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MEMORANDUM "-*•"
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- f u I 'I r ,i , , i ,i ! ,i (_
SUBJECT: Final FY 2012 Superfund Program Implementation Manual (SPIM)
FROM: Robin II Richardson, Director ; X,f.,. " ~":- ?'-t,4
Resources Management Division fe " •"' •-•**" " """•"•
Office of Superfund Remediation & Technology Innovation
TO: Addressees
PURPOSE
This memorandum announces the release of Office of Solid Waste and Emergency Response
(OSWER) Directive 9200.3-14-1G-W, Superfund Program Implementation Manual (SPIM), Fiscal
Year (FY) 2012.
DOCUMENT
Headquarters and Regional staff worked collaboratlvely throughout the last year to completely revise
the FY12 SPIM based on feedback received from the FY11 effort. This final document represents a
tremendous amount of time and effort of many people across the program. Thank you to all who
participated in the review and update of the SPIM. The new look does impact the flow and format of
the information.
The overall approach was to streamline the document and make it more readable. Each Chapter and
Appendix was reviewed and edited by the relevant Subject Matter Experts (SME) and Data Sponsors
and then circulated for two regional reviews. Final edits and responses were provided by the SME and
Data Sponsors.
IMPACT ON CERCLIS
The attached Impact Analysis provides a comprehensive summary of potential impacts of the revised
FY12 SPIM that may affect CERCLIS and/or the SCAP reports. '
ACTION
The SPIM is in an electronic formal. If you have specific program questions, please contact the SME
identified on the change log or within Appendix B of the SPIM. Please contact Rcnee Hamilton (703-
603-9092) for general SPIM questions. The FY12 SPIM can be found at
691813
Attachments
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Addressees
TO: Superfund Branch Chiefs (Regions I - X)
Regional Counsel Branch Chiefs (Regions I - X)
CC: OSRTI Division Directors and Branch Chiefs
Superfund National Policy Managers (Regions I - X)
Regional Counsels (Regions 1 - X)
Information Management Coordinators (Regions 1 - X)
Budget Coordinators (Regions I - X)
Financial Management Coordinate's (Regions 1 - X)
Kathy Jones
James Woo I ford
Barnes Johnson
Elizabeth Southerland
Elliott Gilberg
Laura Milton
Charlotte Englert
David Hindin (2222A)
Gail Cooper
Dana Stalcup
SuePriftis(5 103}
Lance Elson (226 I A) '
Randy Hipp en
Marie Bell (5
Terry Jeng
Richard Jeng
Tracy Hopkins
ICarin Koslow
Pal Kennedy
Kevin Brittingham (2733 R)
Charles Sands
Brendan Roache
Steven Btankenship
Deborah Dietrich
Kerron Western
Monica Gardner
Tina van Pelt
Vincent Velez
lanthaGilmore
Bernard Schorle
Catherine Allen
Phyllis Anderson
Bill Finan
Armando Santiago
Mary Bell
Lisa Guarneiri
Eric French
Ann Pontius
Beckett Grealish
Debbie Bishop
Amy Vandenbyrg
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OSWER Directive 9200.3-14-1G-W
Superfuncl Program Implementation Manual FY 12
Impact Analysis
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
IMPACT ANALYSIS
The following are potential impacts resulting from the FY 12 SPIM that may affect
CERCLIS or the SCAP reports. In addition, changes to the SPIM may impact Data Quality
Objectives and Quick Reference Guides. The impacts identified are based on a limited review of
the data. Additional impacts may be identified once the requirements analysis is complete.
General
Changes to the Subject Matter Experts will require updates to the Subject Matter Experts
in the SCAP reports.
References to the old Appendix structure of the SPIM will need to be updated in external
materials.
Chapter V
Modified available Site Qualifiers and Type of Use Indicators. This change may require
changes to CERCLIS and/or SCAP reports.
Chapter VII
Modified Remedial Investigation (RI) and Feasibility Study (FS) definitions. This change
may require changes to CERCLIS and/or SCAP reports.
Added Final Inspection by EPA SubAction to support new RA measure. This change
may require an update to CERCLIS and/or SCAP reports.
Renamed 'Completion of a Response Action' to 'Remedial Action Completion' for
consistency with new RA measure. This change may require an update to SCAP reports.
Updated several activities to be consistent with new Close Out Procedures guidance.
