum,
RI/FS or EE/CA is planned and no previous ROD, ROD
Amendment, or Action Memorandum exists that
constitutes the final decision.
Start/Finish: Site is Construction Complete with Final
Final Close-Out Report
EPA In-House
Close-Out report signed by EPA, and no future ROD,
ROD Amendment, Action Memorandum, RI/FS or
EE/CA is planned.
Start/Finish: Notice of Deletion is published in the
Final Deletion from NPL
EPA In-House
Federal Register and no future ROD, ROD Amendment,
Action Memorandum, RI/FS or EE/CA is planned and
there is no Preliminary Close-Out Report (PCOR) and
no previous ROD, ROD Amendment or Action
Memorandum that constitutes the final decision.
Special Planning/Reporting Requirements:
This is an internal program target and measure. To receive Final Remedy Decision credit
when a site is Construction Complete, the site must have the Construction Completion
indicator in SEMS (entered by HQ) and no future ROD, ROD Amendment, Action
Memorandum, RI/FS or EE/CA is planned at the site. The Final Remedy qualifier must be
selected for the activity that represents the final remedy.
h. Remedy Decision Changes
A ROD Amendment documents fundamental changes to the remedy selected in the ROD.
Fundamental changes involve an appreciable change or changes in the scope, performance,
and/or cost or may be a number of significant changes that together have the effect of a
fundamental change. HQ's ROD data entry contractors will enter in the associated remedy
selection information.
An ESD documents significant changes to a ROD. Significant changes generally involve a
change to a component of a remedy that does not fundamentally alter the overall cleanup
approach. HQ's ROD data entry contractors will enter in the associated remedy selection
information.
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EXHIBIT IX. 13. REMEDY DECISION CHANGE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
ROD Amendment
FF
Start/Finish: ROD Amendment signed by the Regional
Administrator or delegate, or the date of EPA
concurrence/approval on the cleanup decision document
pursuant to FFA/IA or other enforceable decision
document, or the date of EPA's letter of concurrence
Explanation of Significant
Differences
FF
Start/Finish: BSD signed by the Regional
Administrator or delegate, or the date of EPA
concurrence/approval on the cleanup decision document
pursuant to FFA/IA or other enforceable decision
document, or the date of EPA's letter of concurrence
Special Planning/Reporting Requirements:
ROD Amendments and ESDs count towards the program target for Decision Documents.
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD)
The RD is a CERCLA design that establishes the general size, scope, and character of a
project, and details and addresses the technical requirements of the RA selected in the
ROD. The RD may include, but is not limited to, drawings, specification documentation,
and statement of bidability and constructability. The CMD is a RCRA design that
establishes the general size, scope, and character of a project, and details and addresses the
technical requirements of the CMD selected in the RCRA Corrective Measure decision
document. The CMD may include, but is not limited to, drawings, specification
documentation, and statement of bidability and constructability. A RD or CMD is complete
when the plans and specifications for the selected remedy are developed and approved.
EXHIBIT K.14. RD OR RCRA CMD REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF Remedial Design/RCRA
Corrective Action Design
FF
Start: Post ROD - RD or CMD work plan or other
appropriate documents or statement of work submitted
Pre-ROD - ROD signed by the Regional Administrator
or delegate or RD or CMD work plan or other major
deliverable submitted
Finish: Letter approving the entire final RD or CMD
package is signed or Commerce Business Daily (CBD)
or other appropriate publication requesting bids on the
final RD or CMD package is published.
Special Planning/Reporting Requirements:
This is an internal program measure.
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
A RA or CMI is the implementation of the remedy selected in the ROD or appropriate
RCRA corrective measure decision document at NPL sites to ensure protection of human
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health and the environment. A RA or CMI is complete when construction activities are
complete, a final inspection has been conducted, and an RA Report or appropriate CMI
reporting vehicle has been prepared and approved by EPA in writing. This report
summarizes site conditions and construction activities. Note: This date may be later than
12 0(h)(3) BRAC requirements for base closure.
EXHIBIT K.15. RA OR RCRA CMI REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Memo or letter to EPA documenting the date on
FF RA/RCRA
Corrective Action
Construction
FF
which substantial, continuous, physical, on site,
remedial actions began
Finish: RA Report approved in writing by Branch Chief
or delegate or CMI Reporting vehicle documenting the
completion of construction activities signed by the
Branch Chief or delegate
Special Planning/Reporting Requirements:
RA or CMI Starts is an internal program target and measure. RA or CMI completions is a
program target. RA or CMI completions are reported site specifically in SEMS. In lieu of
a report from the contractor's construction manager, the region must prepare a report to
document the completion. The approval can be provided with an appropriate signature on
the RA Report cover sheet or by letter to the originator of the RA Report.
Beginning in FY 2011, the Superfund program began reporting 'Remedial Action Project
Completions' as a key program measure with an annual target. The measure includes Fund,
Potentially Responsible Party (PRP) (including Special Account-funded) and Federal
Facility RA completions at final and deleted NPL sites. The measure is intended to augment
the existing sitewide Construction Completion measure and reflect the large amount of
work being done at Superfund sites. Reporting on the new measure will provide valuable
information to communities by demonstrating incremental progress in reducing risk to
human health and the environment at sites.
Examples of Remedial Action completions and criteria for EPA approval of an RA Report
may be found in chapter 2 of the Close Out Procedures for National Priorities List Sites
(OSWER 9320.2-22, May 2011).
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EXHIBIT IX. 16. REMEDIAL PIPELINE FLOW CHARTS
Treatment
Final
RA
OPS
(no O +M requried)
For example; bioremedtatton. SVE
Containment Pipeline
Final
RA Report
RA
+> *
(no lor
Ground Water and Surface Water Restoration: Pipeline
and Monitored National Attenuation
Interim
RA
Final RA Report
(Cleanup Goals
Achieved)
O + M
OPS
OPS= Operating Properly & onfif to BRAC sites,
k. Removal or RCRA Interim/Stabilization Measure (ISM)
Removal actions are defined as the cleanup or removal of released hazardous substances
from the environment, and the necessary actions taken in the event of the threat of release
of hazardous substances into the environment. ISMs are defined as RCRA removal actions
that are intended to abate threats to human health and the environment from releases and/or
to prevent or minimize the further spread of contamination while long term remedies are
pursued. Regions need to report removal actions conducted in response to emergency, time
critical (TC), and non-time critical (NIC) situations at BRAC, non NPL or NPL sites.
Under the DERP, DoD is required to notify EPA of its removal actions. Long term O&M
should not be conducted under the removal.
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EXHIBIT IX.17. REMOVAL OR RCRA ISM REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Federal agency begins actual on-site removal
FF Removal
RCRA Interim/Stabilization
Measure
FF
work, or Action Memorandum signed by the appropriate
regional official, or the lead federal agency provides
notice to EPA, or other decision document
signed/approved by the appropriate regional official
Finish: Federal agency notifies EPA of demobilized,
completing the scope of work delineated in the Action
Memorandum or other decision document
Special Planning/Reporting Requirements:
This is an internal program measure.
1. Operation and Maintenance (O&M)
O&M are the activities required to maintain the effectiveness or integrity of the remedy
including institutional controls. Except in the case of groundwater or surface restoration
remedies, including monitored natural attenuation, O&M measures are initiated after
cleanup goals are achieved and the remedy is operating as intended. In the case of
groundwater or surface water restoration remedies, including monitored natural
attenuation, O&M measures are initiated when the remedy is operating as intended.
EXHIBIT IX. 18. OPERATION AND MAINTENANCE REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Remedial Action Report is approved in writing
FF Operations and
Maintenance
FF
by designated EPA regional official (Branch Chief or
above, as determined by the EPA region)
Finish: Where appropriate, the completion of O&M is
defined as the date specified in the FFA/IA.
Special Planning/Reporting Requirements:
O&M Start is an internal program measure.
m. Cleanup Goals Achieved
This measure is used to indicate when cleanup objectives are achieved for groundwater and
surface water restoration, including monitored natural attenuation. It tracks achievement of
cleanup objectives for these remedies because they have not yet achieved cleanup
objectives at the time of Remedial Action completion.
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EXHIBIT IX. 19. CLEANUP GOALS ACHIEVED REQUIREMENTS
Work Package
Activity/Milestone ' '
Cleanup Goals Achieved
Performance
Lead
FF
Activity/Milestone Date Requirements
Start/Finish: Valid monitoring data demonstrating
restoration goals have been achieved are documented in
the O&M Report
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
n. Percent Construction Completion
The percent construction complete measure is based on the average of three specific factors
at each Federal Facility NPL site: 1) OU percent complete; 2) Total actions percent
complete; and 3) Duration of actions percent complete (see definitions below). To reflect
progress at each site, HQ will calculate the percentage complete for each of the three factors
and determine the average of the factors combined. This combined average will reflect the
percent construction complete at each site. HQ will then calculate the national average of
all site-specific percentages. EPA's yearly target will be the net increase in the national %
CC for NPL FF sites. The table below outlines the method of calculating each of the three
specific factors that make up the percent construction complete measure.
EXHIBIT K.20. PERCENT CONSTRUCTION COMPLETE CALCULATIONS
OU percent complete
Total actions percent
complete
Duration of actions percent
complete
Numerator: Count of operable units designated as OU CC (including
OUs with no actions).
Denominator: Count of all operable units (including OUs with no
actions).
Numerator: Count of completed RI/FS, Decision Documents, Action
Memos, ROD Amendments, Remedial Designs, Remedial Actions,
and Removals with FF lead.
Denominator: Count of all RI/FS, Decision Documents, Action
Memos, ROD Amendments, Remedial Designs, Remedial Actions,
and Removals with FF lead.
Numerator: Duration of completed actions plus duration from start
date to current date for ongoing actions for RI/FS, Remedial Designs,
Remedial Actions, and Removals with FF lead.
Denominator: Duration of all actions (planned, actual, ongoing) for
RI/FS, Remedial Designs, Remedial Actions, and Removals with FF
lead.
Special Planning/Reporting Requirements:
EPA will verify and release certified data after the end of each fiscal year.
o. Federal Facility Five Year Reviews
A Five Year Review is a review of remedial action(s) selected under CERCLA section
121(c). The purpose of the Five Year Review is to determine whether the remedy at a site
is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. Where remedial actions are either
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still under construction or completed, a Five Year Review determines whether immediate
threats have been addressed and whether EPA continues to expect the remedy to be
protective when all remedial actions are complete. EPA conducts statutory reviews of any
site at which a post-SARA remedy, upon attainment of cleanup levels specified in the
ROD, will not allow for unlimited use and unrestricted exposure (UU/UE). EPA conducts
policy reviews at sites where remedial actions will attain cleanup levels that upon
completion will allow for UU/UE but will take longer than five years to complete, at sites
with pre-SARA remedies at which cleanup levels do not allow for UU/UE, and at NPL
removal only sites where cleanup levels do not allow unlimited use and unrestricted
exposure. Discretionary reviews may be conducted at the discretion of the lead agency.
EXHIBIT K.21. FEDERAL FACILITY FIVE YEAR REVIEW REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
FF Five Year Review
FF
Start: Five-year review work plan submitted by the
other federal agency is approved by EPA or Federal
Facility starts the review or submits the draft document
for review, as outlined in the ROD or IA
Finish: Five-year review report, stating whether the
remedy is or is not protective of human health and the
environment or on the date the region has issued its own
protectiveness determination, is signed by the designated
regional official or regional protectiveness
determination, if the region non-concurs with the
protectiveness statement in the report
FF Five Year Review
Addendum
FF
Start: Five-year review Addendum work plan submitted
by the other federal agency is approved by EPA
Finish: Five-year review addendum, stating a new
protectiveness determination of all remedies that have
deferred protectiveness determinations is signed by the
designated regional official
Statutory: The 1st FF FYR planned finish date should be scheduled for five years after the
Federal Facility RA activity planned start date. All subsequent FF FYRs are scheduled for
five years after the planned finish date of the previous FYR.
Policy: The 1st FF FYR planned finish date should be scheduled for five years after the
date the site achieved Construction Completion. All subsequent FF FYRs are scheduled
for five years after the planned finish date of the previous FYR.
Discretionary: The Five Year Review planned finish date is based on the date set by the
user at the time of entry of Five Year Review type.
Five Year Reviews should not be entered for FUDS and non-NPL Federal Facilities
because they are not conducted under the purview of EPA's oversight. Additional
information on requirements and procedures for conducting Five Year Reviews can be
found in the Comprehensive Five-Year Review Guidance (OSWER 9355.7-03B-P, June
2001).
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Special Planning/Reporting Requirements:
Five-year Review completion is an internal program target and measure. Five-year review
completions must be planned and reported site-specifically in SEMS. There are multiple
triggers for five-year reviews. Please reference program guidance available at
http://www.epa.gov/superfund/cleanup/postconstruction/5yr.htm to select the appropriate
method for calculating the Five-Year Review date.
Situations do occur where multiple NPL sites are covered under a single five-year review
report. In these situations the date of the report will be used to signify the completion of
the five-year review for each of the NPL sites.
The following information is captured in the SEMS Five Year Review data entry forms:
The type of Five Year Review (e.g., statutory, policy or discretionary)
The ability to modify the Five Year Review type on a planned review only if
changing from a discretionary review to a policy or statutory review or changing
from a policy review to a statutory review;
The ability to associate issues/recommendations with a specific OU;
The ability to enter/track more than one Five Year Review with multiple OUs for
each site;
A Missing Accomplishment Data tab informs the user of all missing information;
and
The ability to update milestone dates and track the current status of implementation
for Five Year Review Issues and Recommendations.
In order to receive credit for a Federal Facility Five Year Review completion the region
must enter the following data into SEMS:
applicable OUs
associated issue for each OU (if there is no issue, enter the relevant OU(s) with the
'No Issue' category)
recommendations or follow-up actions (a party responsible, oversight agency, and
milestone date must be identified for each recommendation or follow-up action)
protectiveness determination for each remedy/OU (if a determination is deferred,
enter a date for when a protectiveness determination will be made)
protectiveness statement as it appears in the Five Year Review
If the Construction Completion flag has been checked for the site, the user must enter the
following information:
site protectiveness determination
sitewide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR Addendum completion, the user must enter the
following information:
The new protectiveness determination for those OUs that were deferred;
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Protectiveness statement as it appears in the parent Five Year Review; and
If new issues/recommendations are referenced in the Five Year Review Addendum,
enter them into the Five Year Review screens through the FYR parent action for
the addendum.
All Sites must have the following information:
If future Five Year Reviews are not necessary at the site, indicate that this is the
final Five Year Review at the site by selecting the 'no' radio button under the
heading asking whether future FYRs are necessary. The user should also enter a
description of the reason why future reviews are not needed. If future FYRs are
necessary, select the 'yes' radio button.
IX.B.5 Community Involvement Definitions
The following section contains Community Involvement requirements for Federal
Facilities. Community Involvement requirements for non-Federal Facility sites are included in
chapter XL
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)
SSABs are a forum for concerned stakeholders to provide advice and recommendations on
DOE's Environmental Management strategic decisions. RABs provide a forum through
which members of nearby communities can provide input to DoD's environmental
restoration program. RABs and SSABs complement other community involvement
activities, such as public meetings, mailings, and local information repositories.
EXHIBIT K.22. RAB/SSAB REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Restoration Advisory Board
(RAB)/Site-Specific Advisory
Board(SSAB FF CI)
Start: Initial RAB/SSAB information meeting
FF
establishing the Board
Finish: RAB is adjourned by DoD or SSAB is
terminated by the Secretary of Energy
Special Planning/Reporting Requirements:
This is an internal program measure.
b. Technical Assistance Grants (TAGs)
SARA established the Technical Assistance Grant (TAG) program to provide technical
assistance to eligible communities. This technical assistance allows communities to
improve the decision making process at their sites.
EXHIBIT IX.23. TECHNICAL ASSISTANCE GRANT REQUIREMENTS
Work Package
Activity/Milestone
Technical Assistance Grant
Performance
Lead
EPA In-House
Activity /Milestone Date Requirements
Start: Award document signed bv the regional award
official
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WorkPackage
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Finish: Award document, one year extension document,
time period extension document, or other documents,
such as a memo to the file prepared by the TAG
coordinator documenting the ending date of the budget
and project period.
Special Planning/Reporting Requirements:
TAG is an internal program measure. Planned start and finish dates are required in SEMS.
The planned or actual finish date in SEMS (whichever is applicable) must be changed to
reflect the date of the most recent source document, e.g., award document, one-year
extension document, memo to the file, etc. These definitions may be applied to all historical
activities, including data prior to FY 89, which is the first fiscal year TAG appeared in the
Superfund Program Implementation Manual (SPEVI). In addition, the TAG completion
definitions from previous years may also be used for TAGs completed within those years.
Funds may be planned site-or non-site specifically; however, they must be obligated site
specifically. Funds for TAGs at Federal Facility sites are contained in the Federal Facility
budget and found in the Federal Facility Site Allowance.
IX.B.6 Cleanup Privatization at BRAC NPL Sites
At DoD BRAC sites, EPA recognizes that the privatization of the cleanup, where a
developer or other organization rather than the military conducts the cleanup using funds provided
by DoD, can present an opportunity to integrate redevelopment planning with cleanup. Such
privatized cleanups provides another option to federal and state agencies and local communities to
help maximize the impact of cleanup and redevelopment resources to help move properties back
into productive reuse more quickly.
Privatization is an early transfer of property. In order to conduct an early transfer of
property, DoD must request a deferral of the covenant required by CERCLA section
120(h)(3)(A)(ii)(I) ensuring that all remedial action necessary has been completed prior to transfer
by the federal government. For NPL installations, EPA and the Governor of the state must approve
such requests.
Regions should follow EPA Guidance on the Transfer of Federal Property by Deed Before
All Necessary Remedial Action Has Been Taken Pursuant to CERCLA section (120(h)(3) (Early
Transfer Guidance) (June 1998) (http://www2.epa.gov/fedfac) when reviewing covenant deferral
requests from other federal agencies. Where institutional controls are or will be required as part of
the early transfer, regions should also consult the Institutional Controls and Transfer of Real
Property under CERCLA section 120(h)(3)(A), (B) or (C) Guidance
(http://www2.epa.gov/fedfac). DoD often transmits the information used by EPA to review and
approve an early transfer through a FOSET. EPA's guidance discusses the requirements found in
CERCLA 120(h)(3)(C) and how they are related to EPA approval of the FOSET and deferral of
the covenant.
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EXHIBIT IX.24. CLEANUP PRIVATIZATION AT BRAC NPL SITES REQUIREMENTS
Work Package
Activity/Milestone ' '
Removal Action Decision -
Approve EE/CA/ Action
Memorandum
FF Removal
FF Engineering
Evaluation/Cost Analysis
FFRI
FF RI/FS
Public Comment Period
Record of Decision
FFRD
FFRA
Performance
Lead
FF
FF
FF
FF
EPA In-House
FF
FF
FF
Activity/Milestone Date Requirements
Start/Finish: Action Memo signed bv designated
regional official
Start: Pollution Report documenting that Private Party
and their contractor mobilized at the site to perform the
removal action. (Critical Indicator = TC or NTC).
Finish: Final Pollution Report documenting that Private
Party and their contractor have completed actions
specified in the action memo and have demobilized from
the site.
Start: EE/CA Approval Memo approved bv EPA.
Finish: EE/CA Action Memo approved bv EPA.
Start: RI or RI/FS draft work plan received from Private
Party.
Finish: Record of Decision signed bv designated
regional official
Start/Finish: Letter transmitting RI/FS reports and the
proposed plan to the site repository for public review,
signed by the appropriate regional official or first page
of the approved proposed plan is included in the site file.
Start/Finish: Record of Decision signed bv designated
regional official
Start: RD draft work plan received from Private Party.
Finish: RD Report approved bv EPA.
Start: RA draft work plan received from Private Party.
Finish: RA Report approved bv EPA.
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Superfund Program Implementation Manual
FY16
Chapter X: Enforcement
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CHAPTER X: Enforcement
Table of Contents
X.A Enforcement X-l
X.A.I Promoting the Superfund Enforcement Program X-l
X.A.2 Overview of Enforcement Program Targets and Measures X-2
X.A.3 Superfund Alternative Approach (SAA) Sites X-4
X.A.4 Enforcement Program Performance Activity Leads X-5
X.A.5 Data Entry Timeliness X-5
X.A.6 Enforcement Program Definitions X-6
a. Potentially Responsible Party (PRP) Search Starts X-6
b. PRP Search Completions X-6
c. Preliminary PRP Search Completion X-6
d. Section 104(e) Referrals and Orders Issued X-8
e. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor RD/RA
Negotiations X-9
f. Issuance of General Notice Letters (GNLs) X-9
g. Issuance of Special Notice Letters (SNLs) X-9
h. Issuance of Demand Letter X-10
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic X-10
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic) X-l 2
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations).. X-l3
1. Total Response Commitments (Including Dollar Value) X-l 4
m. Volume of Contaminated Media Addressed (VCMA) X-17
n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement X-l 8
o. Total Amount of Response Commitments Secured through Financial Assurance
X-20
p. De Minimi s Settlements and Number of Parties X-21
q. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)X-22
r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy X-23
s. Total Cost Recovery Settlements (Including Dollar Value) X-25
t. Total Value of PRP Oversight X-26
u. Number and Amount of CERCLA Penalties Assessed X-27
v. Number of Settlements Where EPA Settled Based on Ability-to-pay
Determinations X-27
w. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs) X-28
x. Issuance of Comfort/Status Letters X-29
y. Contiguous Property Owners (CPOs) X-29
z. Windfall Lien Resolution -Finalized. X-30
FY 16 SPIM X-i September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
aa. PRP Oversight Administration X-31
bb. Settlements Designating Funds for Deposit to Special Accounts X-32
cc. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
X-33
dd. Pre-Remedial Enforcement Action at Superfund Sites X-34
X.A.7 Institutional Controls and Site Revitalization X-35
a. Institutional Controls X-35
b. Site Revitalization X-35
List of Exhibits
Exhibit X.I. Enforcement Program Performance Measures X-2
Exhibit X.2. PRP Search Requirements X-8
Exhibit X.3. Section 104(e) Referrals and Orders Requirements X-8
Exhibit X.4. Pre-Referral Negotiation Package Requirements X-9
Exhibit X.5. General Notice and 104(e) Information Request Letter Requirements X-9
Exhibit X.6. Special Notice Letter Requirements X-10
Exhibit X.7. Demand Letter Requirements X-10
Exhibit X.8. Negotiation Start Requirements X-10
Exhibit X.9. Completion or Termination of Negotiations Requirements X-12
Exhibit X. 10. Ability to Pay (ATP) Party Insurance Negotiations Requirements X-14
Exhibit X.I 1. Total Response Commitment Requirements X-14
Exhibit X.12. Summary of SEMS Compliance Status Values X-18
Exhibit X. 13. De Minimis Settlement Requirements X-21
Exhibit X. 14. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)
Requirements X-22
Exhibit X.I5. Past Costs Addressed >$500,000 Requirements X-23
Exhibit X.16. Total Cost Recovery Settlements Requirements X-25
Exhibit X.17. Ability-to-pay Determination Requirements X-28
Exhibit X.I8. BFPP Agreement, PPA, and PLA Requirements X-29
Exhibit X. 19. Comfort Status Letter Requirements X-29
Exhibit X.20. Contiguous Property Owner Requirements X-30
Exhibit X.21. Windfall Lien Resolution Requirements X-31
Exhibit X.22. PRP Oversight Administration Requirements X-31
Exhibit X.23. Settlements Designating Funds for Deposit to Special Accounts Requirements X-32
Exhibit X.24. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Requirements X-33
September 30, 2015 X-ii FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
CHAPTER X: ENFORCEMENT
X.A ENFORCEMENT
X.A.I Promoting the Superfund Enforcement Program
The Superfund enforcement program Government Performance and Results Act (GPRA)
goals and measures will continue to ensure a fairer, more effective, and more efficient Superfund
program. The program goals continue to focus on maximizing Potentially Responsible Party (PRP)
participation, addressing past costs, reducing transaction costs, entering into fair settlements, and
eliminating barriers to redevelopment. The major areas of emphasis for the Superfund enforcement
program include the following:
Maximizing PRP Involvement/Enforcement First: Maximizing PRP participation is critical
to achieve the greatest possible number of cleanups, and to conserve Trust Fund resources.
Key areas of emphasis are early initiation of PRP searches, completing negotiations in a
timely manner, and maximizing PRP-lead cleanup activities. Environmental Protection
Agency (EPA) will continue to seek to maximize PRP participation at Superfund sites
including National Priorities List (NPL) and Superfund Alternative Approach (SAA) sites.
As a result of the enforcement first strategy, PRPs have undertaken the majority of new
cleanup actions over the past years, leveraging Fund resources to maximize total cleanups.
Addressing Past Costs > $500,000: Each year, address all unaddressed costs for Statute of
Limitations cases for sites with total past costs equal to or greater than $500,000 via
settlements, referrals to the Department of Justice (DOJ), filing a claim in a bankruptcy
proceeding, or where appropriate write-off.
Completing Clean-up Negotiations in a Timely Manner: Remedial Design/Remedial
Action (RD/RA) negotiations should be completed within 120 days of the issuance of
Special Notice Letters (SNLs). SNLs should be issued within 90 days after the signature
of the Record of Decision (ROD).
Eliminating Barriers to Redevelopment: Under the Brownfields Amendment, parties who
qualify as bona fide prospective purchasers (BFPPs) should no longer need agreements
with the federal government to purchase contaminated property. EPA recognizes that, in
certain instances, the public interest will be served by entering into agreements with BFPPs
who will perform work exceeding reasonable steps at a site of federal interest.
Providing PRP Oversight: EPA will continue to focus on efforts to engage in dialogue with
PRPs that have settlements with EPA to promote oversight that ensures the development
and implementation of protective cleanups; gives careful consideration to the associated
costs being charged to PRPs; and maximizes EPA recovery of oversight. EPA will continue
to offer to discuss EPA's oversight expectations for upcoming activities with settling PRPs
who conduct non-time critical removals, Remedial Investigations/Feasibility Studies
(RI/FS), Remedial Designs (RD), or Remedial Actions (RA) and issue oversight bills that
include appropriate cost documentation.
Providing for Responsible Fiscal Management: EPA will place a high priority on sound
fiscal management by managing and collecting Superfund accounts receivable. To
accomplish this, program focus will be on:
Maximizing site-specific charging (intramural and extramural);
FY 16 SPIM X-l September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Maintaining prompt, current and accurate oversight billing;
Maximizing collections of monies due the Trust Fund; and
Resolving outstanding collection disputes.
Ensuring Compliance with Orders/Settlements: EPA will continue to monitor compliance
of PRP performance and payment obligations under administrative orders, Consent
Decrees (CDs), and judgments; ensure compliance; and address substantial noncompliance
in a timely manner.
Using Special Accounts for Site Cleanup: EPA will continue to emphasize the use of
Special Accounts for site cleanup. This includes finalizing settlements that provide for
deposits to and disbursements from Special Accounts, approving actual deposits and
disbursements, reclassifying Special Account funds, where appropriate, and closing out
such accounts in a timely manner, thus freeing up such funds for future use at other sites,
through the general appropriation process.
Issuing Unilateral Administrative Orders (UAOs) Equitably: EPA will issue UAOs to the
maximum manageable number of PRPs wherever there is sufficient basis to include them.
Issuance of these UAOs will compel those PRPs to participate in, and share the cost of, the
specific response actions. The participation of these PRPs, even if only through a financial
contribution, will reduce the portion of the cleanup cost that is borne by PRPs who have
settled with EPA.
X.A.2 Overview of Enforcement Program Targets and Measures
The following pages contain the definitions of enforcement program targets and measures.
Exhibit X.I displays the reporting hierarchy of enforcement activities defined in this chapter.
EXHIBIT X.l. ENFORCEMENT PROGRAM PERFORMANCE MEASURES
Activity
PRP Search Starts
PRP Search Completions
Preliminary PRP Search Completions
Section 104(e) Referrals and Orders Issued
Submittal of Pre-Referral Negotiation (PRN) package to DOJ for
RD/RA Negotiations
Issuance of General Notice Letters (GNLs)
Issuance of Special Notice Letters (SNLs)
Negotiation Starts: Expanded Site Inspection (ESI)/RI/FS;
RD/RA; Removal; Cost Recovery; and Generic
Completion or Termination of Negotiations: (ESI/RI/FS;
RD/RA, Removals, Cost Recovery, and Other) (NPL and SAA)
Ability to Pay Party Insurance Negotiations
Total Response Commitments (Including Dollar Value)
External Program
Reporting
Performance and
Accountability Report
(PAR)
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
September 3 0,2015
X-2
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Activity
Volume of Contaminated Media Addressed (VCMA) *
Active Response Enforcement Instruments in Substantial
Noncompliance (SNC)
Total Amount (Dollar Value) of Response Commitments
Secured through Financial Assurance
De Minimis Settlements and Number of Parties
Section 106, 106/107, 107 Case Resolution
Issuance of Demand Letter
Past Costs Addressed > $500,000 Via Settlements, Referrals,
Filing a Claim in Bankruptcy Proceedings, or where appropriate
Write-Off
Total Cost Recovery Settlements (Including Dollar Value)
Total Value of PRP Oversight **
Number and Amount of Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) Penalties
Assessed *
Number of Settlements Where EPA Settled Based on Ability -to-
Pay Determinations
Bona Fide Prospective Purchaser Agreements, Prospective
Purchaser Agreements (PPAs) and Prospective Lessee
Agreements (PLAs)
Contiguous Property Owners (CPOs)
Windfall Lien Resolution - Finalized
Issuance of Comfort/Status Letters
PRP Oversight Administration
Settlements Designating Funds for Deposit to Special Accounts
Settlements Designating Funds for Disbursement from Special
Accounts to PRPs
Pre-Remedial Enforcement Action at Superfund Sites
Institutional Controls
Site Revitalization
External Program
Reporting
Annual Commitment
System (ACS)
Strategic Plan
PAR
ACS
Strategic Plan
PAR
PAR
PAR
ACS
Strategic Plan
PAR
Internal
Program
Reporting
Target
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14 -FY18 Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
* Measure reported in the Integrated Compliance Information System (ICIS)
** Measures reported in Compass
FY 16 SPIM
X-3
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
X.A.3 Superfund Alternative Approach (SAA) Sites
When a liable PRP demonstrates it is viable and cooperative, EPA regional offices, at their
discretion, may enter into a SAA agreement with the PRP to facilitate the cleanup of a site. The
SAA uses the same investigation and cleanup process and standards that are used for sites listed
on the NPL. The SAA is generally the Agency's preferred enforcement approach for
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) non-NPL
sites that are NPL-caliber, where feasible and appropriate.
Threshold eligibility criteria for using the SAA are:
Site contaminants are significant enough that the site would be eligible for listing on the
NPL (i.e., the site would have a Hazard Ranking System [HRS] > 28.5);
A long-term response (i.e., a RA) is anticipated at the site; and
There is a willing, capable PRP who will negotiate and sign an agreement with EPA to
perform the investigation or cleanup.
EPA determines if the SAA is appropriate at a particular site. (A PRP may request that a
site be evaluated for the SAA.) If a site meets criteria 1 and 2 above, EPA and the PRP may choose
to negotiate an SAA agreement. The SAA agreement is equivalent to an agreement negotiated at
an NPL site.
Potentially responsible parties, or a subset of PRPs, may choose not to negotiate an SAA
agreement. In that case, the site would proceed to cleanup on a different path.
The following transparency and accountability requirements apply to sites using the SAA:
Prior to starting negotiations for a SAA agreement, the regions should bring the site to the
NPL-listing panel for discussion regarding site characteristics (including adequate
documentation supporting a HRS score of > 28.5) and planned use of the SAA. This is the
same panel that reviews sites that the regions propose to list on the NPL. Adequate HRS
documentation consists of a full HRS package prepared by the region. The HRS package
does not have to go through the EPA Headquarters quality assurance process.
The regions should notify the public of its intent to use CERCLA authority at the site.
The regions should use the Superfund Enterprise Management System (SEMS) to track the
same progress milestones for sites with SAA agreements as those that are tracked for PRP-
lead sites listed on the NPL.
Final SAA agreements will be reviewed at EPA Headquarters and catalogued on EPA's
SAA website so that all interested parties can know what sites have a SAA agreement.
The regions will develop and maintain on the internet the same site-specific fact sheets that
are developed for sites listed on the NPL.
EPA will report annually on progress at sites using the SAA.
EPA will maintain and update the SAA website as a source of public information on the
approach. SAA website include a list of sites with SAA agreements, links to their site-
specific fact sheets, and links to related information.
SEMS includes a special interest code of 'Site with SA Agreement per the Office of
Enforcement and Compliance Assurance (OECA) Policy' to track and report accomplishments at
September 30, 2015 X-4 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
sites using the SAA. Regions are responsible for ensuring the code comports with the list of sites
posted on the SAA website. For historical reporting purposes, this code should remain in place
once properly added to SEMS. The code should not be deleted regardless of the outcome of the
SAA unless it was originally added due to a data entry error.
Additionally, regions should select 'Superfund Alternative Approach Agreement per
OECA' from the Enforcement Instrument Categories list on the Enforcement Instrument Screen
in SEMS.
EPA's Office of Enforcement and Compliance Assurance is responsible for reviewing final
SAA agreements and maintaining the SAA website. The SAA website includes SAA guidance and
the latest list of sites with SAA agreements. The website is located at
http://www2.epa.gov/enforcement/superfund-alternative-approach.
X.A.4 Enforcement Program Performance Activity Leads
As EPA transit!oned to its new tracking and reporting system, SEMS, in FY 2014, site
related activities were modified to more accurately track the actual work performed by EPA, states
and tribes on remedial pipeline activities rather than the source of funding. This was done at the
activity name level, identifying different sub-activities for government conducted or PRP
conducted activities (where the government performs oversight of the PRP) and by creating two
new lead codes, Performance lead and Financial lead, to replace the Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS) lead code,
which was often used to identify the funding source for activities.
For example, a RI in the previous Superfund Program Implementation Manual (SPIM)
could be Fund-financed using the F-, TR-, S-lead actions, or PRP-fmanced using the SA-, SS-, or
ST-lead actions. The lead codes identified both a combination of who conducted the action as well
as how it was financed. Similarly, the PRP RI described a RI conducted by a PRP, but it used a
different set of lead codes. EPA's approach now uses Government RI to denote a RI performed by
a government entity, though not a federal facility, which has its own activity and its own
Performance lead code. The Performance lead code identifies whether EPA, a state, or a tribe is
conducting the work. A PRP RI is RI work performed by the PRP, and the Performance lead code
identifies whether EPA, a state, or a tribe is performing oversight of the work done by the PRP.
Separate financial lead codes in SEMS are used to identify the funding source of any government
or PRP-performed activityFund, Special Account, or Mixed Sources. Superfund financial
management is addressed in chapter III of this document and Financial Lead codes are discussed
in more detail in section IV.D of this document.
X.A.5 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C.l of this document for additional information about
data quality and timeliness standards.
FY 16 SPIM X-5 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
X.A.6 Enforcement Program Definitions
a. Potentially Responsible Party (PRP) Search Starts
A PRP search identifies PRPs at the site and establishes PRP liability, capability, and
financial viability. At all sites, the PRP search activities should be initiated as soon as
possible after the region decides that a response (removal or remedial) action is likely to
be required at the site. For sites where remedial actions will be conducted, the PRP search
should be initiated in time to send an SNL (at least 90 days prior to the obligation of funds
for an Expanded Site Inspection [ESI]/RI, RI/FS or RA). For sites where removal actions
will be conducted, the PRP search should be initiated as soon as the need for the removal
has been identified in order to give a verbal notice of potential liability or to issue a general
notice letter.
b. PRP Search Completions
A PRP search completion constitutes the completion of the activities taken by the region
to identify PRPs at a site. In conducting the PRP search, the region must consider which of
the criteria outlined below are cost effective and reasonable to meet relative to the
anticipated overall cleanup costs at the site. Upon completion, regions should document in
the site file that they have met all reasonable achievable criteria. Criterion 1 is mandatory
for all PRP search completions. The PRP search should ideally be completed prior to
completion of cleanup negotiations; however, it is recognized that this may not be
achievable in all situations.
The recommended criteria for a thorough PRP search are:
1. PRPs have been afforded opportunities to participate in or contribute to the PRP
search, and the information contributed has been verified and/or authenticated and
incorporated in the PRP search;
2. All relevant and material leads from CERCLA section 104(e) responses,
interviews, and their primary or source documents have been pursued;
3. Sufficient information and evidence have been obtained to support the
government's liability case or to determine that no viable PRPs exist or can be
found;
4. PRPs have been categorized and financial and waste contribution information
needed to perform orphan share calculations has been collected;
5. Ability to pay determinations (including but not limited to the investigation and
analysis of any applicable insurance coverage) have been made for those PRPs who
have asserted inability to pay in good faith; and
6. General notice letters have been issued to all PRPs being pursued.
c. Preliminary PRP Search Completion
A Preliminary PRP Search is the completion of certain activities taken to make an initial
identification of PRPs at a site in order to determine if there are PRP(s) that are able to
perform or finance all or a portion of the initial non-emergency CERCLA removal or
remedial response action at a site. A Preliminary PRP search is required before the first
Government lead activity can be started at a site.
September 30, 2015 X-6 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
The Preliminary PRP Search will be considered complete when the regions perform the
PRP Search tasks steps outlined in section 1 or 2 below.
1. Regions have completed and properly documented PRP Search tasks A-E, below,
as appropriate and practicable.
A. Site Location and Property Description
The region has, as thoroughly as possible, identified the site location (including one
or more of the following: street address; parcel ID#; legal description from current
deed of ownership; and/or tax map) as necessary to complete requirement l.B.
below.
B. Current and Past Site Ownership Identification/Notification
The region has, using the tools most appropriate for the site, conducted activities to
identify current site owners as well as past site owners at the time of disposal of
hazardous substances and where those site owner PRPs exist and can be located
within a reasonable time, considering the exigencies of the situation, the region has
provided verbal notice and/or issued General Notice Letters to those parties the
region determines to be liable and capable of performing the initial response action
at the site. In addition, as a part of this task, regions have obtained information
necessary to secure site access in order to allow for performance of the initial non-
emergency response action at the site.
C. Site Operation Identification/Notification
If the operator(s) of the site/facility that caused the release or threat of release of
hazardous substances are different from the site/facility owner(s) at the time of
disposal, the region has undertaken PRP Search activities necessary to identify
site/facility operators and where those site operator PRPs exist and can be located
within a reasonable time, considering the exigencies of the situation, the region has
provided verbal notice and/or issued General Notice Letters to those parties the
region determines to be liable and capable of performing the initial non- emergency
response action at the site.
D. Site Owner/Operator Liability/Financial Viability Determination
For each party identified under A., B. or C. of this section, the region has
determined, based on publicly available information whether: 1) the party may be
liable under section 107(a) of CERCLA; and 2) the party may be financially capable
of performing or paying for all, or a portion of, the initial non-emergency response
action at the site.
E. Arranger/Transporter(A/T) Identification/Notification
The region has determined, based on readily available information such as site
records, that either 1) no A/T PRPs appear to exist at the site or 2) there are A/T
PRPs at the site, and the region has provided verbal notice and/or issued General
Notice Letters to those A/T PRPs initially identified through such information who
the region determines to be liable and capable of performing the initial non-
emergency response action at the site and determined that, to the extent that A/T
PRPs exist, additional PRP search efforts may be required.
OR
FY 16 SPIM X-7 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
2. The region has completed all, or a portion of, the above PRP Search tasks and
entered into a settlement with or issued orders to compel the identified PRPs to
perform the initial non-emergency response action at the site.
EXHIBIT X.2. PRP SEARCH REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work
assignment or procurement request, or the date EPA
develops the PRP search plan; or the date a spill
identification number has been assigned to a site, or the
date EPA initiates and documents search activities by
some other means.
Finish: Date all applicable activities described in the
Agency's PRP Search Manual have been completed and
documented in the site file that the region has met all
reasonable achievable criteria for the PRP search and a
PRP Search outcome report with a list of PRPs has been
prepared. The finish date and outcome must be entered
in SEMS. If no PRPs are found, the Qualifier of 'No
PRPs Identified' must be entered in SEMS.
Preliminary PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work
assignment or procurement request, or the date EPA
develops the PRP search plan; or the date a spill
identification number has been assigned to a site, or the
date EPA initiates and documents search activities by
some other means.
Finish: The date regions have completed and
documented in the site file PRP Search tasks A-E in
section 1 above as appropriate and practicable, or the
date the region has entered into a settlement with or
issued orders to compel the identified PRPs to perform
the initial non-emergency response action at the site.
d. Section 104(e) Referrals and Orders Issued
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to EPA
requests for information or to obtain site access.
EXHIBIT X.3. SECTION 104(E) REFERRALS AND ORDERS REQUIREMENTS
Work Package
' Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Start: Signature date of the memo from the Regional
Section 104(e) Referral
Litigation
EPA
Administrator transmitting the referral to Headquarters
(HQ)orDOJ
Finish: The date a Section 104(e) UAO or
Administrative Order on Consent (AOC) is signed by
the Regional Administrator or delegate.
September 3 0,2015
X-8
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Special Planning/Reporting Requirements:
The Law/Section reported in SEMS should be CERCLA 104(e).
e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for KD/RA
Negotiations
A PRN package is a brief summary and analysis of the case and recommends a case
management strategy. The PRN package should include a copy of the case Negotiation
Plan and a draft CD and should be submitted to DOJ by 30 days after the ROD is signed.
EXHIBIT X.4. PRE-REFERRAL NEGOTIATION PACKAGE REQUIREMENTS
Work Package
' Activity/Milestone .
Pre-Referral Negotiation
Package
Performance
Lead
EPA
Milestone/Activity Date Requirements
Start/Finish: Date PRN package is submitted to DOJ.
Special Planning/Reporting Requirements:
Pre-Referral Negotiation Packages are recorded as a milestone to RD/RA negotiations in
SEMS.
f. Issuance of General Notice Letters (GNLs)
Letter sent by EPA under section 122 of CERCLA informing recipients of their potential
liability for cleanup actions at the site. It is usually sent out during the PRP search or during
preparation for negotiations.
EXHIBIT X.5. GENERAL NOTICE AND 104(E) INFORMATION REQUEST LETTER
REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Issue General Notice
EPA
Start/Finish: Signature date of General Notice Letter
by appropriate EPA official
Special Planning/Reporting Requirements:
General Notice Letters are recorded as a milestone to PRP Search or Negotiations in SEMS.
g. Issuance of Special Notice Letters (SNLs)
An SNL is a letter under section 122(e) of CERCLA from EPA to a PRP informing the
recipient of their potential liability and soliciting an offer to conduct the planned response
action(s) at the site. The SNL triggers a moratorium on certain EPA actions allowing the
PRP to consider EPA's invitation to negotiate. The moratorium period varies depending
on the response action (ESI/RI/FS, RD, RA or Removal) and can be extended if necessary.
FY 16 SPIM
X-9
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT X.6. SPECIAL NOTICE LETTER REQUIREMENTS
Work Package
Activity/Milestone
Issuance of Special Notice
Performance
Lead
EPA
Milestone/Activity Date Requirements
Start/Finish: Signature date of Special Notice Letter
by appropriate EPA official
Special Planning/Reporting Requirements:
The date of issuance of the SNL also constitutes the start of the applicable negotiation.
SNLs are recorded as a milestone to PRP Search or Negotiation in SEMS.
h. Issuance of Demand Letter
A section 122(e) letter issued from EPA to the PRP requesting that the PRP reimburse the
Fund for a specific amount associated with one or more response activities. Demand letters
are typically sent for each separate response activity.
EXHIBIT X.7. DEMAND LETTER REQUIREMENTS
WorkPackage
Activity/Milestone
Demand Letter Issued
Performance
Lead
EPA
Milestone/Activity Date Requirements
Start/Finish: The date the demand letter is signed bv
the appropriate EPA official
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic
Negotiations are discussions between EPA and the parties on their liability, willingness,
and ability to conduct the ESI/RI/FS, Removal Action or to implement the long-term
remedy selected in the Record of Decision (ROD) for the site or operable unit.
EXHIBIT X.8. NEGOTIATION START REQUIREMENTS
WorkPackage
Activity/Milestone ' -
Performance
Lead
Milestone/Activity Date Requirements
Site must be an NPL or SAA site
RI/FS Negotiations, Removal
Negotiations, Negotiations
(Generic), or Cost Recovery
Negotiations
EPA
Start: Signature date of first Special Notice Letter bv
appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter
by appropriate EPA official.
September 3 0,2015
X-10
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
RD/RA Negotiations
EPA
Start: Signature date of the first Special Notice Letter
by appropriate EPA official.
.OR
Signature date of the Waiver of Special Notice Letter
by appropriate EPA official with the intent to purse
negotiations without moratorium procedures.
OR
For Subsequent RD/RA Negotiations the start date is
the same as the finish date of an existing set of RD/RA
Negotiations from which an interim settlement/order
arose.
OR
For Concurrent RD/RA Negotiations the start date is
the date concurrent negotiations are first documented
in meeting minutes or in a Memorandum for the
Record or the date the letter is signed by the
appropriate EPA official accepting the Good Faith
Offer.
Special Planning/Reporting Requirements:
Subsequent Negotiations occur when an interim settlement arises/order is issued for a
portion of the site work from an existing set of RD/RA negotiations and the region does
not plan to issue new SNL(s). A new RD/RA negotiation event should be established in
SEMS.