This change may require an update to CERCLIS and/or SCAP reports.
Chapter VIII
Updated several activities to be consistent with new Close Out Procedures guidance.
This change may require an update to CERCLIS and/or SCAP reports.
Added new rules on due date for late Federal Facility Five Year Reviews (FYRs). This
change may require an update to CERCLIS and/or SCAP reports.
Chapter IX
Modified Pre-Remedial Enforcement Action at Superfund Sites definition. This change
may require an update to CERCLIS and/or SCAP or Enforcement reports.
FY 12 SPIM 1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Modified Criteria for Credit of Enforcement Activities at Superfund Alternative Sites title
and definition. This change may require an update to CERCLIS and/or SCAP or Enforcement
reports.
Modified Total Response Commitments definition. This change may require an update to
CERCLIS and/or SCAP or Enforcement reports.
Modified Total Cost Recovery Settlements definition. This change may require an update
to CERCLIS and/or SCAP or Enforcement reports.
Added a new measure for Compliance Tracking. This change may require an update to
CERCLIS and/or SCAP or Enforcement reports.
Added a Reclassification of Special Account Funds definition. This change may require
an update to CERCLIS and/or SCAP or Enforcement reports.
Modified Closure of Special Accounts definition. This change may require an update to
CERCLIS and/or SCAP or Enforcement reports.
March 20, 2012 2 FY 12 SPIM
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United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
OSWER 9200.3-14-1G-W
March 20, 2012
Superfund
SEPA Superfund Program Implementation Manual
Fiscal Year 2012
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 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Table of Contents
Managers' Schedule of Significant Events
Acronyms
Organizational Charts
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
1C CERCLIS ,7-5
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 Measures II-4
a. Superfund-lead removal actions completed annually 11-4
b. PRP removal completions (including voluntary, Administrative Orders on
Consent (AOC) and Unilateral Administrative Order (UAO) actions) overseen
by EPA 77-5
c. Superfund-lead removal actions completed annually per million dollars II-5
II.B.2 Remedial and Federal Facilities Program Measures II-5
a. Number of Superfund 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 of Superfund sites with remedy construction completed (CCs)II-5
d. Number of Superfund sites with human exposures under control 11-6
FY 12 SPIM TOC-1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
e. Superfund sites with contaminated groundwater migration under control 11-6
f. Number of Superfund sites ready for anticipated use sitewide (SWRA U) 11-6
g. Acres "Protective for People Under Current Conditions " (PfP) 11-7
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 > $200,000 77-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater 11-7
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 11-11
II.D.l Third Quarter 11-12
a. Current Year Performance Tracking 77-72
b. Planning for the Upcoming Year 77-72
II.D.2 Fourth Quarter 11-13
a. Planning for the Upcoming Year 77-73
b. End of Year Performance Tracking 77-73
II.D.3 First Quarter (of the subsequent year) 11-13
a. Planning for the Current Year 77-73
b. Prior Year Performance Tracking 77-73
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.l Regional Organization Financial Roles and Responsibilities III-l
a. Regional Administrator (unless delegated) 777-7
b. Regional Financial Office (RFO) 777-2
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 (RPO)/Deputy Project Officer (DPO) 777-3
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. 777-4
d. Office of Budget, OCFO 777-5
March 20, 2012 TOC - 2 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
e. Office of Financial Management (OFM), OCFO III-5
f. Office of Grants and Debarment (OGD), OARM. IU-5
g. Research Triangle Park (RTF) Finance Center, Office of Financial Services,
OCFO III-5
III.C Financial Vehicles 7/7-5
III.C.l Contracts III-5
III.C.2 Interagency Agreements (lAs) III-7
III.C.3 Cooperative Agreements (CA) III-7
III.C.4 Technical Assistance Grants (TAGs) III-7
777.7) Financial Data Management Tools 777-5