Concurrent Negotiations occur when the next phase of negotiations begins before the
completion of the current RD/RA negotiations and the region does not plan to issue new
SNL(s). A new RD/RA negotiation event should be established in SEMS.
SAA sites should be identified in SEMS using the special interest code of ' Site with SA
Agreement per OECA Policy'.
If the region does not plan to perform negotiations at a site, negotiation dates should not be
entered into SEMS. The start of negotiations should be planned site specifically. In order
to receive credit for negotiations, the 'Response Actions Sought' are to be entered into
SEMS. In addition, the 'Response Actions Sought' must include one or more of the
following actions: PRP RI/FS, RI/FS, FS, PRP FS, RI, PRP RI, ESI/RI, RD, RA, PRP RD
or PRP RA. If a Site-Specific Exception Plan has been approved by Headquarters (HQ),
the date the plan was approved should be entered in SEMS as a milestone to the
negotiations. The start of the negotiation activity is the same as the finish date of the SNL
or waiver of SNL.
FY 16 SPIM
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September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic)
Cleanup negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the ESI/RI/FS or Removal, or implement the long-term
remedy selected in the ROD for the site or Operable Unit (OU). Negotiations are complete
when a decision has been made as to how the region will proceed with the cleanup.
EXHIBIT X.9. COMPLETION OR TERMINATION OF NEGOTIATIONS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
ESI/RI/FS Negotiations
RD/RA Negotiations
Removal Negotiations
Cost Recovery Negotiations
Negotiations (Generic)
EPA
Finish: Date a signed CD and a 10-point analysis for
RD or RA, groundwater monitoring activities post-
ROD, institutional controls or a time critical (TC) or
non-time critical (NTC) removal is referred by the
Regional Administrator to either DOJ or HQ. The
finish date is the date of the signed transmittal memo,
which is the CD start date.
OR
Signature date of the UAO by the Regional
Administrator or delegate for RD or RA, groundwater
monitoring activities post ROD, institutional controls,
or a TC or NTC removal. UAO credit under Total
Response Commitments however is given when
notice of intent to comply is received. The date the
UAO is signed is also the UAO finish date.
OR
Signature date of the AOC or Consent Agreement
(CA) by the Regional Administrator or delegate for
RD only, or groundwater monitoring activities post-
ROD, or institutional controls. Where an AOC or CA
for RD only is signed, no credit will be given for the
subsequent RA negotiation start or finish. Credit will;
however, be given under Total Response
Commitments for the referral of a CD for RA only.
The negotiation finish date is also the AOC or CA
finish date.
OR
Signature date of the AOC or CA by the Regional
Administrator or delegate for a TC or NTC removal.
The negotiation finish date is also the AOC or CA
finish date.
OR
If Special Notice Letters are issued specifically to
initiate RD/RA negotiations and the negotiations
result in an amendment to an existing enforcement
instrument to include cleanup activities, or an existing
enforcement instrument is amended to include
cleanup actions the finish date is the date the amended
enforcement instrument is signed.
September 3 0,2015
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FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
OR
The date the AOC or CA_that includes Prospective
Purchaser provisions is signed by the Regional
Administrator or delegate. Credit is only given for a
Prospective Purchaser Agreement (PPA)
implementing the entire remedy. Enforcement
Instrument Category = Prospective Purchaser
Agreement. The negotiation finish date is also the
AOC or CA finish date.
OR
The date the injunctive referral to compel the PRP to
perform the cleanup (RD or RA) as specified in a
UAO is referred by the Regional Administrator to
DOJ or HQ. The negotiations finish date is the date of
the Regional Administrator's transmittal memo which
is the litigation start date (Litigation [Generic],
Section 106/107 Litigation or Section 106 Litigation).
OR
The date DOJ notifies EPA and the PRPs of the date
on which they will proceed to trial under an existing
case.
OR
Date funds are obligated through a contract
modification or work assignment signed by the
Contracting Officer, an Interagency Agreement (IA)
is signed by the other federal agency, or a Cooperative
Agreement is signed by the designated regional
official for a Government financed TC or NTC
removal, a RD at NPL or SAA sites or an RA at NPL
sites. If funds are not available and the region decides
a UAO is not appropriate, the negotiation finish date
is the date of the written documentation of the
region's decision not to issue a UAO.
Special Planning/Reporting Requirements:
The negotiation completion date is reported in SEMS as the finish date of either RD/RA
Negotiations, Negotiations (Generic), ESI/RI/FS Negotiations, Removal Negotiations or
Cost Recovery Negotiations. The 'Response Actions Sought' and the outcome of the
negotiations (Other Outcome(s) Selected or Outcome Actions Selected) also must be
reported in SEMS.
SAA sites should be identified in SEMS using the special interest code of ' Site with SA
Agreement per OECA Policy'.
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations)
Ability to Pay Party Insurance negotiations are discussions between EPA and the insurer
of an ATP party on the ATP party's liability, EPA's incurrence of response costs, and the
availability of insurance resources to provide funding to address EPA's costs.
FY 16 SPIM
X-13
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT X.10. ABILITY TO PAY (ATP) PARTY INSURANCE NEGOTIATIONS
REQUIREMENTS
Work Package
' Activity/Milestone'
Performance
Lead
Milestone/Activity Date Requirements
Start: Negotiations start upon EPA's submission of a
Negotiations (Generic)
EPA
claim to an insurance company. Such initial claims are
usually letters to an insurance company detailing costs
that have been, or will be, incurred by EPA and an
offer to negotiate a resolution of the claim on behalf of
the ATP party.
Finish: Negotiations conclude either on the date the
ATP party and its insurer execute a settlement
agreement, or the date of written documentation of the
region's decision not to pursue the specific insurer for
costs attributable to the ATP party.
EPA makes the claim on behalf of the ATP party. The settlement is between the ATP party
and the insurer. EPA/DOJ does not sign this agreement. The insurance settlement relates
back to a prior Administrative Order on Consent (AOC) or CD which gives EPA the right
to proceed on the ATP party's behalf. The settlement is negotiated by EPA/DOJ and the
insurer. The ATP party reviews the final product and signs the agreement. Proceeds are
forwarded to EPA to do future work at a site or to reimburse the EPA for past cleanup
costs.
The final agreement should be entered into SEMS as a Settlement (Generic). See the
measure Total Response Commitments for additional data that should be entered into
SEMS.
1. Total Response Commitments (Including Dollar Value)
Total Response Commitments is the total universe of CERCLA enforcement instruments
where the parties agree to conduct cleanup work and/or make cash payments toward future
response costs at a site. This measure will require reporting of both the number of
enforcement instruments as well as the estimated value of the response work and/or cash
payments toward future response costs pursuant to each of those instruments.
EXHIBIT X.11. TOTAL RESPONSE COMMITMENT REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Consent Decree
EPA
Finish: Date the CD is entered by the court, under
section 106 or sections 106/107 for PRPs to conduct or
pay for the response action (ESI/RI, RI, RI/FS, FS,
RD, RA, groundwater monitoring activities post-ROD,
institutional controls, time critical orNTC removal).
This date is recorded in SEMS as the finish date.
September 3 0,2015
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FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Unilateral Administrative Order
Administrative Order on
Consent or Consent Agreement
Judicial/Civil Judgment
Bankruptcy Settlement
Enforcement Action
Amendment
EPA
Finish: Date the UAO is signed by the Regional
Administrator or delegate for response work, and at
least one of the PRPs has provided notice of intent to
comply unconditionally. Commitment credit is given
on the date of the PRPs written notice of intent to
comply with the order. This is reported in SEMS as the
finish date of the Notice of Intent to Comply sub-work
package.
Finish: The date the AOC or CA is signed by the
Regional Administrator or delegate for PRPs to
perform or pay for an ESI/RI, RI, RI/FS, FS, time
critical or NTC removal, RD, monitored natural
attenuation, institutional controls, or groundwater
monitoring post-ROD. The date the AOC or CA is
signed is reported in SEMS as the finish.
Commitment credit is also given when an AOC or CA
is signed that provides protection from potential future
liability to a prospective purchaser that is
implementing the remedy. The Enf Instrument
Category Selected = Prospective Purchaser
Agreement.
Finish: The conclusion of a Section 106, or Section
106/107 judicial action by final judgment for PRPs to
conduct or pay for the response action. Credit for a
Judicial/Civil Judgment is given on the date on which
the final judgment is signed by the judge and entered
by the court. This date is recorded in SEMS as the
finish date.
Finish: The conclusion of a claim in bankruptcy
proceedings by final judicial settlement. Credit is
given for a Bankruptcy Settlement to pay for future
response work on the date the bankruptcy settlement is
entered by the court and recorded in SEMS as the
finish. The allowed settlement amount for future
response work should be entered into SEMS.
Finish: The signature date that an existing
enforcement instrument is amended to include
additional cleanup activities. The date the amendment
is signed is the finish date and should be recorded in
SEMS. Amended enforcement instruments will count
for credit in the current fiscal year as well as in the
program-to-date commitment amount.
FY 16 SPIM
X-15
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Total Response Commitments will be reported as a combined total of CDs, CAs, AOCs,
JGs, Bankruptcy Settlements, Generic Settlements and Orders, Enforcement Action
Amendment, and UAOs where response actions have been achieved and/or parties agree
to make cash payments toward future response costs at a site. The value of Total Response
Commitments is based on the estimated value of PRP response work and/or payments made
by responsible parties toward future response costs at a site as well as the allowed claim
amount for bankruptcy settlements.
If a PRP initially complies with a UAO, credit will be given for the UAO when the first
PRP provides written notice of intent to comply. If, at a later date, the PRP agrees to a CD
for the same work, credit will be given for the CD when it is entered by the court. At this
point the region will receive credit for the CD only and not the UAO. When adding the CD
activity, the region should identify the UAO as the predecessor action in SEMS and enter
the estimated value of the UAO in SEMS as the estimated value of the CD if the CD covers
the same work. If the CD covers more work than the UAO it replaces, a revised estimate
may be necessary. The SEMS reporting requirements for the CD apply.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference are completed, including payment provisions and
monitoring (with the exception of any activity related to record retention).
Instruments that have been 'closed' after all work obligations have been completed should
be designated as such by using the compliance status value 'Work Under Order/Settlement
Completed (WOSC)' in SEMS. When appropriate, the 'Closed Order or Settlement' sub-
work package in SEMS should also be used indicating that all obligations under the
enforcement instrument (i.e., both work and payment obligations) are complete. In
addition, a UAO that is converted to a CD is no longer active.
Special Planning/Reporting Requirements:
The following information should be reported in SEMS for settlements, orders and
amended enforcement instruments for response: Law Section; the appropriate Enforcement
Instrument Categories Selected; Parties Associated with the enforcement instrument;
applicable Response Actions Pd by Parties: Other Relief Achieved; Work the PRP Will
Perform - Value; Federal Costs Settled - Future; and Financial Assurance Provisions.
Settlement credit will be given for an AOC or CA with a Prospective Purchaser Agreement
(PPA), Prospective Lessee Agreement (PLA), BFPP, Contiguous Property Owner (CPO)
or Windfall Lien Resolution (WL) Agreement with BFPP if PPA, PLA, BFPP, CPO, or
WL is the selected enforcement instrument category.
The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Subsequent Site) should be entered in SEMS on the Enforcement Instrument Screen
for a single settlement covering multiple sites in order to apportion the dollars correctly
across individual sites without double counting the settlement.
Dollars received in a cashout settlement should be deposited in an interest bearing Special
Account if site-specific conditions warrant. See the measure, Settlements Designating
September 30, 2015 X-16 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Deposits to Special Accounts, for more information. The 'Work the PRP Will Perform -
Value' and 'Federal Costs Settled - Future' (i.e., the value of total response commitments)
will be reported annually to Congress.
m. Volume of Contaminated Media Addressed (VCMA)
In the fiscal year 2014 - 2018 EPA Strategic Plan, the Superfund enforcement program is
under Goal 5: Protecting Human Health and the Environment by Enforcing Laws and
Assuring Compliance (the Strategic plan can be found at:
http://epa.gov/planandbudget/strategicplan.html). Within Goal 5, Superfund enforcement
is part of Objective 5.1 - Enforce Environmental Laws to Achieve Compliance. The
Volume of Contaminated Media Addressed (VCMA) is one of several GPRA measures to
support cleaning up communities and advancing sustainable development under Goal 5,
Objective 5.1. The measure, which affects the Superfund enforcement and Resource
Conservation and Recovery Act (RCRA) Corrective Actions programs, is as follows:
By 2018, obtain commitments to clean up 1,025 million cubic yards of contaminated soil
and groundwater media as a result of concluded CERCLA and RCRA corrective action
enforcement cases.
Superfund VCMA data for contaminated soil and/or water should be entered into the
Integrated Compliance Information System (ICIS) for the following actions:
Superfund remedial actions, at the time an enforcement document is finalized (e.g.
issuance of a unilateral order or corrective action order, signing of an agreement on
consent or CD) using data available from the RI, FS, and/or ROD (or any other
relevant data).
Superfund non-time critical removal actions, at the time an enforcement document
is finalized using data available from the engineering evaluation/cost analysis,
and/or the action memorandum (or any other relevant data).
Superfund time critical removal actions, at the time an enforcement document is
finalized using data available from the action memorandum (or any other relevant
data). Sometimes few data are available for such cases at the time of the action
memorandum. If insufficient data exist for an estimate at the time of the action
memorandum, the value for the measure should be entered at the soonest practical
time after the settlement as data are available to calculate the measure, with the
caveat that the best available value for the measure should always be entered in the
same fiscal year in which the enforcement document is finalized.
The OECA GPRA measure is a national measure. As such, the regions are not required to
post targets in the Annual Commitment System. Information for this target is entered into
OECA's ICIS database. Further information on calculating the VCMA measures may be
found in the 'Final Methodology for Estimating Superfund and RCRA Corrective Action
(CCDS) Environmental Benefits 12-12-03'.
FY 16 SPIM X-17 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement
The CERCLA compliance monitoring module in SEMS has been established to track
instances of substantial noncompliance (SNC) with active CERCLA response enforcement
instruments. The SNC tracking system is described in the joint Office of Site Remediation
Enforcement (OSRE) and the Federal Facilities Enforcement Office (FFEO) 'Guidance on
Determining and Tracking Substantial Noncompliance with CERCLA Enforcement
Instruments in CERCLIS' (August 24, 2009), which remains applicable to compliance
monitoring in SEMS.The system tracks compliance with active CERCLA enforcement
instruments that include work obligations. The guidance defines work obligations broadly
to encompass all non-payment obligations contained in a CERCLA enforcement
instrument, including reporting requirements, submission of work plans, performance of
work, provision of financial insurance, and implementation of institutional controls.
The SNC tracking system and this measure are intended to help EPA prioritize the most
serious violations and ensure a timely and appropriate enforcement response to them that
results in a return to 'Not in SNC' status or otherwise appropriately addresses those
violations. In addition, the compliance tracking system will help EPA identify and analyze
regional and national trends in addressing substantial noncompliance. This measure builds
on the SNC tracking guidance to track the timeliness and nature of regional responses to
instances of SNC by identifying enforcement instruments that have been in SNC status for
two or more quarters without being addressed through formal enforcement action or
returned to non-SNC status.
EXHIBIT X.12. SUMMARY OF SEMS COMPLIANCE STATUS VALUES
Compliance Status
Compliance Status
Reviewed - Not In SNC
(SRNF)
In SNC - Informal Action
Planned (IIAP)
In SNC - Informal Action
Taken (HAT)
In SNC - Formal Action
Planned (IFAP)
In SNC - Formal Action
Taken (IF AT)
In SNC - Informal Action
Formal
Enforcement
Taken?
Not
applicable
No
No
No
Yes
Yes
Description
The region has completed its review of PRP compliance with
work obligations under the enforcement instrument and has
determined based on available information that it is not in
SNC. This value should also be used when an enforcement
instrument was previously found to be in SNC and is no
longer in SNC.
The enforcement instrument is in SNC as to work obligations
and the region is planning to take an informal enforcement
action such as a phone call, a warning letter, or a warning e-
mail.
The enforcement instrument is in SNC as to work obligations
and the region has taken an informal enforcement action such
as a phone call, a warning letter, or a warning e-mail.
The enforcement instrument is in SNC as to work obligations
and the region is planning to take a formal enforcement action
by invoking the penalty or other formal mechanisms outlined
in the enforcement instrument.
The enforcement instrument is in SNC as to work obligations
and the region has taken a formal enforcement action by
invoking the penalty or other formal mechanisms outlined in
the enforcement instrument.
The enforcement instrument was in SNC as to work
September 3 0,2015
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FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Taken and Compliance
Accomplished (IIAC)
In SNC - Formal Action
Taken and Compliance
Accomplished (IF AC)
In SNC -In Dispute
Resolution (IIDR)
In SNC - Referred to
DOJ (IDOJ)
In SNC - Fund Takeover
(IFTO)
Decision Not to Pursue
Violations (DNPV)
Work Under
Order/Settlement
Completed (WOSC)
Yes
Yes
Yes
Yes
Yes
Not
applicable
obligations and the region took informal enforcement action,
with the result that the instrument was no longer in SNC by
the end of the quarter. Use only where SNC was identified
and resolved in a single quarter.
The enforcement instrument was in SNC as to work
obligations and the region took formal enforcement action,
with the result that the instrument was no longer in SNC by
the end of the quarter. Use only where SNC was identified
and resolved in a single quarter.
Should be used in lieu of 'In SNC - Formal Action Taken'
when the formal dispute resolution provisions of the
enforcement instrument have been invoked with respect to
work obligations.
Noncompliance has been addressed by referral to the
Department of Justice. This also includes instances where a
case is sent to DOJ to file a bankruptcy proof of claim when a
PRP who was performing work has entered bankruptcy. This
level of specificity is required to allow HQ to track whether
DOJ is taking action in accordance with the IA. This value
should be used in lieu of 'In SNC - Formal Action Taken'.
Noncompliance has been addressed by fund takeover of the
work addressed by the enforcement instrument.
The region decided not to pursue violations. Primarily for use
when no work remedy is available and the region decides not
to pursue penalties.
All of the work obligations under the enforcement instrument
have been completed to the satisfaction of EPA.
Special Planning/Reporting Requirements:
For each response enforcement instrument that reports a 'Decision Not to Pursue
Violations (DNPV)', the region is required to briefly describe, in the Compliance Status
Comment Field, the nature of the noncompliance and the rationale for deciding not to
pursue the violations.
For each response enforcement instrument that has been in SNC status for two or more
consecutive quarters and not yet addressed by formal enforcement action, the region is
required to briefly describe, in the Compliance Status Comment Field, the nature of the
noncompliance and the informal enforcement action taken or the formal or informal
enforcement action planned to address the noncompliance.
All compliance status comment fields will be considered enforcement sensitive and will
not be subject to release under the Freedom of Information Act (FOIA).
Frequency of Reporting:
Regions should update the compliance status of all open enforcement instruments in SEMS
on a quarterly basis for all active response instruments where remedy construction is not
yet completed. Once all actions addressed by an enforcement instrument are 'Construction
Complete' and the operable unit(s) at which those actions were completed is in either the
Operations and Maintenance phase or the Long Term Remedial Action phase, the
frequency of compliance status reporting can be reduced to annually.
FY 16 SPIM
X-19
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Once a region makes an initial 'Not in SNC' determination for an access-only enforcement
instrument, further compliance status determinations will not be required unless a
subsequent limitation or denial of access occurs, in which case quarterly determinations
will be required until the region once again determines that the instrument is 'Not in SNC'
status.
Instruments that have been 'closed' after all non-payment work obligations have been
completed should be designated as such by using the compliance status value 'Work Under
Order/Settlement Completed (WOSC)' in SEMS. When appropriate, the 'Closed Order or
Settlement' milestone in SEMS should also be used indicating that all obligations under
the enforcement instrument (i.e., both work and payment obligations) are complete.
o. Total Amount of Response Commitments Secured through Financial Assurance
Financial responsibility requirements ensure that responsible parties have the resources to
complete cleanup work obligations they assume under CERCLA enforcement instruments.
Financial assurance provides protection against liable parties who default on their cleanup
obligations, which would subsequently shift the burden for these costs to state and federal
taxpayers. Enforcement instruments requiring CERCLA cleanup work should include
financial assurance provisions where appropriate. This measure counts the total universe
of CERCLA enforcement instruments where parties have agreed to provide financial
assurance to secure site cleanup. In addition, the measure will report the total amount of
financial assurance provided by the parties pursuant to each instrument.
For all enforcement instruments at non-Federal Facility NPL, SAA, and non-NPL sites
where there is cleanup work and the parties have agreed to provide financial assurance to
secure the response work, this measure will report the:
1. Total number of enforcement instruments with financial responsibility provisions;
2. Total number of enforcement instruments where financial assurance was provided;
and
3. Amount (dollar value) of financial assurance provided responsible parties to secure
response commitment costs.
Special Planning/Reporting Requirements:
For enforcement instruments included as a part of this measure see the Total Response
Commitments definition of accomplishment. Because financial assurance provides
security that a site cleanup will be completed, enforcement instruments for cost recovery
only or the cost recovery component of an enforcement instrument will not be counted in
this measure. Regions must answer Yes or No to the question Financial Assurance
Required on the SEMS Enforcement Instrument Screen when entering the details of the
enforcement instrument.
In addition, the following information should be entered in SEMS under the Financial
Assurance tab of the Enforcement Instrument Screen when an answer of Yes is indicated:
The amount or face value of financial assurance provided; Financial Assurance mechanism
provided (i.e., Trust Fund, Letter of Credit, Payment or Performance Bond, Insurance
September 30, 2015 X-20 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Policy, Financial Test, Corporate Guarantee); Financial assurance issuer; and where
applicable the Financial assurance mechanism expiration date.
Generally, responsible parties agree to provide financial assurance within 30 days of the
entry of the CD, upon completion of the AOC or Consent Agreement (CA), or when
complying with the UAO.
p. De Minimis Settlements and Number of Parties
This measure reports the total number of administrative or judicial settlements that are
reached under section 122(g) of CERCLA, with PRPs qualified as de minimis. This type
of settlement results in PRPs paying a minor portion of the estimated response costs at the
site, and is embodied in a CD or an AOC. If the total response costs at the site exceed
$500,000 (excluding interest), the AOC can only be signed by the Regional Administrator
or delegate after prior written approval from DOJ. If DOJ does not approve or disapprove
the order within 30 days, the order is considered approved and can then be signed by the
region. The DOJ and the Regional Administrator or delegate can agree to extend the 30-
day period if necessary.
This measure will count the total number of de minimis settlements under section 122(g),
the number of PRPs who sign such settlements, and the number of sites at which de minimis
settlements were signed.
EXHIBIT X.13. DE MINIMIS SETTLEMENT REQUIREMENTS
WorkPackage
Activity/Milestone ' -
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Administrative Order on
Consent
Consent Decree
EPA
EPA
Finish: The data the AOC is signed bv the Regional
Administrator or delegate. The date the AOC is signed
is reported in SEMS as the finish.
Finish: The date the CD signed bv the Regional
Administrator and the de minimis parties is transmitted
to DOJ or HQ. The date of the transmittal
memorandum is reported in SEMS as the CD start
date.
The number of signatories to the settlement is system generated in SEMS from the
identification of the PRPs who have signed the settlement.
Special Planning/Reporting Requirements:
The following information should be entered into SEMS.
Enforcement Instrument Categories Selected of de minimis;
PRPs that signed the settlement (Parties Associated with Action, Party Name);
Dollar amount that will be used for current, future, or past work covered by the
settlement (Work PRP Will Perform - Value, Federal Costs Settled - Past and/or
Federal Costs Settled - Future [as applicable]); and
FY 16 SPIM
X-21
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
Applicable Response Actions Pd by Parties, Other Relief Achieved, or Response
Actions Reimbursed. To indicate the de minimis PRPs that signed the settlement,
the following information must be entered for each party on the Party
Search/Information, Involvement tab:
Basis of Liability of 'De Minimis party'; and
Involvement Type of 'Owner', 'Generator' or 'Transporter'.
Since many de minimis settlements are cashouts, regions also must enter an Enforcement
Instrument Category of 'Cashout'. Dollars received in a de minimis cashout settlement
should be deposited in an interest bearing Special Account if site-specific conditions
warrant. See the Settlements Designating Deposits to Special Accounts measure for
additional information. The number of signatories to the settlement is system generated
from the identification of the PRPs who have signed the settlement.
q. Section 106,106/107,107 Case Resolution (Including Claim in Bankruptcy)
Case resolution is the conclusion of a Section 106, 106/107, 107 judicial action, or Claim
in Bankruptcy by full settlement, case dismissal, case withdrawal, or final judgment.
EXHIBIT X.14. SECTION 106,106/107,107 CASE RESOLUTION (INCLUDING CLAIM IN
BANKRUPTCY) REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Consent Decree/Bankruptcy
Settlement
EPA
Start/Finish: The date the CD or Bankruptcy
Settlement is signed by the judge fully addressing the
complaint with all parties and entered in the court.
This is the finish date of the CD or Bankruptcy
Settlement and the work package 'Entered By Court'
as well as the litigation or bankruptcy finish date in
SEMS.
Litigation Outcome: Case
Withdrawn
EPA
Start/Finish: The date the region receives a memo or
letter from DOJ withdrawing the case. This is the
finish date of the work package Litigation Outcome:
Case Withdrawn and the litigation or bankruptcy finish
date in SEMS.
Litigation Outcome: Case
Dismissed
EPA
Start/Finish: The date a decision document is
submitted by the judge dismissing the case. This is the
finish date of the work package Litigation Outcome:
Case Dismissed and the litigation or bankruptcy finish
date in SEMS.
Litigation Outcome: Judgment
EPA
Start/Finish: The date a trial has concluded and a
judgment is rendered and signed by the judge fully
addressing the complaint. This is the finish date of the
Judgment and the work package 'Entered By Court'
and the Litigation Outcome: Judgment as well as the
litigation finish date.
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r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy
Past Costs Addressed>$500,000 is the decision either to take cost recovery action by use
of administrative cost recovery settlement, to transmit a Section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a CD (with no prior
litigation referral), to prepare a decision document or 10-point settlement analysis
document not to pursue cost recovery, or to file a claim in bankruptcy.
This measure covers cases where EPA has incurred Superfund costs > $500,000. It is vital
to the management of the cost recovery program that sites with upcoming Statute of
Limitations (SOL) be addressed prior to the expiration of the SOL. Therefore, regions will
not be allowed to substitute targeted sites that have SOLs occurring within the current FY
or in the first quarter of the upcoming F Y.
EXHIBIT X.15. PAST COSTS ADDRESSED >$500,000 REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Administrative Order on
Consent
EPA
Start/Finish: The date the Regional Administrator or
delegate signs the AOC that recovers 100% of EPA
expenditures or settles a claim where the total response
costs are less than $500,000. The date the AOC is
signed is reported in SEMS as the finish.
Consent Agreement
EPA
Start/Finish: The date the Regional Administrator or
delegate signs the CA that recovers 100% of EPA
expenditures or settles a claim where the total response
costs are less than $500,000. The date the CA is signed
is reported in SEMS as the finish.
Administrative Voluntary Cost
Recovery
EPA
Start/Finish: The date the regional office or DOJ
receives payment from the PRPs in direct response to a
demand letter for voluntary cost recovery. The finish
date of the Administrative Voluntary Cost Recovery is
also the finish date of the Payment Received work
package that is associated with the Demand Letter
Issued work package in SEMS.
Litigation (Generic), or Section
107 Litigation, or Section
106/107 Litigation
EPA
Start/Finish: Credit for addressing past costs is given
on the date of the Regional Administrator's memo
transmitting the referral to DOJ or HQ. This is also the
litigation start date in SEMS.
Consent Decree
EPA
Start/Finish: Credit for addressing past costs is given
for CD for RD/RA with a cost recovery component or
CDs for cost recovery only that were not the result of a
prior litigation referral. Credit is given on the date of
the Regional Administrator's memo transmitting the
CD to DOJ or HQ. This is also the CD start date in
SEMS.
Cost Recovery Decision
Document - No Sue
EPA
Start/Finish: Signature date of the decision document.
This is also the Cost Recovery Decision Document -
No Sue finish date in SEMS. The past costs that will
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Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
not be recovered and the reason the costs were written
off should be reported in SEMS.
10-Point Settlement
EPA
Start/Finish: The decision not to pursue cost recovery
may be documented in an enforcement instrument 10-
point settlement analysis. This is also the finish date of
the 10-Point Settlement work package in SEMS. The
past costs that will not be recovered and the reason the
costs were written off should be reported in SEMS.
Claim in Bankruptcy
Proceedings
EPA
Start/Finish: The date the claim in bankruptcy
proceedings is transmitted to DOJ. This is also the
Claim in Bankruptcy Proceedings start date in SEMS.
For each claim in bankruptcy, the 'Federal Costs
Sought - Past' must be entered into SEMS.
Special Planning/Reporting Requirements:
All dates must be entered into SEMS. Credit for referrals is based on the referral package,
not on the number of sites. Credit will be withdrawn if a case is returned to the region by
DOJ or HQ for additional work but will be reinstated upon re-referral. For each judicial
referral, regions must enter 'Federal Costs Sought - Past' into SEMS.
AOC and CA settlements that do not recover 100% of the Trust Fund expenditures or
compromised total response costs are more than $500,000 must be sent to DOJ for approval
prior to signature by the Regional Administrator or delegate. CD settlements for cost
recovery that result from a previous litigation referral do not count towards this target. For
each settlement, the region must enter 'Federal Costs Settled - Past' into SEMS.
For each Claim in Bankruptcy, the 'Federal Costs Sought - Past' must be entered in SEMS.
Regions must take credit for addressing past costs via a Claim in Bankruptcy Proceedings
during the fiscal year in which the action was taken. If, as is often the case, a bankruptcy
settlement is reached in a later fiscal year and credit for addressing past costs was not taken
at the time of the claim in bankruptcy, regions will not receive credit for addressing past
costs in the fiscal year in which the bankruptcy settlement occurs. Regions will however
receive credit under Total Response Commitments in the FY in which the bankruptcy
settlement is entered.
Accomplishments are reported on a site-specific basis. Any changes to the target require
prior approval by the OSRE. This is a GPRA annual performance goal.
When the statute of limitations (SOL) has been tolled, a Tolling Agreement activity should
be entered in SEMS for the appropriate action with a start date (i.e., the effective date of
the tolling agreement) and a planned finish date (the date the tolling agreement is set to
expire). Once the tolling agreement has expired the expiration date should be entered in
SEMS as the finish date. If the tolling agreement is extended, which is often the case, a
new Tolling Agreement activity should be established in SEMS with a start date the same
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as the finish date of the prior Tolling Agreement activity to maintain a history of the tolling
agreement extensions.
s. Total Cost Recovery Settlements (Including Dollar Value)
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements where the parties agree to pay past costs to the Agency. This measure
will require reporting of both the number of settlements as well as the value of the past
costs to be recovered pursuant to each of these settlements.
EXHIBIT X.16. TOTAL COST RECOVERY SETTLEMENTS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Consent Decree
Administrative Voluntary Cost
Recovery
Administrative Order on
Consent or Consent Agreement
Judicial/Civil Judgment
Bankruptcy Settlement
EPA
Finish: The date the CD is entered by the court for CD
settlements for RD/RA with a cost recovery
component, or CDs for cost recovery only. This date is
recorded in SEMS as the CD finish date.
For CD settlements that are for cost recovery only and
result from a previous litigation referral, regions
should not record a CD start date.
Finish: The date the regional office or DOJ receives
payment from the PRPs in direct response to a demand
letter for voluntary cost recovery. The finish date of
the Administrative Voluntary Cost Recovery is also
the finish date of the Payment Received work package
that is associated with the Demand Letter Issued work
package in SEMS.
Finish: The date the AOC or CA is signed by the
Regional Administrator or delegate for cost recovery.
The date the AOC or CA is signed is reported in
SEMS as the finish.
Finish: The conclusion of a Section 106/107 judicial
action by final judgment with a cost recovery
component, or for cost recovery only. Credit for a
Judicial/Civil Judgment is given on the date on which
the final judgment is signed by the judge and entered
by the court. This date is recorded in SEMS as the
finish.
Finish: The conclusion of a claim in bankruptcy
proceedings by final judicial settlement. Credit is
given for a Bankruptcy Settlement where cost
recovery had been achieved on the date the bankruptcy
settlement is entered by the court. The date is recorded
in SEMS as the finish. The allowed settlement amount
for cost recovery should be entered into SEMS.
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Special Planning/Reporting Requirements:
Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs,
Administrative/Voluntary Cost Recovery actions, JGs, USs and AOCs where cost recovery
has been achieved.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference is completed including payment provisions and
monitoring (with the exception of any activity related to record retention). Instruments for
cost recovery only that have been 'closed' after all payment obligations have been
completed should be designated as such by using the 'Closed Order or Settlement' sub-
work package in SEMS.
Instruments that have been 'closed' after both work and payment obligations have been
completed should be designated as such by using the compliance status value 'Work Under
Order/Settlement Completed (WOSC)' in SEMS and the 'Closed Order or Settlement' sub-
work package in SEMS indicating that all obligations under the enforcement instrument
(i.e., both work and payment obligations) are complete.
The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Subsequent Site) should be entered in SEMS on the Enforcement Instrument Screen
for a single settlement covering multiple sites in order to apportion the dollars correctly
across individual sites without double counting the settlement.
The following information must be reported in SEMS for past cost settlements: Parties
Associated with the enforcement instrument; Response Actions Reimbursed by Parties:
Other Relief Achieved; Federal Costs Settled - Past.
This measure will be reported in the ENFR-03 report. The 'Federal Costs Settled - Past'
(i.e. the value of costs recovered) will be reported annually to Congress.
t. Total Value of PRP Oversight
EPA incurs oversight costs while overseeing cleanup work performed and paid for by PRPs
at Superfund sites. EPA bills PRPs for its oversight costs in accordance with the 'future
cost' payment provision contained in settlement agreements where PRPs have agreed to
perform work at their sites. To ensure that site work is properly performed by PRPs, and
in accordance with the terms of the settlement agreement, EPA will oversee the PRPs'
work and will bill the PRPs for the cost of its oversight work each year.
When a PRP is scheduled to be issued an oversight bill, the region will compile its oversight
costs site-specifically using the Superfund Cost Recovery Package and Image On-Line
System (SCORPIOS). SCORPIOS is a report generator that compiles costs site-
specifically from Compass, the Agency's official accounting system, and includes images
of supporting cost documentation in a comprehensive cost recovery package. SCORPIOS
is used to prepare a detailed cost summary of the site costs, which includes direct and
indirect costs, needed to prepare the bill. Once the costs have been reviewed and verified
by regional officials as being correct/accurate, the region will prepare a bill and transmit it
to the PRP.
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OSWER Directive 9200.3-15-1G-Z
Afterward, a copy of the bill is provided to the Office of the Chief Financial Officer's
(OCFO) Cincinnati Finance Center (CFC) so that a corresponding accounts receivable can
be recorded and tracked to ensure that payment is made. The oversight amount reported by
OSRE as part of its end of year accomplishments data is based on amounts billed by the
regions and subsequently recorded by CFC as accounts receivable for that year.
u. Number and Amount of CERCLA Penalties Assessed
This measure supports the goal of Trust Fund Stewardship by providing information on the
amount and number of final CERCLA penalties assessed. The measure identifies monies
that are provided for the Trust Fund as a result of penalties assessed for violations of the
CERCLA statute. The measure also supports the systematic reporting on the programmatic
impacts of compliance and enforcement.
This measure is expressed as the dollar amount of the final assessed penalty under
CERCLA. For civil judicial cases, this amount is the penalty assessed against the
defendant(s) as specified in the CD or Court Order entered by the court or agreed to by the
defendant(s). For administrative cases, it is the penalty agreed to in the final AOC or
assessed directly by EPA under sections 109(a) and (b) of CERCLA.
The number of CERCLA penalties assessed is the total number of enforcement actions
(CDs, AOCs, judgments, or court orders) where a penalty was assessed under a CERCLA
statute, including actions that are only for CERCLA or multi-media actions that contain a
CERCLA component.
The value of CERCLA penalties assessed is the total dollar amount of penalties assessed
under the CERCLA statute for violations of requirements contained in civil, judicial, and
administrative enforcement actions. If the enforcement action consists of multi-media
actions, this measure will only include the amount that is assessed under the CERCLA
statute, to the extent that it can be specified.
Special Planning/Reporting Requirements:
The ' Stipulated Penalty Assessed - Amount Imposed' and/or ' Statutory Penalty Assessed
- Amount Imposed' should be entered into ICIS Official end of year numbers and values
for Stipulated Penalties are reported by the Office of Enforcement and Compliance
Assurance using information from ICIS.
v. Number of Settlements Where EPA Settled Based on Ability-to-pay
Determinations
The measure will help assess the extent to which EPA is using ability-to-pay
determinations to achieve its goal of enforcement fairness. The measure will report the
number of administrative or judicial settlements that are reached under CERCLA with
PRPs qualified as limited ability-to-pay parties. This type of settlement results in: 1) PRPs
paying less than their respective portion of the cost for site cleanup based on an ability-to-
pay determination; 2) Payment over time for parties with limited ability to raise annual
revenues; or 3) Parties providing in-kind service in lieu of cash payments.
Total ability-to-pay settlements are counted as follows:
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT X.17. ABILITY-TO-PAY DETERMINATION REQUIREMENTS
WorkPackage
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with the ability-to-
pay PRPs is signed by the Regional Administrator or
delegate. The date the AOC or CA is signed is
reported in SEMS as the finish.
Consent Decree
EPA
Finish: The date the CD is signed by the Regional
Administrator and the ability-to-pay parties and
transmitted to DOJ or HQ. The date of the transmittal
memorandum is reported in SEMS as the CD start
date.
Special Planning/Reporting Requirements:
An Enforcement Instrument Categories Selected of 'Ability to Pay' should be entered into
SEMS.
w. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs)
In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled
the Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments'). Among other things, the Brownfields Amendments provide a limitation on
liability for persons who qualify as BFPPs. The intent of Congress in enacting this
provision was to remove certain liability barriers to purchases of property and encourage
redevelopment.
Although EPA understands that the necessity for agreements with prospective purchasers
has been largely eliminated by the Amendment, the Agency recognizes that, in limited
instances, the public interest will be served by entering into agreements with PPAs and
PLAs, as well as BFPPs who will perform work exceeding reasonable steps at a site of
federal interest.
For the purpose of reporting, this measure will count;
1. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for bona fide prospective purchasers.
2. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective purchasers.
3. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective lessees.
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EXHIBIT X.18. BFPP AGREEMENT, PPA, AND PLA REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Administrative Order on
Consent or Consent Agreement
Consent Decree
EPA
Finish: The date an AOC or CA with a BFPP, PPA
or PLA component is signed by the Regional
Administrator or delegate. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Finish: Date the CD with a BFPP, PPA or PLA
component is entered by the court. The date the CD is
entered is reported in SEMS as the CD finish.
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category should be entered
into SEMS: 'Bona Fide Prospective Purchaser'; 'Prospective Purchaser Agreement'; or
'Prospective Lessee Agreement'. For additional SEMS reporting requirements see Total
Response Commitments.
x. Issuance of Comfort/Status Letters
Parties interested in purchasing, developing, or operating certain properties are provided
information, upon request, regarding the potential for EPA actions. Comfort/status letters,
while providing some assurances, are intended solely for informational purposes and only
communicate EPA's intent with regard to enforcement or response authorities.
Comfort/status letters do not provide a release from CERCLA liability, and therefore, are
not considered 'no action assurances'. Any response to a solicitation for information on
EPA's involvement or potential involvement/interest in a property qualifies as a
comfort/status letter.
EXHIBIT X.19. COMFORT STATUS LETTER REQUIREMENTS
Work Package
Activity/Milestone
Comfort Status Letter
Performance
Lead
EPA
Milestone/Activity Date Requirements
Start/Finish: The date the letter is signed bv the
appropriate regional official.
Special Planning/Reporting Requirements:
Regions should track the property/site specific issuance of comfort/status letters in SEMS.
For each comfort/status letter that is a windfall lien or reasonable steps comfort letter,
regions should enter the Action Qualifier of 'Windfall Lien' or 'Reasonable Steps'
respectively into SEMS.
y. Contiguous Property Owners (CPOs)
In 2002, the Small Business Liability Relief and Brownfields Revitalization Act
(Brownfields Amendments) amended CERCLA to provide liability protection to
Contiguous Property Owners (CPOs). CERCLA section 107(q) excludes from the
definition of 'owner or operator' under CERCLA sections 107(a)(l) and (2) a person who
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owns property that is 'contiguous to or otherwise similarly situated with respect to, and
that is or may be contaminated by a release or threatened release of hazardous substances
from' real property owned by someone else. While CERCLA section 107(q), like other
provisions in the Brownfields Amendments, is designed to grant landowner liability
protection without any action from or involvement of EPA, in CERCLA section
107(q)(3)(b), Congress expressly conferred upon EPA the ability to grant a CPO protection
against a cost recovery or contribution action under CERCLA section 113(f). EPA believes
congressional intent in passing this provision was to provide additional protection to CPOs
who have been sued or where there is the real and substantial threat of litigation. It is the
Agency's view that the assurance can also remove the stigma associated with being
neighbors of contaminated properties, as well as facilitate development.
For the purpose of reporting, this measure will count: The number of finalized settlement
agreements (AOCs and CAs) that include contiguous property owner provisions.
EXHIBIT X.20. CONTIGUOUS PROPERTY OWNER REQUIREMENTS
WorkPackage
Activity/Milestone ' -
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a CPO
component is signed by the Regional Administrator or
delegate. The date the AOC or CA is signed is
reported in SEMS as the AOC or CA finish.
For each settlement the appropriate Enforcement Instrument Category of 'Contiguous
Property Owner' should be entered in SEMS. For additional SEMS reporting requirements
see Total Response Commitments.
z. Windfall Lien Resolution - Finalized
In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled
the Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments'). Congress provided liability protection under CERCLA for bona fide
prospective purchasers to encourage the purchase and reuse of contaminated properties.
The windfall lien provision under section 107(r) applies to bona fide prospective
purchasers, whereas the older Superfund lien under section 107(1) applies to PRPs. EPA
may enter into a windfall lien resolution agreement with a purchaser if there is likely to be
a significant windfall lien needing resolution.
This measure will quantify the number of windfall lien resolution agreements signed. For
the purpose of reporting, this measure will count the number of finalized settlement
agreements (AOCs and CAs) that include the windfall lien resolution provisions.
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EXHIBIT X.21. WINDFALL LIEN RESOLUTION REQUIREMENTS
WorkPackage
Activity/Milestone ' -
Performance
Lead
Milestone/Activity Date Requirements
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a Windfall
Lien component is signed by the Regional
Administrator or delegate. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category of 'Windfall Lien'
should be entered in SEMS. For additional SEMS reporting requirements see Total
Response Commitments.
aa. PRP Oversight Administration
Through the Superfund Reform on the Administration of PRP Oversight (OS), EPA
recognizes the value of working together with PRPs with whom the Agency has settlement
agreements as a means to promote appropriate oversight that ensures the development and
implementation of protective cleanups; gives careful consideration to the associated costs
being charged to PRPs; and maximizes EPA recovery of oversight cost. This measure
reports EPA's efforts to work with PRPs to maximize the effectiveness and efficiency of
EPA oversight and to send timely bills for oversight.
This measure applies to all PRPs at non-Federal Facility NPL, SAA, and non-NPL sites
who:
Are conducting, under federal oversight, the non-time critical removal action
(NTCRA), RI/FS, RD, or RA phase of a cleanup, and
Have an AOC, CD, or other settlement document in place with EPA that provides
for payment of oversight costs.
EXHIBIT X.22. PRP OVERSIGHT ADMINISTRATION REQUIREMENTS
Work Package
Activity/Milestone -
Performance
Lead
Milestone/Activity Date Requirements
,
Site must be Non-Federal Facility NPL, non-NPL or SAA site
Offer to Discuss EPA Oversight
Expectations w/PRPs
Issuance of Oversight Bill
EPA
EPA
Start/Finish: The date the offer is made to PRPs to
discuss EPA's oversight expectations for upcoming
activities.
Start/Finish: The date an oversight bill consistent
with the enforcement instrument is issued to PRPs.
Special Planning/Reporting Requirements
The annual accomplishment measure shall be based on the number of agreements (as
described in the second bullet above) in place for PRP-lead events that will take place
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during the fiscal year. The date of the accomplishment for this measure is the later of the
dates documenting completion of each of the actions above.
For the purposes of this measure only, HQ shall assume, unless otherwise informed by the
regions, that PRPs that have entered into agreements with EPA will receive annual
oversight bills unless the settlement was entered into in the current fiscal year. In that event
no bill is required; however, the region will be expected to offer to meet with the PRPs to
discuss oversight expectations. The regions will identify those actions for which PRPs are
required to pay oversight costs.
bb. Settlements Designating Funds for Deposit to Special Accounts
This measure will assess the extent to which EPA is able to direct the deposit of settlement
funds into Special Accounts under CERCLA section 122(b) (3), in its efforts to increase
fairness and promote PRP settlements. EPA is able to retain and apply the interest from
these accounts to clean up the site at which the settlement occurred. Funds deposited in
Special Accounts are immediately accessible for response costs, but may only be used to
support response actions at the site(s) covered by the settlement. Funds deposited into a
Special Account may be the result of response costs achieved under: de minimis, ability to
pay, bankruptcy, cashout, Prospective Purchaser Agreement (PPAs), or other settlements.
For all CERCLA settlements where PRPs agree to make cash payments toward response
costs at a site (i.e. cashout and/or cost recovery settlements), the measure will report the
following:
The total number of cashout and cost recovery settlements, and the estimated
amount of response costs achieved from those settlements;
The number of settlements which designate funds for deposit to Special Accounts
for response costs, and the percentage of these settlements compared to the total
number of cashout and cost recovery settlements; and
The amount of funds designated for deposit to Special Accounts by the settlement
for response costs and the percentage of these funds, compared to the total amount
of response costs achieved from all cashout and cost recovery settlements.
EXHIBIT X.23. SETTLEMENTS DESIGNATING FUNDS FOR DEPOSIT TO SPECIAL
ACCOUNTS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is signed by the
Regional Administrator or delegate that includes a
payment provision where funds will be placed in a
Special Account. The date the AOC or CA is signed is
reported in SEMS as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered by the court, under
section 106, 107, or 106/107 that includes a payment
provision where funds will be placed in a Special
Account. This date is recorded in SEMS as the finish
date.
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Special Planning/Reporting Requirements:
This measure counts any settlement, where there is a payment provision for funds to be
deposited in a Special Account
Data that must be entered into SEMS for these settlements include:
Federal Costs Settled - Past (for Cost Recovery Settlements);
Federal Costs Settled - Future (for Cashout Settlements);
Enforcement Instrument Categories Selected (for Cashout Settlements);
Response Actions Paid by Parties (for Cashout Settlements);
Deposit to EPA Special Account; and
Special Account Deposit Provision Flag.
For additional SEMS reporting requirements see Total Response Commitments.
cc. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
This measure will quantify the number of settlements in which EPA has agreed to disburse
Special Account funds to PRPs for response actions at the site where the Special Account
funds were collected. Response actions can be removal or remedial, under administrative
or judicial settlements (under agency guidance, Special Account funds are not available to
parties performing work under a UAO).
For all CERCLA settlements where PRPs agree to conduct response actions at the site for
which the Special Account was created, the measure will report the following:
The number of response settlements which designate disbursement from Special
Accounts to PRPs who conduct the response action; and
The amount of funds designated to be disbursed from Special Accounts to PRPs in
response action settlements.
EXHIBIT X.24. SETTLEMENTS DESIGNATING FUNDS FOR DISBURSEMENT FROM SPECIAL
ACCOUNTS TO PRPS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Milestone/Activity Date Requirements
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is signed by the
Regional Administrator or delegate that includes a
disbursement provision. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered by the court, under
section 106, 107, or 106/107 that includes a
disbursement provision. This date is recorded in
SEMS as the finish date
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Special Planning/Reporting Requirements:
Data that must be entered into SEMS for these settlements include:
Response Actions Paid by Parties;
Work PRP Will Perform - Value;
Paid from Special Account; and
Special Account Disbursement Provisions Flag.
For additional SEMS reporting requirements see Total Response Commitments.
dd. Pre-Remedial Enforcement Action at Superfund Sites
The objective of this GPRA goal is for EPA to reach a settlement with PRPs or take an
enforcement action prior to the start of a RA at 99% of non-federal Superfund sites (with
RAs starting during the fiscal year) that have known, viable, liable parties.
This measure supports the goal of maximizing PRP participation at Superfund sites, thus
promoting 'EnforcementFirst'.
This measure counts non-Federal Facility NPL and PRP-financed SAA sites with:
1. PRP-fmanced RA starts (in the FY) as defined in chapter VIII, titled Remedial
Program.
2. Government-financed RA starts (in the FY) with prior enforcement action at the
site (as defined in chapter VIII, titled Remedial Program). Prior enforcement
actions at the site where the following dates of these actions are prior to the start
date of the Government-financed RA include:
Date the AOC, CA or UAO is signed by the Regional Administrator or
delegate. This does not include orders that are for access or information
only.
Date the CD settlement is referred by the Regional Administrator or
delegate to either DOJ or HQ.
Date the CD for cost recovery only resulting from a previous litigation
referral is entered by the court.
Date payment is received from the PRPs in response to a demand letter for
voluntary cost recovery.
Date of a litigation referral.
3. Government-financed RA starts (in the FY) with PRPs, at the site, but no
enforcement actions prior to the RA start: These are Government-financed RA
starts as defined in chapter VIII, titled Remedial Program, with no enforcement
actions at the site where the dates of these actions as specified in #2 above are prior
to the start date of the RA, but have viable, liable PRPs designated at the site (Parties
Associated with Site, Noticed/Enf Act flag is set, and Not PRP Determination Made
flag is not set).
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X.A.7 Institutional Controls and Site Revitalization
a. Institutional Controls
Institutional Controls are 'mechanisms/instruments', such as administrative and legal
controls, used to minimize potential human exposure to contamination and to protect the
integrity of Superfund response remedies.
This SPIM measure should capture legal/enforcement efforts to ensure all necessary
Institutional Controls (ICs) are in place at all identified Superfund sites. Institutional
'Mechanisms/instruments' include: proprietary controls, governmental controls,
enforcement and permit tools with 1C components, and informational devices.
The following information should be reported for Construction Complete Superfund sites.
The number of 1C mechanisms/instruments to implement ICs required in a
Superfund document.
The number of sites where all ICs required by an EPA document(s) are in place.
b. Site Revitalization
This measure captures enforcement efforts to facilitate the cleanup and reuse of previously
used Superfund properties by addressing the liability concerns of non-liable parties at those
sites.
Enforcement accomplishments will be based on the number of Superfund sites that are
sitewide 'ready for anticipated use' (RAU), and where an enforcement document(s) was
involved (see below) to address/resolve liability concerns. (The universe is identified as
Superfund sites for Office of Solid Waste and Emergency Response's [OSWER] Sitewide
RAU GPRA measure [estimated at 30-35 for FY08], final or deleted NPL construction
complete sites where all cleanup goals related to land use are achieved, and sites where all
ICs are in place.)
Number of Superfund acres at RAU sites (determined by operable unit) where an
enforcement document(s) was involved (see below) to address/resolve liability concerns.
(The universe is identified as Superfund sites for OSWER's Cross-Program Revitalization
Measure [CPRM]: Proposed, final and deleted NPL sites, SAA sites, NTCRA sites; sites
where all cleanup goals related to land use are achieved, and sites where all ICs are in
place.)
Enforcement Measure of Accomplishment:
Enforcement will track enforcement documents produced at RAU sites which address
potential liability under CERCLA as amended through enactment of Public Law 107-
118, the Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments') of January 2002:
Comfort/status letters that address liability concerns/issues - including reasonable
steps letters
Windfall Lien resolution agreements
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Work agreements with BFPPs
Contiguous Property Owner Agreements
Contiguous Property Owner Assurance Letters
PPAs
PLAs
Special Planning/Reporting Requirements:
Specific sites, operable units, and acreage will be identified by OSWER's CPRM.
Enforcement revitalization data will be pulled from SEMS. Credit for enforcement
accomplishments for the revitalization measure will be based on the finish date of the
enforcement instrument (Comfort/Status letter, Windfall Lien Resolution Agreement,
Work Agreement with Bona Fide Prospective Purchaser, Work Agreement with Bona Fide
Prospective Lessee, Prospective Purchaser Agreement, and Prospective Lessee
Agreement). Only finalized (signed by EPA) enforcement instruments (finish date) are
counted.
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Superfund Program Implementation Manual
FY16
Chapter XI: Community Involvement
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Chapter XI: Community Involvement
Table of Contents
XI.A Introduction XI-1
XI.B National Program Requirements XI-1
XI.B.I Program Goals and Objectives XI-1
XI.B.2 Regulatory and Policy Requirements XI-1
XI.B.3 Roles and Responsibilities XI-1
XI.B.4 Data Entry Timeliness XI-2
XI.C Community Involvement Activities XI-2
XI.C.I Overview of Community Involvement Activities XI-2
a. Community Advisory Groups (CAGs) XI-3
b. Technical Assistance Grants (TAGs) XI-3
c. Technical Assistance Services for Communities (TASC) XI-4
List of Exhibits
Exhibit XI.1. HQ and Regional Roles and Responsibilities XI-2
Exhibit XI.2. Community Advisory Groups Requirements XI-3
Exhibit XI.3. Technical Assistance Grants Requirements XI-3
Exhibit XI.4. TASC Requirements XI-4
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CHAPTER XI: COMMUNITY INVOLVEMENT
XI.A INTRODUCTION
Community involvement is the process of engaging in dialogue and collaboration with
community members throughout the Superfund process. Community Involvement activities
include Community Advisory Groups (CAGs), Technical Assistance Grants (TAGs), Technical
Assistance Services for Communities (TASC), Just In Time community services, and the
Superfund Job Training Initiative (Super JTI). These activities are the core components of the
Superfund Community Involvement and Program Initiatives Branch's (CIPIB) work to support the
Environmental Protection Agency's (EPA) Strategic Plan. While Restoration Advisory Boards
(RABs)/Site-Specific Advisory Boards (SSABs) involve community involvement activities, the
work of these Boards is addressed in the Federal Facilities section of the Superfund Program
Implementation Manual (SPIM).
The community involvement data tracked and reported by the program are currently in
review and may be modified in Superfund Enterprise Management System (SEMS) in the future.
The SPIM will be updated to reflect any system changes and to support the reporting of community
involvement information.
XI.B NATIONAL PROGRAM REQUIREMENTS
XI.B.l Program Goals and Objectives
The goal of Superfund community involvement is to advocate and strengthen early and
meaningful community participation during Superfund cleanups. Superfund community
involvement staffs at Headquarters and in the regions strive to:
Encourage and enable community members to get involved.
Listen carefully to what the community is saying.
Take the time needed to deal with community concerns.
Change planned actions where community comments or concerns have merit.
Keep the community well informed of ongoing and planned activities.
Explain to the community what EPA has done and why.
XI.B.2 Regulatory and Policy Requirements
Section 300 of the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP) and subsequent policy directives and guidance documents establish the requirements for
community involvement through every phase of Superfund's cleanup process. These requirements
are specifically outlined in appendix A of the Superfund Community Involvement Handbook (EPA-
540-K-05-003, April 2005).
XI.B.3 Roles and Responsibilities
To meet these national program requirements, specific roles and responsibilities have been
identified for the Headquarters (HQ) and regional staff that work in the community involvement
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program area. The following table summarizes each of these positions along with their
responsibilities.
EXHIBIT XI.1. HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Title
Data Sponsors (HQ)
Managers of Data Sponsors
(HQ)
Data Sponsors (HQ) and
Community Involvement
Managers (regions)
Community Involvement
Coordinators (CICs), Remedial
Project Managers (RPMs) and
On-Scene Coordinators (OSCs)
Information Management
Coordinator (IMC)
Budget Coordinator
Records Manager/Records
Center Staff (regions)
Responsibilities
Facilitate SEMS staying closely aligned with the Superfund program,
including developing and updating guidance that requires submission of
these data for national reporting needs, maintaining and updating data
element definitions, and developing and implementing the process of
gathering, reviewing and entering the data into SEMS.
Direct and oversee the creation of useful program policy and guidance to
help the regions achieve program goals. Act as the central point of contact
for the regions and provide regional coordination support.
Participate in program reviews, as well as preparing periodic reports on
regional accomplishments and progress on problems. Respond to quick
turn-around, site specific requests for information from senior management
for Congressional requests, regional visits or other needs. Serve as a forum
for sharing information and lessons learned on community involvement
activities.
Ensure all data necessary to meet the requirements(s) are in SEMS to
support regional reporting needs and commitments to HQ.
Coordinate with the CICs/RPMs/OSCs to ensure data necessary to support
reporting requirements are in SEMS according to timeliness requirements.
Ensure all data necessary to support the regional budget are in SEMS prior
to specified calendar events.
Coordinate with CICs/RPMs/OSCs/TMC to ensure program records are
properly managed in SEMS and made available in the Administrative
Record and Information Repository, as appropriate.
XI.B.4 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C. 1 of this document for additional information about
data quality and timeliness standards.
XLC COMMUNITYINVOLYEMENIACTIVITIES
XI.C.l Overview of Community Involvement Activities
This section contains the definitions of the following community involvement activities:
CAGs, TAGs, TASC and the Super JTI.
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a. Community Advisory Groups (CAGs)
A CAGis an organized group of local stakeholders representing the diversity of community
interests for a particular Superfund site. CAGs serve as a point for exchanging information
among the local community, EPA, the state regulatory agency, and other agencies involved
in Superfund cleanups. CAGs also provide a forum for community members to present and
discuss their needs and concerns related to the Superfund decision-making process. CAGs
may receive help from EPA, state, tribal and local governments, and universities in areas
such as meeting facilitation, technical assistance, and administrative support.
EXHIBIT XI.2. COMMUNITY ADVISORY GROUPS REQUIREMENTS
Work Package
Activity/Milestone
Community Advisory Group
Performance
Lead
EPA In-House
Activity/Milestone Date Requirements
Start: First meaningful (not interest finding)
Community Advisory Group Meeting is held
Finish: CAG is completed/closed out bv EPA and CAG
b. Technical Assistance Grants (TAGs)
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program to provide technical assistance in interpreting site-related technical
information to eligible communities. This technical assistance enables communities to
better participate in and inform the decision making process at their sites.
EXHIBIT XI.3. TECHNICAL ASSISTANCE GRANTS REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: TAG award document is signed by the regional
Technical Assistance Grant
EPA In-House
award official
Finish: Award document, one year extension document,
time period extension document, or other documents,
such as a memo to the file prepared by the TAG
coordinator documenting the ending date of the budget
and project period
Special Planning/Reporting Requirements:
Planned start and finish dates are entered in SEMS. Funds may be planned site-or non-site
specifically; however, they must be obligated site specifically. Funds for TAGs at Federal
Facility sites are contained in the Federal Facility budget and found in the Federal Facility
Site Allowance.
The planned or actual finish date in SEMS (whichever is applicable) must be changed to
reflect the date of the most recent source document, e.g., award document, one-year
extension document, memo to the file, etc. These definitions may be applied to all historical
Comprehensive Environmental Response, Compensation, and Liability Information
System (CERCLIS) and SEMS data, including data prior to fiscal year (FY) 89, which is
the first fiscal year TAG appeared in the SPIM. In addition, the TAG completion
definitions from previous years may also be used for TAGs completed within those years.
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There can only be one active TAG at a site.
c. Technical Assistance Services for Communities (TASC)
TASC was developed to provide communities that live near hazardous waste sites with
independent technical assistance to help them understand the technical issues related to
hazardous substance contamination and cleanup so that they can substantively participate
in the decision-making process. Just in Time and Super JTI are two related services
provided to communities.
Just in Time community services are offered through the EPA's Conflict Prevention and
Resolution Center contract. The Office of Superfund Remediation and Technology
Innovation (OSRTI) provides regions with access to neutral third party consultation,
collaboration and dispute resolution support services to help prevent, constructively
discuss, and address or resolve difficult issues or conflicts with community members and
other Superfund site stakeholders.
Super JTI provides community members with training and follow on job opportunities, and
fosters partnerships that remain long after a Superfund site is cleaned up.
Technical Outreach Services for Communities (TOSC) activity data exist in SEMS for
historical purposes only. The TOSC program has been replaced by the TASC program.
EXHIBIT XI.4. TASC REQUIREMENTS
Work Package
Activity/Milestone
Performance
Lead
Activity/Milestone Date Requirements
Start: Regional Task Order Monitor/Contracting
Technical Assistance Services
for Communities (TASC)
EPA In-House
Officer's Representative approves technical approach to
site specific project
Finish: Documentation, such as an evaluation of the
TASC project, marks the completion of the project
period for the TASC services
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Superfund Program Implementation Manual
FY16
Chapter XII: Information Systems
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Chapter XII: Information Systems
Table of Contents
XII.A Information Systems XII-1
XII.A.1 Overview of SEMS XII-1
a. Remedial Site Assessment (See chapter VI) XII-2
b. Removal Program (See chapter VII) XII-2
c. Remedial Program (See chapter VIII) XII-2
d. Federal Facility Program (See chapter IX) XII-3
e. Enforcement Program (See chapter X) XII-3
f. Community Involvement (See chapter XI) XII-4
g. Project Management XII-4
h. Program Management XII-5
XII.A.2 SEMS System Components XII-5
XII.A.3 Reporting Superfund Information XII-6
XII.A.4 Data Owners/Sponsorship XII-6
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CHAPTER XII: INFORMATION SYSTEMS
XII. AINFORMA TION SYSTEMS
The Office of Superfund Remediation and Technology Innovation's (OSRTI) information
systems portfolio has been established to ensure that all Superfund information technology (IT)
investments align with the Environmental Protection Agency (EPA) mission and support business
needs. They are designed to minimize program risks and maximize return on investment
throughout each IT investment's lifecycle. Together the portfolio systems provide a structured,
integrated toolset to assist management and staff to support the business and mission needs of the
Agency.
In fiscal year (FY) 2014, OSRTI completed the integration of several legacy systems into
the Superfund Enterprise Management System (SEMS). This includes the Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS),
Superfund Document Management System (SDMS), the Institutional Controls Tracking System
(ICTS), the eFacts reporting tool, and ReportLink. The following points outline the purpose of
SEMS:
Integrating the primary Superfund data collections, reporting and tracking systems into a
single system;
Meeting both immediate and strategic, long-term Superfund needs;
Serving as an official source of primary Superfund site activity data, records, and support
documentation for internal and external stakeholders;
Improving operational effectiveness, reducing costs, streamlining business processes, and
enhancing information management capabilities; and
Adapting to meet ever-changing environmental, federal and agency needs yet tailored to
meet the unique requirements of the Superfund program.
XII.A.1 Overview of SEMS
As a result of the successful integration of multiple legacy systems into SEMS, SEMS is
now the official repository of nationally defined and required data for planning, tracking, and
describing all activities at site assessment, remedial and removal sites. SEMS also continues to
serve as the Superfund program's official repository of electronic records (See chapter XIII,
Superfund Records Management). The integrated system is the Superfund program's source of site
information, activity data and supporting documentation across all areas of the pipeline (e.g., site
assessment, remedial program).
The following sections provide a summary of the information specific to each program
area that is contained in SEMS. Additional guidelines can be found in each associated chapter of
the Superfund Program Implementation Manual (SPIM).
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a. Remedial Site Assessment (See chapter VI)
To support the remedial site assessment and National Priorities List (NPL) listing
processes, SEMS provides the following capabilities:
Enter, store, and retrieve basic site discovery information, including site
identification (name and location), narrative description, and site setting;
Identify the Site Assessment Manager (SAM) and other site contacts;
Distinguish between removal program site initiation and remedial site assessment
program discoveries;
Enter, store, and retrieve site assessment decision information, including qualifiers
and text rationale, as well as referrals to states or other program areas;
Manage schedule of site assessment activities;
Store program records that support remedial site assessment and NPL listing
decisions;
Generate standard reports and perform ad hoc queries; and
Track information associated with NPL listing actions, including Federal Register
citations, Federal Docket Management System (FDMS) numbers, Hazard Ranking
System (FIRS) scores and changes to NPL status.
b. Removal Program (See chapter VII)
To support the removal process, SEMS provides the following capabilities:
Manage schedule of removal activities;
Identify the On-Scene Coordinator (OSC) and other site contacts;
Track the type of removal response (e.g., emergency, time critical or non-time
critical), media addressed, contaminants of concern, and response technology.
Assist in the management of removal budgets for various contract vehicles and
other EPA costs;
Store program records that support removal program decisions; and
Generate standard reports and perform ad hoc queries.
c. Remedial Program (See chapter VIII)
To support the remedy selection process, SEMS provides the following capabilities:
Manage schedule of remedial activities;
Identify the Remedial Project Manager (RPM) and other site contacts;
View and update remedy decision information, including media addressed,
contaminants of concern, and response technology;
View and update Five Year Review information, including issues,
recommendations and protectiveness statements;
Track key performance measures for the remedial program, including Construction
Completion, Environmental Indicators and Sitewide Ready for Anticipated Use;
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Assist in the management of remedial budgets for various contract vehicles and
other EPA costs;
Store program records that support remedial program decisions; and
Generate standard reports and perform ad hoc queries.
d. Federal Facility Program (See chapter IX)
To support Federal Facilities, SEMS provides the following capabilities:
Manage schedule of Federal Facility activities;
Record, display, and update information pertaining to Base Realignment and
Closure (BRAC) sites, including BRAC types, Fast Track sites, Environmental
Baseline Survey (EBS) information, Finding of Suitability to Lease (FOSL)
information, and Finding of Suitability to Transfer (FOST) information;
Record and display Federal Facility Docket information;
Assist in the management of Federal Facility budgets for various contract vehicles
and other EPA costs;
Store program records that support Federal Facility program decisions; and
Generate standard reports and perform ad hoc queries.
e. Enforcement Program (See chapter X)
To support the enforcement process, SEMS provides the following capabilities:
Manage schedule of enforcement activities;
Identify site attorneys and other contacts;
Capture and retrieve information about Potentially Responsible Parties (PRPs) and
other parties and associate parties with all sites and enforcement actions with which
they have been involved;
Document a party's involvement type with a site;
Group parties for enforcement actions or correspondence mailings;
Track party compliance with letters and settlement terms;
Track liens against a party' s property;
ป Document the issuance of Comfort/Status letters;
Track Bone Fide Prospective Purchaser Agreements (BFPPs), Prospective
Purchaser Agreements (PPAs), Prospective Lessee Agreements (PLAs),
Contiguous Property Owners (CPOs) and Windfall Lien Agreements (WL);
Track negotiations, including type of response actions sought and cost recovery
amount sought;
Track settlements, type and estimated value of response actions to be performed by
the parties, cost recovery funds achieved, response actions that are being
reimbursed, cash out funds achieved, the amount and type of financial assurance
provided by parties, amount of funds to be disbursed from a Special Account or
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deposited into a Special Account as part of the settlement, and whether the
settlement was with de minimis parties;
Log case files, including EPA Docket and Department of Justice (DOJ) case
numbers and names and district court location docket number;
Track referrals, including the type of referral, statutes, response actions sought, cost
recovery amount sought, and outcome;
Track pipeline activities start and finish dates used to calculate potential Statute of
Limitations (SOL) dates;
View costs written off and the rationale behind a decision not to pursue cost
recovery;
Track the timely issuance of oversight bills or accounting of oversight costs
incurred;
Record the planned bills, actual bills, refunds/payments, and collections; and
Generate standard reports and perform ad hoc queries.
f. Community Involvement (See chapter XI)
To support the community involvement process, SEMS provides the following
capabilities:
Manage schedule of community involvement activities;
Identify the Community Involvement Coordinator (CIC) and other site contacts;
Store program records that support community involvement decisions; and
Generate standard reports and perform ad hoc queries.
g. Project Management
To support the project management process, SEMS provides the following capability:
Manage schedules for all site activities;
Identify RPMs and other site contacts;
View and edit activity-specific information including operable unit, sequence
number, performance lead, qualifiers, critical indicators, and planned and actual
start/finish dates;
View the targeted fiscal year/quarter (FY/Q) for actions defined as regional and
national targets;
Define predecessor and/or successor relationships between activities;
Reorder actions on the schedule and create what-if scenarios by cascading planned
dates (automatically updating subsequent dates based on a schedule change);
Add and view activity-specific comments;
View financial data by site, action, or financial transaction and track Superfund
State Contracts (SSC) cost share payment and reimbursable account information;
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Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes
and financial transactions before they become official; and
Generate standard reports and perform ad hoc queries.
h. Program Management
To support the program management process, SEMS provides the following capabilities:
View allowance and budget information for a comparison of regional spending
plans to the negotiated budget for each allowance;
Record and access all site and non-site financial details associated with an
allowance;
Track allowance change requests by viewing existing change request data used to
issue/reprogram an allowance and generate a new change request online;
View aggregate site planning data to support program planning and reporting
measures and access data on a national (at Headquarters [HQ] only), regional,
branch, or section level, or by program office;
Access project schedule details for sites included in the aggregated information on
planning and reporting measures and identify target candidates;
Track progress in meeting targets and planning estimates, view details on target and
alternate sites that support these targets/estimates for each planning and reporting
measure, and substitute target and alternate sites when necessary;
Associate sites with a specific national and/or regional priority initiatives;
Enter Environmental Indicator (El) and Land Reuse data at the site/action level,
and view summary information for Indicators identified in chapter VIII, titled
Remedial Program, at the national (at HQ only) and regional levels;
Transfer financial data from Compass on a daily basis; and
Generate HQ program management reports.
XII.A.2 SEMS System Components
SEMS is comprised of various modules that allow for data entry and/or retrieval. The goals
of this architecture are to allow regions, as the primary data owners, to enter data and ensure that
the national database contains all regional data, and to allow all users to run reports and retrieve
data as necessary.
System users enter site information into SEMS thru a variety of interfaces. Basic site
information (e.g., location, site activity type), site schedules, planned site obligations and other
activity-specific information is entered into forms in the Site Management Module (SEMS-SM).
Supporting documentation is entered and indexed thru the Records Management Module (SEMS-
RM). Users may run reports, customize dashboards and perform ad hoc queries thru the Reporting
Tool. SEMS also includes support components, such as the System Administration Module and the
Portal.
Regular exports of datasets from SEMS have been recreated in a manner that is consistent
with the datasets provided from CERCLIS. These data extracts include:
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Active: This dataset contains active sites and related program management information
tracked through the Superfund Comprehensive Accomplishments Plan (SCAP) process.
Freedom of Information Act (FOIA): This dataset contains active sites and related
information that is releasable to the public.
Archive: This dataset contains archived sites and related information.
Additional datasets can be created to meet additional program needs and special initiatives
as they are defined.
In addition, each day, financial data from Compass are transferred into SEMS.
XII.A.3 Reporting Superfund Information
The SEMS Reporting Tool is accessible to users at HQ and in the regions, and contains
nationally defined reports and dashboards. The reports are categorized by program areas, including
Site Assessment, Five Year Reviews, Federal Facilities, Removal, Enforcement, Project
Management, and Program Management, among others. HQ program managers and staff have
access to the database and the ability to use the application to display data and print reports. In
many cases the application can be used by program managers in lieu of contacting regional staff
for inquiries on data or site information.
XII.A.4 Data Owners/Sponsorship
HQ program staff take an active role in improving the quality of data stored in SEMS by
serving as data sponsors. Data sponsorship promotes consistency and communication across the
Superfund program. HQ data sponsors communicate and gain consensus from data owners on data
collection and reporting processes. Data sponsors ensure that the data they need to monitor
performance and compliance with program requirements are captured and stored properly in
SEMS. To meet this goal, HQ data sponsors identify their data needs, develop data field
definitions, and distribute guidance requiring submittal of these data. Data owners are typically the
RPMs or EVICs that input the data into the system. Data owners follow the guidance they receive
from data sponsors, as they acquire and submit data.
HQ data sponsors assist data owners in maintaining and improving the quality of Superfund
program data. These data are available for data evaluation and reporting. Data sponsorship helps
promote consistency in both national and regional reporting. In addition, data sponsorship provides
a tool to improve data quality through program evaluation and adjustments in guidance to correct
weaknesses detected. Data sponsors may conduct audits to determine if there are systematic data
problems (e.g., incorrect use of codes, data gaps, etc.).
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Superfund Program Implementation Manual
FY16
Chapter XIII: Superfund Records Management
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Chapter XIII: Superfund Records Management
Table of Contents
XIII.A Overview of Records Management XIII-1
XIII.A.1 What is a Record? XIII-1
XIII.A.2 Purpose of Records for Superfund XIII-1
XIII.B Records Management Requirements XIII-2
XIII.B.l Records Management Goals and Objectives XIII-2
XIII.B.2 Regulatory and Policy Requirements XIII-2
XIII.B.3 Roles and Responsibilities XIII-3
XIII. C Capturing Superfund Records XIII-3
XIII.C.I Program Required/Recommended Documents XIII-3
a. Program Required Documents (exhibit XIII. 2) XIII-3
b. Program Recommended Documents (exhibit XIII. 3) XIII-4
XIII.C.2 Other Program Records XIII-4
XIII.C.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)
XIII-4
XIII.C.4 Superfund Records Reports XIII-5
XIII.C.5 Disclosure and Disposition XIII-5
List of Exhibits
Exhibit XIII. 1. Records Management Goals and Objectives XIII-2
Exhibit XIII.2. Program Required Documents XIII-7
Exhibit XIII.3. Program Recommended Documents XIII-17
FY 16 SPIM XHI-i September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
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September 30, 2015 XHI-ii FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
CHAPTER XIII: SUPERFUND RECORDS MANAGEMENT
XIII. A O VER VIEW OF RECORDS MAN A GEMENT
XIII.A. 1 What is a Record?
If you answer yes to any of the following questions, you may have a record:
Was it created in the course of business?
Was it received for action? Does it document Environmental Protection Agency (EPA)
activities and actions?
Is it mandated by statute or regulation?
Does it support financial obligations or legal claims?
Does it communicate EPA requirements?
Records can exist in both paper and in electronic format. Examples are email, voicemail,
instant messages, and blogs/wikis/social media. Treat such messages the same way you treat paper
records1.
Any electronic message is a record if it documents the EPA mission or provides evidence
of an EPA business transaction, and if you or anyone else would need to retrieve the message to
find out what had been done or to use it in other official actions. For additional information, please
refer to the EPA Records Management Policy 2155.3. (PDF, 16 pp., 182K)
NOTE: EPA staff should not use any outside e-mail account to conduct official agency
business. If there is an emergency situation requiring the use of an outside e-mail account, it is the
individual's responsibility to ensure all agency records are captured and managed in an approved
recordkeeping system.
See http://intranet.epa.gov/records/staff/index.html
XIILA.2 Purpose of Records for Superfund
Superfund records provide important information about activities and decisions at
hazardous waste sites addressed by The Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA). The records cover all of the distinct phases of the Superfund program
from site discovery, cleanup actions proposed or selected, enforcement actions and site reuse. The
records can be classified in the general categories of pre-remedial, Federal Facilities, remedial, and
emergency response and removal.
The records have current and historical value for both commerce and quality of life uses.
As such, a significant portion of Superfund records have been designated by the National Archives
and Records Administration (NARA), as permanent records of the United States due to their
continuing value for historical or environmental research. The nature of the Superfund program
requires that records that are not permanent records of the United States, must be retained far
1 http://www.archives.gov/records-mgmt/faqs/media-neutral.html
FY 16 SPIM XIII-1 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
longer that many other records throughout the federal government. Superfund site-specific records
are scheduled as permanent records and ultimately turned over to NARA; as a comparison,
approximately only 3% of all federal records are scheduled as permanent.
XIII.B
RECORDS MAN A CEMENT REQUIREMENTS
XIILB.l Records Management Goals and Objectives
In addition to regulatory records management responsibilities, the Superfund program has
the following additional goals and objectives:
EXHIBIT XIII.1. RECORDS MANAGEMENT GOALS AND OBJECTIVES
1
2
3
4
Objective
Ensure all Program Required Documents are captured into the
program's official record keeping system (Superfund Enterprise
Management System Records Management Module [SEMS-
RM], formerly known as the Superfund Document Management
System [SDMS]).
Ensure all Program Required Documents are associated to the
appropriate SEMS-SM Activity.
Ensure select Program Required Documents are proactively
made available to the public via EPA's website (within national
collections).
Facilitate best practices across all regions and develop national
standards, where appropriate.
Goal
Within five (5) working days of the
finalization of the document/ Actual
date of accomplishment in SEMS-
Site Management Module (SEMS-
SM).
Within 10 working days of the
accomplishment date.
Within 20 working days of the
accomplishment date.
Maintain national standards annually.
XIILB.2 Regulatory and Policy Requirements
The Federal Records Act of 1950, as amended, requires all federal agencies to make and
preserve records containing adequate and proper documentation of their organization, function,
policies, decisions, procedures, and essential transactions. These records are public property and
must be managed according to applicable laws and regulations.
44 U.S.C 2902 Objectives of Records Management, requires agencies to establish a records
management program, defined as a planned, coordinated set of policies, procedures, and activities
needed to manage its recorded information. Essential elements include issuing up-to-date records
management directives, properly training those responsible for implementation, and carefully
evaluating the results to ensure adequacy, effectiveness, and efficiency.
Records serve a number of purposes including:
administrative and program planning needs
evidence of EPA activities
protection of legal and financial rights
oversight by Congress and other authorized agencies
documentation of the Agency's history
the continuation of key functions and activities in the event of an emergency or disaster
September 3 0,2015
XIII-2
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Records serve as the Agency's historical data; they are of critical importance in ensuring
that the organization continues to function effectively and efficiently. As noted in section XII.A
above, Superfund records relate to environmental issues within the United States. As such, records
retention falls into two general categories: long-term temporary and permanent.
XIILB.3 Roles and Responsibilities
The Office of Superfund Remediation and Technology Innovation (OSRTI) will develop
national program-specific policies and standards, where appropriate. This chapter of the Superfund
Implementation Manual (SPIM) documents those policies. OSRTI will facilitate discussions
across regions to assist regions in fulfilling the federal and program-specific requirements as well
as facilitating discussion of best practices.
Each regional office is responsible for ensuring compliance with federal and program-
specific requirements.
XIII. C CAPTURING SUPERFUND RECORDS
XIILC.l Program Required/Recommended Documents
In order to support the documentation/records collection requirements of the Superfund
program, recent emphasis has been to standardize the records that are collected and stored in The
Superfund Enterprise Management System (SEMS). Historically, the regions had the discretion to
select the records to place into SEMS Records Management Module (SEMS-RM) according to
regional priorities, which often differ substantially from one region to the next.
A list of 'Program Required/Recommended Documents' has been established that has
been reviewed and commented upon by regional Superfund Records Managers, Information
Management Coordinators and Headquarters Data Sponsors. The list of documents on the Program
Required/Recommended Documents will be reviewed as needed (typically annually as part of the
annual review and revision of the SPIM). See exhibit XIII.2 and exhibit XIII.3 later in this chapter.
a. Program Required Documents (exhibit XIII.2)
Documents included on the Program Required Documents list have been determined to be
most vital to documenting the progress of the program and sites: those documents that
support/document the reporting of key activities in the SEMS Site Schedule and/or those
documents that are determined to be of high value (e.g., Superfund State Contracts,
Financial Assurance Instruments, Institutional Control Instruments, etc). These program
required documents are captured in SEMS-RM and associated to an Activity.
1. Capture into SEMS-RM
Program Required Documents must be captured by the region into SEMS-RM.
2. Associate to SEMS-SM Activity
Upon verification that the document supports the SEMS Site Management Module
(SEMS-SM) Activity data, the document's SEMS-RM number is associated to the
Activity. A document may support a SEMS-SM Activity because it is the evidence
that the Activity was completed or because the document has high value and best
FY 16 SPIM XIII-3 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
associated to a specific Activity for tracking purposes (e.g., Superfund State
Contracts, Financial Assurance Instruments, Institutional Control Instruments, etc).
3. Add to National Collection
Select Program Required Documents (as identified in exhibit XIII.2) will be made
available to the public by adding the document to a published national collection
within SEMS-RM.
1. Region captures document into SEMS-RM
2. Region associates the SEMS-RM number to the SEMS-SM Activity
3. Region notifies Collection Owner of the capture and association
4. The Collection Owner may periodically run a report or query SEMS-
Reporting Tool for new documents associated to the Activity
5. The Collection Owner puts the document into the appropriate national
collection. The document is then made available to the public
b. Program Recommended Documents (exhibit XIII.3)
A Program Recommended Document is a document for which it is strongly recommended
that the region capture into SEMS-RM and associate the document's SEMS-RM number
to the appropriate Activity in SEMS-SM.
XIILC.2 Other Program Records
In addition to Program Required/Recommended Documents, other records that assist in
documenting site information and support Superfund program activities on sites should be
included in the SEMS-RM. Non-site specific records may also be retained in the SEMS-RM
system as needed to support Superfund program activities and decisions, an example of which
would include contract-specific work performance documents that reference site-specific
contractor work activity spanning a region. Regional Superfund Record Managers may determine
records appropriate for capture in the SEMS-RM repository beyond those identified as Program
Required/Recommended list. Regions may capture into SEMS-RM any other document for any
business purpose (reference, Freedom of Information Act [FOIA], cost recovery, records
management).
XIILC.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-
SM)
The central component in ensuring compliance with regulatory and policy requirements is
the SEMS-RM (previously known as the Superfund Document Management System [SDMS]), an
application that utilizes Superfund program-specific metadata to store and retrieve documents at
Headquarters (HQ) and also across all 10 regions of EPA. By maintaining a recordkeeping system
that allows for efficient responses to litigation, FOIA requests, and audits, OSRTI also minimizes
the cost and effort traditionally associated with recordkeeping by moving toward the reduction of
paper records.
SEMS-RM is a key EPA information asset used to meet the Superfund program's
responsibilities for recordkeeping and transparency. Furthermore, SEMS has replaced the
Comprehensive Environmental Response, Compensation, and Liability Information System
September 30, 2015 XIII-4 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
(CERCLIS) as the System of Record for the Superfund program, serving as the official repository
of Superfund programmatic data in addition to records (Federal Register Vol. 80 No. 74, page
21237, April 17,2015).
SEMS-RM currently serves as the program's repository of digital records. System updates
that will be implemented in FY2016 will go even further to make SEMS the program's official
electronic recordkeeping system. At that time, the SEMS-RM electronic recording keeping system
will comply with the NARA-endorsed standard for electronic recordkeeping systems, DOD
5015.2-STD version 3 of the Department of Defense (DOD) Electronic Records Management
Software Application (RMA) Design Criteria Standard (Source: NARA Bulletin 2008-07).
The purpose of integrating CERCLIS and SDMS into one system, SEMS, is to create direct
linkages between site information and the records that support program activities and decisions.
SEMS leverages advanced technology to better support the efficient and effective operation of the
program. This supports Goal 3: Land Preservation and Restoration and Goal 5: Compliance and
Environmental Stewardship of the Agency's strategic plan
http://www2.epa.gov/planandbudget/strategicplan.
SEMS allows increased access to records while reducing physical record storage. SEMS
fosters collaboration of information. An example is the 24,548 documents from Region 4 that were
captured in SDMS, and inherited by SEMS, for Hurricane Katrina. These digital documents, which
meet the standard for e-FOIA, may be distributed to many stakeholders including states, tribes,
concerned citizens, the legal community, and other federal agencies.
XIILC.4 Superfund Records Reports
A variety of reports will be available via SEMS-Reporting Tool and via the Superfund
Reporting Center to assist the regions in verifying, tracking, and monitoring their performance of
meeting the records goals and objectives of the Superfund program. The regional SEMS Data
Entry Control Plan should be used to reflect the reports being used. Future updates to this SPIM
will identify the available reports.
XIILC.5 Disclosure and Disposition
Specific definitions for the descriptions and dispositions of Superfund records are primarily
defined by EPA Record Schedule 1036 for site specific records. Records defined by other EPA
Record Schedules may also be retained and dispositioned in SEMS-RM to meet program needs.
The EPA National Records Management program has submitted Record Schedule 1036 to the
National Archives and Records Administration for review, comment and approval.
The required lifespan of Superfund records presents OSRTI with records preservation
challenges that are not widely shared across agencies of the federal government. Disposition of
Superfund records are permanent in most cases and governed by regulations which apply to both
paper and electronic records. As discussed throughout this chapter, Superfund is evaluating and
implementing strategies to maximize the efficient use of information technology to enhance
availability of Superfund information while reducing records related costs.
For the purpose of public disclosure under the Freedom of Information Act or other
disclosure statutes and regulations, pre-decisional Superfund site records are by definition
FY 16 SPIM XIII-5 September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
deliberative in nature and should be excluded from public disclosure requirements unless
previously disclosed by the Superfund program or determined appropriate for release by a
competent authority.
September 30, 2015 XIII-6 FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
EXHIBIT XIII.2. PROGRAM REQUIRED DOCUMENTS
.......-............ PROGRAM REQUIRED .....-.............
Program Document
(* documents are not evidence of the SEMS
Activity /Milestone; these are high value .'
documents and associated to the Activity for
tracking purposes)
ACTION MEMO ENFORCEMENT
ADDENDUM
ACTION MEMORANDUM
ACTUAL FEASIBILITY STUDY
ADMINISTRATIVE ORDER ON CONSENT
(AOC)
ADMINISTRATIVE RECORD (AR) INDEX-
REMEDIAL
ADMINISTRATIVE RECORD (AR) INDEX-
REMOVAL
BANKRUPTCY REFERRAL / PROOF OF
CLAIM (POC)
BANKRUPTCY SETTLEMENT
* ' * '
SEMS Activity/Milestone
,'*** ' * ''
PRELIMINARY PRP SEARCH [QU] - Finish
APPROVAL OF ACTION MEMO [AM] - Finish
ENGINEERING EVAL/COST ANALYSIS [EE] - Finish
PRP FS [NK] - Finish
NEGOTIATION (GENERIC) [NG] - Finish
PRELIMINARY PRP SEARCH [QU] - Finish
PRP FS [NK] - Start
PRP RA [BF] - Start (RA only AOC)
PRP RD [BE] - Start
PRP RI [NA] - Start
PRP RI/FS [BD] - Start
REMOVAL NEGOTIATIONS [RN] - Finish
REMEDIAL INVESTIGATION [RI] - Finish
REMOVAL [RV] - Finish
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Start
SECTION 106 107 LITIGATION [CL] - Start
SECTION 107 LITIGATION [SV] - Start
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Finish
LITIGATION (GENERIC) [LT] - Finish
SECTION 106 107 LITIGATION [CL] - Finish
SECTION 106 LITIGATION [SX] - Finish
SECTION 107 LITIGATION [SV] - Finish
National
Collection
RI 1-25504
Public
Owner: Dave
Reynolds
FY 16 SPIM
XIII-7
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
CONSENT AGREEMENT
CONSENT DECREE (CD) AT ENTRY
CONSENT DECREE (CD) TRANSMITTAL.
PACKAGE AT REFERRAL
CONTRACT MODIFICATION
DECISION NOT TO PURSUE COST
RECOVERY MEMO
*DELETION DOCKET INDEX
DEMAND LETTER
DEMINIMIS SETTLEMENT
SEMS Activity/Milestone ' ' .
CONSENT AGREEMENT [CA] - Finish
NEGOTIATION (GENERIC) [NG] - Finish
CONSENT DECREE [CD] - Finish
PRELIMINARY PRP SEARCH [QU] - Finish
SECTION 106 107 LITIGATION [CL] - Finish
SECTION 106 LITIGATION [SX] - Finish
SECTION 107 LITIGATION [SV] - Finish
CONSENT DECREE [CD] - Start
LITIGATION (GENERIC) [LT] - Finish
PRP RA [BF] - Start (RA only CD)
PRP RD [BE] - Start
PRP REMOVAL [BB] - Start
RD/RA NEGOTIATIONS [AN] - Finish
REMOVAL NEGOTIATIONS [RN] - Finish
COMBINED RI/FS [CO] - Start
FEASIBILITY STUDY [FS] - Start
NEGOTIATION (GENERIC) [NG] - Finish
RD/RA NEGOTIATIONS [AN] -Finish
REMEDIAL ACTION [RA] - Start
REMEDIAL DESIGN [RD] - Start
REMEDIAL INVESTIGATION [RI] - Start
SECTION 106 107 LITIGATION [CL] - Finish
SECTION 106 LITIGATION [SX] - Finish
SECTION 107 LITIGATION [SV] - Finish
DELETION FROM NPL [ND] - Finish
ADMIN VOLUNTARY COST RECOVERY [AV] - Finish
ADMIN ORDER ON CONSENT [AC] - Finish (De Minimis only)
CONSENT DECREE [CD] - Start
National
Collection
September 3 0,2015
XIII-8
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
DEPT OF JUSTICE (DOJ) REFERRAL
LETTER REFERRING CASE BACK TO
REGION FOR SETTLEMENT
DEPT OF JUSTICE (DOJ) TRIAL DATE
MEMO
DEPT OF JUSTICE (DOJ) WITHDRAWL OF
CASE MEMO
DISMISSAL OF CASE MEMO
DOCUMENTATION THAT ALL
REASONABLE STEPS HAVE BEEN TAKEN
TO LOCATE PRPS AS LAID OUT IN THE
PRP HANDBOOK.
EMAIL CONFIRMATION OF SSID
ENFORCEMENT FIRST REPORT
ENGINEERING EVALUATION / COST
ANALYSIS (EE/CA) REPORT
ENGINEERING EVALUATION / COST
ANALYSIS (EE/CA) START APPROVAL
EPA APPROVAL MEMO OF FF ESI
REPORT APPROVAL
EPA APPROVAL MEMO OF FF
INSPECTION REVIEW
SEMS Activity/Milestone ' ' .
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Finish
SECTION 106 107 LITIGATION [CL] - Finish
RD/RA NEGOTIATIONS [AN] -Finish
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Finish
SECTION 106 107 LITIGATION [CL] - Finish
SECTION 106 LITIGATION [SX] - Finish
SECTION 107 LITIGATION [SV] - Finish
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Finish
SECTION 106 107 LITIGATION [CL] - Finish
SECTION 106 LITIGATION [SX] - Finish
SECTION 107 LITIGATION [SV] - Finish
NPL RP SEARCH [NS] - Finish
NON NPL PRP SEARCH [RP] - Finish
PRP SEARCH [QV] - Start
NPL RP SEARCH [NS] - Finish
REMOVAL [RV] - Finish
ENGINEERING EVAL/COST ANALYSIS [EE] - Start
FF ESI REVIEW [TZ] - Finish
FF INSPECTION REVIEW [TY] - Finish
National
Collection
FY 16 SPIM
XIII-9
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
EPA APPROVAL MEMO OF FF PA REPORT
EPA APPROVAL MEMO OF FF PA/SI
REPORT
EPA APPROVAL OF THE ACTION MEMO
EPA APPROVAL OF THE RI REPORT
EPA CONCURRENCE OR COMMENT
LETTER
EPA LETTER APPROVING DESIGN, OR
THE RA WORKPLAN
ESI/RI REPORT
EXPANDED SITE INSPECTION (ESI)
REPORT & APPROVAL FORM OR MEMO
EXPLANATION OF SIGNIFICANT
DIFFERENCES (BSD)
FEASIBILITY STUDY (FS) REPORT
FEDERAL FACILITY AGREEMENT (FFA)
FEDERAL REGISTER NOTICE OF
DELETION (NOD)
FEDERAL REGISTER NOTICE OF INTENT
TO PARTIALLY DELETE (NOIPD)
FEDERAL REGISTER NOTICE OF
PARTIAL DELETION (NOPD)
FINAL CLOSE OUT REPORT (FCOR)
SEMS Activity/Milestone ' ' .
FF PRELIMNARY ASSESSMENT REVIEW [RX] - Finish
FF COMBINED PA/SI REVIEW [UH] - Finish
FF REMOVAL [LV] - Start
REMEDIAL INVESTIGATION [RI] - Finish
FF FIVE-YEAR REVIEW [VY] - Finish
FF RD [LX] - Finish
EXPANDED SITE INSPECTION/REMEDIAL INVESTIGATION EE/RI [SS] - Finish
EXPANDED SITE INSPECTION [ES] - Finish
EXPLANATION OF SIGNIFICANT DIFFERENCES [EH] - Finish
FF GOVT REMEDY DECISION CHANGE (BSD) [FFAMD] - Finish
FEASIBILITY STUDY [FS] - Finish
FF RI [NH] - Start
FF RI/FS [LW] - Start
DELETION FROM NPL [ND] - Finish
NOTICE OF INTENT TO PARTIALLY DELETE [TV] - Finish
PARTIAL NPL DELETION [GR] - Finish
CLEANUP GOALS ACHIEVED [OQ] - Finish
National
Collection
RI 1-25504
Public
Owner: Dave
Reynolds
September 3 0,2015
XIII-10
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
FINAL HRS PACKAGE
FINAL PRP SEARCH REPORT
*FINANCIAL ASSURANCE INSTRUMENT
(FAI)
FIVE YEAR REVIEW REPORT with attached
EPA Concurrence or Comment Letter for FF
FIVE YEAR REVIEW REPORT
ADDENDUM
FIVE YEAR REVIEW START MEMO OR
WORK PLAN
*INSTITUTIONAL CONTROL(S)
INSTRUMENTS
INTERAGENCY AGREEMENT (IAG)
(FEDERAL FACILITY AGREEMENT)
SEMS Activity/Milestone ' ' .
CLOSE OUT REPORT [CQ] - Finish
GRNDWTR MONITOR (POST-ROD) [GM] - Finish
HRS [HR] - Finish
NON NPL PRP SEARCH [RP] - Finish
PRP RA [BF] - Start
PRP REMOVAL [BB] - Start
FF FIVE-YEAR REVIEW [VY] - Finish
FIVE YEAR REVIEW [FE] - Finish
GRNDWTR MONITOR (POST-ROD) [GM] - Finish (Do not included in National
Collection)
FYR ADDENDUM [WV] - Finish
FF FIVE-YEAR REVIEW [VY] - Start
FIVE YEAR REVIEW [FE] - Start
REMEDIAL ACTION [RA] - Start
COMBINED RI/FS [CO] - Start
FEASIBILITY STUDY [FS] - Start
FEDERAL INTERAGENCY AGREEMENT [FI] - Finish
FF RI [NH] - Start
FF RI/FS [LW] - Start
NEGOTIATION (GENERIC) [NG] - Finish
OPERATIONS AND MAINTENANCE [OM - FF LEAD] - Finish
RD/RA NEGOTIATIONS [AN] -Finish
REMEDIAL ACTION [RA] - Start
REMEDIAL DESIGN [RD] - Start
National
Collection
Rl 1-28008
Public
Owner: Dave
Reynolds
Rl 1-28008
Public
Owner: Dave
Reynolds
Rll-32131
Public
Owner: Chip
Love
FY 16 SPIM
XIII-11
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
LETTER FROM PARTY TAKING OVER
O&M
LETTER TO PRP STATING WORK HAS
BEEN COMPLETED ACCORDING TO THE
ENFORCEMENT INSTRUMENT
LITIGATION REFERRAL TRANSMITTAL
LETTER
MEMO STATING THAT EPA HAS
COMPLETED REVIEW AND PROVIDED
COMMENTS OR CONCURRENCE ON THE
TRANSFER OR LEASING DOCUMENT.
SIGNED BY REGIONAL OFFICIAL
MEMO TO FILE INDICATING LTRA IS
COMPLETE
MEMO TO FILE OR CI TO START PRP
SEARCH
MEMO TO THE FILE/DOCUMENTATION
THAT PERFORMANCE STANDARDS MET
OFF-SITE RULE ROC RECORDS
SEMS Activity/Milestone ' ' .
REMEDIAL INVESTIGATION [RI] - Start
OPERATIONS AND MAINTENANCE [OM] - Start
PRP REMOVAL [BB] - Finish
LITIGATION (GENERIC) [LT] - Start
SECTION 106 107 LITIGATION [CL] - Start
SECTION 107 LITIGATION [SV] - Start
FF FINDING OF SUITABILITY TO EARLY TRANSFER (FOSET) [XE] - Finish
FF FINDING OF SUITABILITY TO TRANSFER (POST) [XT] - Finish
FINDING OF SUITABILITY TO LEASE [XL] - Finish
LONG TERM RESPONSE ACTION [LR] - Finish
NON NPL PRP SEARCH [RP] - Start
NPL RP SEARCH [NS] - Start
OPERATIONS AND MAINTENANCE [OM] - Finish
FF REMOVAL [LV] - Start
PRP REMOVAL [BB] - Start
National
Collection
September 3 0,2015
XIII-12
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
PAYMENT FROM PRP
POLREP, FINAL
POLREP, FIRST
POLREP, FIRST AND FINAL
POTENTIALLY RESPONSIBLE PARTY
(PRP) NOTICE OF INTENT TO COMPLY
PRE-CERCLA SCREENING REPORT
PRELIMINARY ASSESSMENT (PA)
REPORT
PRELIMINARY ASSESSMENT / SITE
INSPECTION (PA/SI) (this is not the evidence
of a Finish, however, the PA/SI should be
associated to this activity)
PRELIMINARY CLOSE OUT REPORT
(PCOR)
PRELIMINARY PRP SEARCH REPORT
SEMS Activity/Milestone ' ' .
REMEDIAL ACTION [RA] - Start
REMOVAL [RV] - Start
ADMIN VOLUNTARY COST RECOVERY [AV] - Finish
FF REMOVAL [LV] - Finish
PRP EMERGENCY REMOVAL [PJ] - Finish
PRP REMOVAL [BB] - Finish
REMOVAL [RV] - Finish
FF REMOVAL [LV] - Start
PRP EMERGENCY REMOVAL [PJ] - Start
PRP REMOVAL [BB] - Start
REMOVAL [RV] - Start
FF REMOVAL [LV] - Start/Finish
PRP EMERGENCY REMOVAL [PJ] - Start/ Finish
PRP REMOVAL [BB] - Start/ Finish
REMOVAL [RV] - Start/ Finish
PRP RA [BF] - Start
PRP RD [BE] - Start (If the settlement is a U AO)
PRP REMOVAL [BB] - Start
REMOVAL NEGOTIATIONS [RN] - Finish
PRE-CERCLA SCREENING [HX] - Finish
PRELIMINARY ASSESSMENT [PA] - Finish
COMBINED PA/SI [NX] - Finish
PRELIM CLOSE-OUT REP PREPARED [CM] - Finish
PRELIMINARY PRP SEARCH [QU] - Finish
National
Collection
FY 16 SPIM
XIII-13
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
PRP SEARCH OUTCOME REPORT
PRP SEARCH PLAN/ DOCUMENT SEARCH
PRP SEARCH START CHECKLIST
RD WORKPLAN, SOW OR OTHER
APPROPRIATE DOCUMENT
RECORD OF DECISION (ROD)
RECORD OF DECISION (ROD)
AMENDMENT
REMEDIAL ACTION (RA) REPORT
APPROVAL MEMO
REMEDIAL ACTION (RA) START MEMO
REMEDIAL ACTION (RA) WORK PLAN
APPROVAL OF REMEDIAL ACTION
REPORT
REMEDIAL DESIGN (RD) 100%
APPROVAL
SEMS Activity/Milestone ' ' .
PRP SEARCH [QV] - Finish
PRP SEARCH [QV] - Start
NON NPL PRP SEARCH [RP] - Start
NPL RP SEARCH [NS] - Start
FF RD [LX] - Start (Post-ROD)
FF FS [NI] - Finish
FF RI/FS [LW] - Finish
FF RECORD OF DECISION [FFROD] - Finish
FEASIBILITY STUDY [FS] - Finish
FF RD [LX] - Start (Pre-ROD)
PRP FS [NK] - Finish
PRP RI/FS [BD] - Finish
RCRA SB/RTC [SC] - Finish
RECORD OF DECISION [RO] - Finish
FF GOVT REMEDY DECISION CHANGE (ROD AMENDMENT) [FFAMD] - Finish
ROD AMENDMENT [JQ] - Finish
FF RA [LY] - Finish
PRP RA [BF] - Finish
REMEDIAL ACTION [RA] - Finish
FF RA [LY] - Start
PRP RA [BF] - Start
FF RA [LY] - Start
REMEDIAL ACTION [RA] - Finish
PRP RA [BF] - Start
PRP RD [BE] - Finish
National
Collection
Rl 1-25504
Public
Owner: Dave
Reynolds
Rl 1-25504
Public
Owner: Dave
Reynolds
September 3 0,2015
XIII-14
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
REMEDIAL INVESTIGATION /
FEASIBILITY STUDY (RI/FS) WORK PLAN
& AMENDMENTS
REPORT DEVELOPED BY EPA
REQUEST TO MAKE CLAIM LETTER
SENT TO DOJ.
SETTLEMENT AGREEMENT
SETTLEMENT FOR COST RECOVERY OF
DECISION NOT TO PURSUE COST
DOCUMENT
SIGNED COMPLETION PRP SEARCH
MEMO BY BRANCH CHIEF.
SIGNED FINAL JUDGEMENT
SITE INVESTIGATION / SITE INSPECTION
(SI) REPORT
SITE REASSESSMENT REPORT
SPECIAL NOTICE LETTER (SNL)
SEMS Activity/Milestone ' ' .
REMEDIAL DESIGN [RD] - Finish
FF RI [NH] - Start
FF RI/FS [LW] - Start
INT. RMVL ASSES AND EXPANDED SITE INSPECTION [OY] - Finish
INT. RMVL ASSESS AND COMBINED PA/SI [OU] - Finish
INT. RMVL ASSESS AND ESI/RI [OV] - Finish
INT. RMVL ASSESS AND HRS PACKAGE [OZ] - Finish
INT. RMVL ASSESS AND PRELIMINARY ASSESSMENT [QT] - Finish
INT. RMVL ASSESS AND SITE INSPECTION [QJ] - Finish
INTEGRATED ASSESSMENT [EA] - Finish
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Start
ADMIN VOLUNTARY COST RECOVERY [AV] - Finish
NON NPL PRP SEARCH [RP] - Finish
NON NPL PRP SEARCH [RP] - Finish
NPL RP SEARCH [NS] - Finish
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Finish
SITE INSPECTION [SI] - Finish
SITE REASSESSMENT [OO] - Finish
NEGOTIATION (GENERIC) [NG] - Start
RD/RA NEGOTIATIONS [AN] - Start
COST RECOVERY NEGOTIATIONS [ME] - Start
REMOVAL NEGOTIATIONS [RN] - Start
RI/FS NEGOTIATIONS [FN] - Start
National
Collection
FY 16 SPIM
XIII-15
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM REQUIRED
Program Document
(*' documents are not evidence of the SEMS
. Activity /Milestone; these are high value
documents and associated to the Activity for
tracking purposes)
SPECIAL NOTICE LETTER (SNL) WAIVER
SUMMARY OF BASIC PRP SEARCH
TASKS COMPLETED
*SUPERFUND STATE CONTRACT (SSC)
TECHNICAL IMPRACTICABILITY
DETERMINATION BY EPA
TOLLING AGREEMENT (TA)
POTENTIALLY RESPONSIBLE PARTY
(PRP) NOTICE OF INTENT TO COMPLY
WORK ASSIGNMENT
SEMS Activity/Milestone ' ' .
SPECIAL NOTICE ISSUED [SG] - Finish
NEGOTIATION (GENERIC) [NG] - Start
RD/RA NEGOTIATIONS [AN] - Start
COST RECOVERY NEGOTIATIONS [NE] - Start
REMOVAL NEGOTIATIONS [RN] - Start
RI/FS NEGOTIATIONS [FN] - Start
PRELIMINARY PRP SEARCH [QU] - Finish
REMEDIAL ACTION [RA] - Start
PRP LR [ME] - Finish
REMEDIAL ACTION [RA] - Finish
CONSENT DECREE [CD] - Finish
PRELIMINARY PRP SEARCH [QU] - Finish
PRP RA [BF] - Start
PRP RD [BE] - Start
PRP REMOVAL [BB] - Start
PRP RI [NA] - Start
PRP RI/FS [BD] - Start
RD/RA NEGOTIATIONS [AN] -Finish
REMOVAL NEGOTIATIONS [RN] - Finish
PRP SEARCH [QV] - Start
RD/RA NEGOTIATIONS [AN] -Finish
National
Collection
Rl 1-26604
Not Public
Owner: Dave
Reynolds
September 3 0,2015
XIII-16
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
EXHIBIT XIII.3. PROGRAM RECOMMENDED DOCUMENTS
......-............ PROGRAM RECOMMENDED ...-..............
Program Document
104 FAILURE TO RESPOND LETTER
104 INFORMATION REQUEST
107 REFERRAL MEMO TO DOJ
ADMINISTRATIVE ORDER ON CONSENT
(AOC)
ARCHIVE MEMO OR EQUIVALENT
BANKRUPTCY REFERRAL / PROOF OF
CLAIM (POC)
BANKRUPTCY SETTLEMENT
BANKRUPTCY STRATEGY PACKAGE
COMFORT / STATUS LETTER
CONTRACT MODIFICATION
COST RECOVERY PACKAGE
CREDITORS' LETTER/CORRESPONDENCE
DECISION NOT TO PURSUE COST
RECOVERY MEMO
DEMAND LETTER
FEASIBILITY STUDY (FS) WORK PLAN &
AMENDMENTS
FEDERAL REGISTER NOTICE OF
DELETION (NOD)
FEDERAL REGISTER NOTICE OF INTENT
TO DELETE (NOID)
; , ' . ' . SEMS Activity/Milestone
,
NO RESPONSE FOLLOW-UP LETTER (IQ) - Finish
ISSUE REQ LTTRS (104E) [1C] - Finish
COST RECOVERY NEGOTIATIONS [ME] - Finish
ADMIN ORDER ON CONSENT [AC] - Finish
RI/FS NEGOTIATIONS [FN] - Finish
ARCHIVE SITE [VS] - Finish
SECTION 106 LITIGATION [SX] - Start
BANKRUPTCY SETTLEMENT - Finish
SECTION 104(E) REF LITIGATION [SF] - Finish
BANKRUPTCY STRATEGY PACKAGE [BS] - Finish
COMFORT/STATUS LETTER [UB] - Finish
AWARD OF CONTRACT [AG] - Finish
TECHNICAL ASSISTANCE [TA] - Start
COST RECOVERY NEGOTIATIONS [ME] - Start
CREDITORS COMMITTEE MEETING [CK] - Finish
COST RECVRY DECSN DOCMT-NO SUE [DD] - Finish
DEMAND LETTERS ISSUED [DL] - Finish
FF FS [NI] - Start
DELETION FROM NPL [ND] - Finish
NOTICE OF INTENT TO DELETE [TU] - Finish
DELETION FROM NPL [ND] - Start
NOTICE OF INTENT TO DELETE [TU] - Finish (if streamlined)
NOTICE OF INTENT TO DELETE [TU] - Start
National
Collection
FY 16 SPIM
XIII-17
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM RECOMMENDED
Program Document
FEDERAL REGISTER NOTICE OF INTENT
TO PARTIALLY DELETE (NOIPD)
FEDERAL REGISTER NOTICE OF PARTIAL
DELETION (NOPD)
FF SITE REASSESSMENT REVIEW REPORT
OVERSIGHT BILL PACKAGE
GENERAL NOTICE LETTER (GNL)
1C INSTRUMENT - LIEN
INTEGRATED ESI / RI REPORT
DEVELOPED BY EPA
INTERAGENCY AGREEMENT (IAG)
LIEN STAMPED WITH DATE IT WAS FILED
IN THE REGISTRY OF DEEDS
LETTER APPROVING INTERIM OR FINAL
RA REPORT
LETTER DOCUMENTING OPERATIONAL
AND FUNCTIONAL (O&F) COMPLETION
LETTER TO PRP LETTING THEM KNOW
EPA INTENDS TO PERFECT A LIEN
LETTER TO STATE REFERRING SITE
BACK TO STATE FOR CLEANUP.
FIRST LETTER TRANSMITTING AN
ADMINISTRATIVE RECORD (AR) TO
REPOSITORY
LIEN DOCUMENT
LIEN ON POTENTIALLY RESPONSIBLE
PARTY (PRP) PROPERTY
LIEN RELEASE
; " SEMS Activity/Milestone
',/. ,
NOTICE OF INTENT TO PARTIALLY DELETE [TV] - Start
PARTIAL NPL DELETION [GR] - Finish
FEDERAL FACILITY SITE REASSESSMENT - Finish
ISSUANCE OF OVERSIGHT BILL [QZ] - Finish
NOTICE LETTERS ISSUED [NJ] - Finish
LIEN ON PRP PROPERTY [LP] - Finish
INTEGRATED ESI / RI - Finish
TECHNICAL ASSISTANCE [TA] - Start
FF FS [NI] - Start
LIEN ON PRP PROPERTY [LP] - Finish
OPERATIONS AND MAINTENANCE [OM] - Start
PRP LR [ME] - Start
LONG TERM RESPONSE ACTION [LR] - Start
LIEN ON PRP PROPERTY [LP] - Start
STATE DEFERRAL [AQ] - Start
ADMINISTRATIVE RECORDS [AR] - Start
LIEN ON PRP PROPERTY [LP] - Start
LIEN ON PRP PROPERTY [LP] - Start
LIEN ON PRP PROPERTY [LP] - Finish
National
Collection
September 3 0,2015
XIII-18
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM RECOMMENDED
Program Document
LITIGATION REFERRAL TRANSMITTAL
LETTER
MEMO STATING THAT EPA HAS
COMPLETED REVIEW AND PROVIDED
COMMENTS OR CONCURRENCE ON THE
UNCONTAMINATED PARCEL
DETERMINATION
MEMO STATING THAT EPA HAS
COMPLETED REVIEW AND PROVIDED
COMMENTS OR CONCURRENCE ON THE
OPS. SIGNED BY REGIONAL OFFICIAL
MEMO TO FILE DOCUMENTING THAT
THE CONTRACTOR HAS MOBILIZED AND
BEGAN SUBSTANTIAL AND CONTINUOUS
PHYSICAL ON-SITE REMEDIAL ACTION IS
REQUIRED.
OFFER TO DISCUSS OVERSIGHT
EXPECTATIONS LETTER
OVERSIGHT BILL PACKAGE
POTENTIALLY RESPONSIBLE PARTY
(PRP) NOTICE OF INTENT TO COMPLY
PROPOSED PLAN
PROSPECTIVE PURCHASER AGREEMENT
(PPA)
SIGNED 122(A) WAIVER OF SNL
SIGNED FINAL JUDGEMENT
SITE DECISION FORM
SITE DISCOVERY FORM OR PRE-CERCLA
SCREENING REPORT
; " SEMS Activity/Milestone
',/. ,
SECTION 104(E) REF LITIGATION [SF] - Start
SECTION 106 LITIGATION [SX] - Start
UNCONTAMINATED PARCEL DETERMINATION [XB] - Finish
FF RA - OPERATING PROPERLY AND SUCCESSFULLY - Finish
REMEDIAL ACTION ON-SITE CONSTRUCTION START [RG] - Finish
OFFER TO DISCUSS OVERSIGHT EXPECTATIONS [QY] - Finish
ISSUANCE OF OVERSIGHT BILL [QZ] - Finish
NOTICE OF INTENT BY ALL PARTIES [TT] - Finish
PRPS NTFY EPA, INTENT TO COMPLY [NC] - Finish
PROPOSED PLAN (NU) - Finish
(Parent actions are Combined RI/FS, PRP RI/FS, FS, PRP FS, FF FS, AND ROD)
PPA ASSESSMENT [QX] - Finish
SECTION 122 NOTICE OF WAIVER ISSUED [ML] - Finish
JUDICIAL/CIVIL JUDGEMENT [JG] - Finish
OTHER CLEANUP ACTIVITY [VA] - Finish
STATE DEFERRAL [AQ] - Finish
DISCOVERY [DS] - Finish
National
Collection
FY 16 SPIM
XIII-19
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
PROGRAM RECOMMENDED
Program Document
SITE INVESTIGATION (SI) CLOSURE
MEMO
STATE NOTIFICATION OF DELETION
TEN-POINT SETTLEMENT
UNARCHIVE MEMO OR EQUIVALENT
UNILATERAL ADMINISTRATIVE ORDER
(UAO)
WARRANT
WORK ASSIGNMENT FORMS (WAF)
TECHNICAL DIRECTION DOCUMENT
(TDD)
PROGRESS REPORTS
(MONTHLY/QUARTERLY/ANNUAL/FINAL)
AUTHORIZATIONS
MODIFICATIONS (MODS)
AMENDMENTS
; " SEMS Activity/Milestone
',/. ,
REMOVAL ASSESSMENT [RS] - Finish
NOTICE OF INTENT TO DELETE [TU] - Start
COST RECVRY DECSN DOCMT-NO SUE [DD] - Finish
SITEUNARCHIVED [VU] -Finish
UNILATERAL ADMIN ORDER [UA] - Finish
RI/FS NEGOTIATIONS [FN] - Finish
JUDICIAL/CIVIL JUDGEMENT [JG] - Start
WORK PEFORMANCE DOCUMENTATION (Contract Specific) - Need not be
Associated to an activity
National
Collection
See:
https://usepa.sharepoint.com/sites/OSWER_Work/osrti_rim/SourceDocs/Shared%20Documents/Simplified_SPIM_Doc_List.xlsx?d=
W2172ce6475el46a9b460f62bc6d7ebfa
September 3 0,2015
XIII-20
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
Superfund Program Implementation Manual
FY16
Appendix A: Work Planning Memorandum
FY 16 SPIM September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
September 30, 2015 FY 16 SPIM
-------
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-------
Pipeline activities
Pipeline and Remedial Action (RA) funding
Annual Commitment System (ACS) performance measures
Specific details about the schedule and agenda, including supplemental reports and documents, will be
added to the new work planning SharePoint site.
Key Dates and Activities
The key reporting and target/commitment setting dates are referred to below:
End-of-year reporting deadline for FY 2015 Pipeline activities and ACS measures
accomplishments (see FY 2015 SPIM II.D.S.b) is October 15
FY 2016 final commitment information reflecting Deputy Regional Administrator approval is
due in ACS October 16, 20151
Final FY 2016 Pipeline activity targets are due the day of your regional work planning meeting
OSRTI expects to run the Pipeline Operations Site Allowance allocation model (see description
in FY 2015 SPIM III.F.S.a) Friday, December 11, 2015
Pipeline activities (see FY 2012 SPIM Addendum VILA) that will be focused on for work planning
purposes include:
Remedial Investigation/Feasibility Study (RI/FS) Starts
NPL Decision Documents (Records of Decision (RODs), ROD Amendments, Explanations of
Significant Difference)
Remedial Design/Remedial Action Negotiation Starts and Completions
Remedial Design Starts and Completions
RA Starts and Completions
Remedial program ACS measures (see FY 2015 SPIM ILB.2.a-f) include:
Measure name
Remedial Site Assessment Completions
RA Project Completions
Construction Completions
Human Exposure under Control
Groundwater Migration under Control
Sitewide Ready for Anticipated use
FY 201 6 National Target
675
105
13
9
13
45
1 EPA's Office of Chief Financial Officer posts a Technical Guidance on the National Program Manager (NPM) Guidance
(referred to as Guidance on the NPM Guidance (http://www2.epa.gov/planandbudget/national-program-nianager-guidances)
page. Part of the NPM Guidance process includes developing ACS commitments and reporting results. Details of this
process, including key milestones, are included in the Guidance on the NPM Guidance.
-------
Preparation Instructions
SEMS will be used for FY 2016 planning and reporting activities. Regions should all be using the target
and work planning screen to enter their targets for Pipeline activities.
Regions should schedule a conference room equipped with phone, projector/screen and computer
(Adobe Connect) capabilities. The regional Information Management Coordinator (IMC) should be
prepared to open the SEMS targeting and work planning screen to review targets and plans.
At the time of regional meetings, regional pipeline targets should represent final targets for the FY 2016
fiscal year. Adjustments to targets discussed in work planning meetings, if any, must be made by the
Friday following the regional work planning meeting. Finalizing ACS commitments for the year will
follow the schedule outlined in the Guidance on the NPM Guidance document.
Regions should be prepared to discuss the current status of its Statute of Limitations targets and
targeting efforts with OSRE.
Conclusion
We encourage you to visit the work planning SharePoint site where information about work planning
will be regularly updated. If you have further questions, please contact Art Flaks (flaks.art@epa.gov;
703-603-9088; OSRTI) or Vince Velez (velez.vincent@epa.gov; 202-564-4972; OSRE). We look
forward to meeting with each region.
cc: James Woolford, OSRTI
Cyndy Mackey, OSRE
OSRTI Managers
OSRE Managers
Reggie Cheatham, OEM
David Lloyd, OBLR
Charlotte Bertrand, FFRRO
Kristin Giacalone, Superfund Lead Region Coordinator, Region 2
Superfund Program Branch Chiefs, Regions 1-10
Regional Counsel Superfund Branch Chiefs, Regions 1 -10
Cost Recovery Coordinators, Regions 1-10
IMCs, Regions 1-10
Budget Coordinators, OSRTI and Regions 1-10
Superfund Program Enforcement Contacts, Regions 1-10
Carolyn E. Williams, OSRTI Documents Coordinator
-------
OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
FY 16 SPIM September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
Superfund Program Implementation Manual
FY16
Appendix B: Regional and Headquarters Contacts
FY 16 SPIM September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
September 30, 2015 FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
Appendix B: Regional and Headquarters Contacts
Table of Contents
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B OSRTIRegional Coordinators (Pre-Remedial) B-3
B.C OSRTI Regional Coordinators (Remedy Selection) B-3
B.D OSRTI Regional Coordinators (Construction & Post Construction) B-4
B.E FFRRO Regional Coordinators B-4
B.F OSRE Regional Coordinators B-4
B. G Office of Emergency Management (OEM) HQ Removal Coordinators B-5
B.H Regional Information Management Coordinators B-5
B.I Regional Budget Coordinators B-6
B.J HQ Superfund Cost Recovery Contacts B-6
B.K Regional Cost Recovery Contacts B-7
FY 16 SPIM B-i September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
This Page Intentionally Left Blank
September 30, 2015 B-ii FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
APPENDIX B: REGIONAL AND HEADQUARTERS CONTACTS
B.A HEADQUARTERS (HQ) SUBJECT MA TIER EXPERTS/DA TA SPONSORS
Subject Awa
Annual Commitment System
ARRA
Community Involvement
Construction Completions
Cost Recovery Process
Cost Recovery Statute of
Limitations
Data Quality
Enforcement Measures &
Reports
Environmental Indicators
Environmental Justice
Federal Facilities
Enforcement Budget
Federal Facilities Measures
Federal Facilities Response
Federal Facilities Response
Budget Execution
Federal Facilities Response
Budget Planning
Five Year Reviews
FOIA (OSRTI)
Groundwater
Institutional Controls
Mining Sites
NPL Deletions/Partial
Deletions
OEM - Removal
Implementation
/Htme-of Coptact
Lou Belsito
Barbara McDonough
Freya Margand
Laura Knudsen
Anne Dailey
Mary Bell
Mary Bell
Sheldon Selwyn
Mary Bell
Richard Norris
Yolanda Sanchez
Lance Elson
Michele Indermark
Ellen Treimel
Marie Bell
Michele Indermark
Jennifer Edwards
Bill Bushee
David Bartenfelder
Howard Fribush
Shahid Mahmud
Chuck Sands
Rob Fox
Peter Oh
Emafl
belsito . louistSlepa. sov
mcdonoush.barbara(S>,epa. sov
marsand.freva(@,epa. sov
knudsen.laura(@,epa. sov
dailev.anne(2>,epa.sov
bell. marv(8),epa. sov
bell. marv(@,epa. sov
selwvn. sheldontSiepa. sov
bell. marv(8),epa. sov
norris.rich(S>epa.sov
sanchez.volandatSlepa. sov
elson.lance(3),epa. sov
indermark.michele(2>,epa. sov
treimel.ellen(S),epa.sov
bell. marie(@,epa. sov
indermark.michele(2>,epa. sov
edwards .i ennifer(3>epa. sov
bushee . williani(@,epa. sov
bartenfelder. davidtSlepa. sov
fribush.howard(3),epa.sov
mahmud. shaihid(ฎ,epa. sov
sands.charles(3),epa.sov
fox.rob(3),epa.sov
oh.peter(@,epa. sov
Pliope TXjiyatyst
703-603-8708
703-603-9042
703-603-8889
703-603-8861
703-347-0373
202-564-2256
202-564-2256
703-603-8776
202-564-2256
703-603-9053
415-972-3880
202-564-2577
703-603-0052
703-603-0720
703-603-0050
703-603-0052
703-603-8762
703-603-8963
703-603-9047
703-603-8831
703-603-8789
703-603-8857
202-564-1538
202-564-2375
FY 16 SPIM
B-l
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
OEM - Removal Planning &
Reporting
OSRE
OSRE/Action Codes -
Enforcement, Annual Budget
Process
OSRE Budget
OSRE Work Planning
OSRTI Budget Execution
OSRTI Budget, Planning &
Evaluation
OSRTI Annual Budget
Process (SEMS Action
Codes)
OSRTI Work Planning
OSWER Budget
Pipeline Allocation Model
Post-Construction
Radiation Contaminated Sites
Remedial Design/Remedial
Action
Remedial Financial Data
Remedy Selection
SCAP Report Coordinator
Site Assessment/NPL Listing
Special Accounts
SPIM Lead
Superfund Alternative
Approach
Superfund Financial
Management
Superfund Redevelopment
Rob Fox
Peter Oh
Eric French
Mary Bell
Alice Ludington
Laura Milton
Alice Ludington
Amy Vandenburg
Art Flaks
Alan Youkeles
Lou Belsito
William Dalebout
Larry Wilbon
Lou Belsito
William Dalebout
Tracy Hopkins
Stuart Walker
Kate Garufi
Alan Youkeles
Melanie Keller
Emily Johnson
Chip Love
Randy Hippen
Tracey Stewart
Jennifer Hovis
Nancy Browne
Kevin Brittingham
Tanya Jenifer
Tina van Pelt
Melissa Friedland
fox.rob(@,epa.sov
oh.peter(S),epa. sov
french. eric(@,epa. sov
bell. marv(@,epa. sov
lundinston.alice(3),epa.sov
milton.laura(8),epa. sov
lundinston.alice(@,epa.sov
vandenburs.amvfSlepa.sov
flaks.art(@,epa.sov
voukeles.alan(3),epa.sov
belsito . louistSlepa. sov
dalebout. william(ฎ,epa. sov
wilbon.larrv(@,epa.sov
belsito . louis(@,epa. sov
dalebout. william(3>epa. sov
hopkins.tracv(ฎ,epa.sov
walker. stuart(@,epa. sov
samfi.katherine(@,epa. sov
voukeles.alan(3),epa.sov
keller.melanie(3),epa. sov
iohnson.emilv(@,epa.sov
love .chip(3),epa. sov
hippen. randv (3),epa. sov
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hovis.iennifer(8),epa.sov
browne.nancv(3),epa.sov
brittinsham.kevin(ฎ,epa. sov
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vanpelt.tina(3),epa. sov
friedland. melissa(ฎ,epa. sov
202-564-1538
202-564-2375
202-564-0051
202-564-2256
202-564-6066
202-564-6017
202-564-6066
703-603-9028
703-603-9088
703-603-8784
703-603-8708
703-603-9058
202-566-1903
703-603-8708
703-603-9058
703-603-8788
703-603-8748
703-603-8827
703-603-8784
703-603-8706
703-603-8764
703-603-0695
703-603-8829
703-603-8791
703-603-8888
202-564-4219
202-564-4941
202-564-7572
202-564-4984
703-603-8864
September 3 0,2015
B-2
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
B.B OSRTI REGIONAL COORDINA TORS (PRE-REMEDIAL)
^abject-Area
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
Name of C?ontw$
Terry Jeng
Terry Jeng
Terry Jeng
Jennifer Wendel
Jennifer Wendel
Ji-Sun (Sun) Yi
Terry Jeng
Jennifer Wendel
Heather Njo
Terry Jeng
Melanie Keller
Jennifer Wendel
Jennifer Wendel
Email
/
i ens.terrv(8),epa. sov
i ens.terrv(@,epa. sov
i ens.terrv(2>,epa. sov
wendel.iennifer(S>epa.sov
wendel.iennifer(S>epa.sov
vi.H-sun(S>epa.sov
i ens.terrv(@,epa. sov
wendel.iennifer(S>epa.sov
ni o . heather(3),epa. sov
i ens.terrv(@,epa. sov
keller.melanie(@,epa. sov
wendel.iennifer(S>epa.sov
wendel.iennifer(3),epa.sov
Phone Number
/'' ' .-' ,-* *
703-603-8852
703-603-8852
703-603-8852
404-562-8799
404-562-8799
703-603-8721
703-603-8852
404-562-8799
703-603-9246
703-603-8852
703-603-8706
404-562-8799
404-562-8799
B.C OSRTI REGIONAL COORDINATORS (REMEDY SELECTION)
Subject Area
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
/Name-of Contact
Christine Poore
rieatner INJO IN j
Ji-Sun(Sun)Yi-NY
Melanie Keller
Silvina Fonseca
Ji-Sun (Sun) Yi
Christine Poore
Heather Njo
Melanie Keller
Christine Poore
Silvina Fonseca
Email
poore.christine(@,epa.sov
ni o . heathertSiepa. sov
vi.u-sun(8),epa.sov
keller.melanie(2>,epa. sov
fonseca. silvinatSlepa. sov
vi.u-sun(8),epa.sov
poore.christine(3),epa.sov
ni o . heather(S>epa. sov
keller.melanie(@,epa. sov
poore.christine(@,epa.sov
fonseca. silvina(3),epa. sov
Phone Number
. , y , , y y
703-603-9022
703-603-9246
703-603-8721
703-603-8706
703-603-8799
703-603-8721
703-603-9022
703-603-9246
703-603-8706
703-603-9022
703-603-8799
FY 16 SPIM
B-3
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
B.D OSRTI REGIONAL COORDINA TORS (CONSTRUCTION & POST CONSTRUCTION)
Subject Area
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
Nape of Contact
Chuck Sands
Kate Garufi
Amanda Van Epps
Anne Dailey
Laura Knudsen
Howard Fribush
Kate Garufi
Tracy Hopkins
Jennifer Edwards
Jennifer Edwards
Email
/
sands.charles(2>,epa.sov
sarufi.katherine(@,epa. sov
vanepps .amanda(@,epa. sov
dailev.anne(@,epa.sov
knudsen.laura(@,epa. sov
fribush.howard(2>,epa.sov
sarufi.katherine(@,epa. sov
hopkins.tracv(ฎ,epa.sov
edwards .i ennifer(@,epa. sov
edwards .i ennifer(3),epa. sov
PhoneNumber
/'' ' .-' ,-* *
703-603-8857
703-603-8827
703-603-8855
703-347-0373
703-603-8861
703-603-8831
703-603-8827
703-603-8788
703-603-8762
703-603-8762
B.E FFRRO REGIONAL COORDINA TORS
Subject Area
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
/Name-of Contact
Benjamin Simes
Doug Maddox
Mary T. Cooke
Monica McEaddy
John Burchette
Monica McEaddy
Jyl Lapachin
Seth Low
Dianna Young
Michele Indermark
Email
simes .beni amin(S>epa. sov
maddox. dous(@,epa. sov
cooke.marvt(@,epa.sov
mceaddv. monica(3),epa. sov
burchette .i ohn(3>epa. sov
indermark.michele(2>,epa. sov
lapachin.ivl(3),epa.sov
low. seth(S>,epa. sov
vouns. diannatSlepa. sov
indermark.michele(2>,epa. sov
Pliope Kuml|er
703-603-0055
703-603-0087
703-603-8712
703-603-0044
703-603-8807
703-603-0052
703-603-0046
703-603-9087
703-603-0045
703-603-0052
B.F OSRE REGIONAL COORDINATORS
Subject Area
^
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Hams of Contact
Barbara Gutierrez
Meredith Fishburn
Manuel Ronquillo
Derek Threet
David Smith- Watts
Email
sutierrez.barbara(2>,epa. sov
fishburn.meredith(@,epa. sov
ronquillo .manuel(@,epa. sov
threet.derek(3),epa.sov
smith-watts. davidtSlepa. sov
Phone Number
202-564-4292
202-564-4790
202-564-6065
202-564-1409
202-564-4083
September 3 0,2015
B-4
FY 16 SPIM
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OSWER Directive 9200.3-15-1G-Z
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
Brian Motto
Gary Worthman
Jared Hautamaki
Christina (Tina) Skaar
Antoinette Powell-Dickson
motto .briantS.epa. sov
worthman. sarv(2>,epa. sov
hautamaki.iared(@,epa.sov
skaar.christina(ฎ,epa.sov
powell-dickson.antoinette(ฎ,epa.sov
202-564-6009
202-564-4296
202-564-4229
202-564-0895
202-564-5136
B. G OFFICE OF EMERGENCY MANA CEMENT (OEM) HQ REMO VAL COORDINA TORS
Subject Ai^ea
Regional Coordination Team
Leader
Region 1 Coordinator
Region 2 Coordinator
Region 3 Coordinator
Region 4 Coordinator
Region 5 Coordinator
Region 6 Coordinator
Region 7 Coordinator
Region 8 Coordinator
Region 9 Coordinator
Region 10 Coordinator
Name of Contact
*" .- ,-
Brian Schlieger
Tim Grier
Tim Grier
Janine Dinan
Roberta Runge
Brian Schlieger
Lisa Boynton
Lisa Boynton
Janine Dinan
Jean Schumann
Mike Faulkner
Enjafl
schlieser.brianSiepa. sov
srier.tim(S>epa. sov
srier.tim(8),epa. sov
dinan.ianine(2>,epa.sov
runse.roberta(@,epa.sov
schlieser.brianSiepa. sov
bovnton.lisa(@,epa.sov
bovnton.lisa(2>,epa.sov
dinan.ianine(@,epa.sov
schumann.i ean(3),epa. sov
faulkner.miketSlepa. sov
^hone Numl|sr
202-564-3128
202-564-2361
202-564-2361
202-564-8737
202-564-1973
202-564-3128
202-564-2487
202-564-2487
202-564-8737
202-564-1977
202-564-1978
B.H REGIONAL INFORMATION MANAGEMENT COORDINATORS
Subject Ai^ea
Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
Name of Contact
" ,.- ,-
Brenda Haslett
Diann Cox-Tramel
Susie Chun
Charlotte Whitley
Doug Zamastil
Alice Hollier
Michelle Quick
Dianna Lim
Kevin Castro
Lynne Kershner
Epajl
haslett.brenda(@,epa. sov
cox-tramel. diannt@,epa. sov
chun. susie (3),epa. sov
whitlev.charlotte(@,epa.sov
zamastil. dous(@,epa. sov
hollier.alice(@,epa.sov
quick. michelle(3),epa. sov
lim. dianna(3),epa. sov
castro .kevinSiepa. sov
kershner. lvnne(3),epa. sov
^hone Numl|sr
617-918-1357
212-637-4345
215-814-2469
404-562-8863
312-886-0650
214-665-8319
913-551-7335
303-312-7830
415-972-3281
206-553-6518
FY 16 SPIM
B-5
September 30, 2015
-------
OSWER Directive 9200.3-15-1G-Z
B.I REGIONAL BUDGET COORDINA TORS
Location/Region
Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
Name of Contact
Joan Buonopane
Courtney McEnery
Maryanne Ruiz
Charlotte Whitley
Saray Cubacub
Carlene Chambers
Teri Hankins
Mandi Rodriguez
Jackie Easley
(Enforcement)
Anabel Yo-Eco
Lynne Kershner
Email
buonopane . i oan(@,epa. sov
mcenerv . courtnev(ฎ,epa. sov
ruiz.marvanne(2>,epa. sov
whitlev.charlotte(@,epa.sov
cubacub . sarav (2>, epa. sov
chambers.carlene(S>,epa.sov
hankins .teri(S>epa. sov
rodrisuez. mandi(@,epa. sov
easlev . i ackie(@,epa. sov
vo-eco . anabel(@,epa. sov
kershner. lvnne(3),epa. sov
Phone Number
617-918-1227
212-637-4295
215-814-5779
404-562-8863
312-353-1518
214-665-3181
913-551-7118
303-312-6697
303-312-6758
415-972-3225
206-553-6518
B.J HQ SUPERFUND COST RECOVERY CONTACTS
,Area of Specialization
Annual Allocation
Cost Documentation and
Reporting
National Cost Documentation
Advisor; Special Projects
Program Costing Staff Acting
Director & Associate
Director; Superfund Policy
Regional Coordination &
SCORPIOS
Superfund Indirect Costs
Superfund Interest Rate; Trust
Fund Oversight
Na,pe of {Jonta,t
Jill Beresford
Vickie Spencer
Tina Van Pelt
Kevin Brittingham
Kevin Brittingham
Dale Miller
Meshell Jones-Peeler
Tina Van Pelt
Alan Eng
Nikki Robinson
Emjiii
beresford.iill(8),epa.sov
spencer. vickie(3),epa. sov
vanpelt.tina(3),epa. sov
brittinsham.kevin(@,epa. sov
brittinshamkevinS.epa. sov
miller. dale(S),epa. sov
iones-peeler.meshell(@,epa.sov
vanpelt.tina(@,epa. sov
ens. alan(3),epa. sov
robinson.nikki(S>,epa.sov
Phone Number
/'' ' .-' ,-* *
202-564-4805
202-564-9851
202-564-4984
202-564-4941
202-564-4941
202-564-2586
202-564-3160
202-564-4984
202-564-3203
202-564-1784
September 3 0,2015
B-6
FY 16 SPIM
-------
OSWER Directive 9200.3-15-1G-Z
B.K REGIONAL COST RECOVERY CONTACTS
Location/Region
Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
Name of Contact
Joan Buonopane
Carlos Kercado
Alexida Perez
Don Pace
Daria Arnold
Steven Pandza
Diane McCall
Sarah Franco
Charles Hayes
Vickie Tellis
Richard Hackley
Linda Haile
Michael Bednarz
Carolyn Ragon
Rey Gomez
John Phillips
Karren Johnson
Joe Poetter
David Wood
Carrie Williams
Scott Ryan
Email
buonopane . i oan(@,epa. sov
kercado.carlos(@,epa.sov
perez.alexida(2>,epa.sov
pace.donald(@,epa.sov
arnold. daria(3),epa. sov
pandza. steven(3>epa. sov
mccall.diane(@,epa.sov
franco . sarah(@,epa. sov
haves.charles(@,epa. sov
tellis .vickie(@,epa. sov
hacklev .richard(@,epa. sov
haile . linda(3),epa. sov
bednarz.michael(S>,epa. sov
rason.carolvn(S>epa. sov
somez.revnaldo(2>,epa. sov
phillips.iohn(@,epa.sov
i ohnson.karren(ฎ,epa. sov
poetter.ioe(@,epa.sov
wood. david(3),epa. sov
williams.carrie(@,epa.sov
rvan. scott(@,epa. sov
Phone Number
617-918-1227
212-637-3480
212-637-4144
212-637-4135
215-814-5171
215-814-5178
215-814-5172
404-562- 8215
404-562-8393
404-562-8218
312-886-9144
312-353-4175
312-353-8480
214-665-8389
214-665-6520
913-551-7014
303-312-6159
303-312-6186
415-972-3709
206-553-1194
206-553-0285
FY 16 SPIM
B-7
September 30, 2015
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OSWER Directive 9200.3-15-1G-Z
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September 30, 2015 B-8 FY 16 SPIM
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