III.D.l CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) Reports III-8
III.D.2 Budget Automated System (BAS) III-8
III.D.3 Compass (formerly IFMS) III-8
III.D.4 Compass Business Objects Reporting Tool III-9
III.D.5 Compass Data Warehouse (CDW) III-9
III.D.6 Superfund Cost Recovery Package and Image On-Line System (SCORPIOS) III-9
III.D.7 PeoplePlus (PPL) 111-10
777.7i Superfund Accounting Information and Treatment of CERCLIS Data 111-10
III.E.l Superfund Account Number 111-10
a. Fund/Appropriation Code III-ll
b. Budget Organization 111-12
c. Program Results Code (PRC) 111-12
d. Project Field 111-14
e. Cost Organization 111-14
III.E.2 Handling Financial Data in the CERCLIS Environment 111-15
a. Deleting Planned Obligation Data from CERCLIS 111-15
b. Correcting Financial Data 111-15
III.F Allocating Superfund Resources Among the Regions 777-76
III.F.l Managing Site Allowance Resources in CERCLIS 111-16
III.F.2 Deobligating Prior Year Funds 111-17
III.F.3 Removal Program Resources (PRC 303DC6) 111-17
III.F.4 Remedial Response Program Resources (PRC 303DD2) 111-18
a. Remedial Action Site Allowance 111-18
b. Pipeline Operations Site Allow'ance 111-19
III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9) 111-19
III.F.6 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) 111-20
III.F.7 Enforcement Program (PRC 501EC7) 111-20
III.F.8 Federal Facilities Enforcement Program Resources (PRC 501EH2) 111-21
777. G Cost Recovery 777-27
III.G.l Recoverable Costs 111-22
a. Direct Costs 111-22
b. Contractors' Annual Allocation Costs 111-22
c. Indirect Costs 111-22
777.77 Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 111-23
III.H.1 WQ SSID and WQ Action Code 111-23
a. WQSSID 111-23
b. WQ Action Code 111-24
FY 12 SPIM
TOC-3
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
III.H.2 ZZSSID 111-24
III.H.3 OOSSID 111-24
III.I SuperfundState Contracts (SSC) 7/7-25
III.I.l Cost Share Provisions 111-25
III.I.2 Constraints on Obligating Funds for RA 111-26
III.I.3 Cost Share Payments 111-26
III.I.4 Using Funds from State Cost Share Payments 111-27
III.J Special Accounts 777-27
III.K Using the Fiduciary Reserve to Address Cost Overruns 777-25
Chapter IV: CERCLIS Data Management and CERCLIS Codes
IV.A Introduction IV-1
IV.B CERCLIS Regional/Headquarters Roles and Responsibilities IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-2
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
04b.Data Owners IV-3
c. OSRTI Resource Management Division - Budget Planning and Evaluation
Branch IV-3
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 CERCLIS Data Entry/Quality Requirements IV-5
IV.C.I Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in CERCLIS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
IV.C.3 Data Lockout on Historical Accomplishments IV-6
IV.C.4 Data Validation and Verification IV-7
IV.D CERCLIS Program Priority Codes IV-8
IV.D.I Superfund Alternative Approach IV-8
IV.D.2 Mega-Sites IV-8
IV.E Action Lead Codes IV-9
IV.F Action Codes Available for Financial Transactions IV-10
IV.G Action and Other Qualifier Codes IV-15
IV.G. 1 Takeovers, Phased Indicators and Other Action Code Anomalies IV-15
a. Takeovers IV-16
b. CERCLIS Coding For Takeovers IV-17
c. Phased Projects IV-18
d. Other Anomalies IV-19
March 20, 2012
TOC-4
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
IV.G.2Other Qualifiers IV-19
Chapter V: Site Assessment/NPL Listing
V.A Site Assessment V-l
V.A.I Introduction V-l
V.A.2 Site Assessment V-2
V.A.3 Site Assessment Backlogs V-3
V.A.4 Overview of Site Assessment/NPL Listing Targets and Measures V-3
V.A.5 Site Status Indicators V-6
V.A.6 Data Quality V-10
V.A.7 Action Qualifiers for Site Assessment Actions V-10
a. No Further Remedial Action Planned (NFRAP) V-10
b. Further Evaluation V-ll
c. Perform a Removal V-ll
d. Defer the Site to RCRA (Subtitle C) or the NRC V-ll
e. Sites addressed as part of existing NPL sites V-ll
f. Sites addressed as part of other existing non-NPL sites V-l 2
g. State Deferral Action Qualifiers V-l 2
h. Referred From RCRA Action Qualifier V-l 3
i. Assessment Complete - Decision Needed Action Qualifier V-l 3
V.A.8 Special Initiatives V-15
V.A.9 Site Assessment Critical Indicators V-15
V.A. 10 Pre-CERCLIS Screening Assessments V-16
a. Definition of Accomplishment: V-16
b. Referred From RCRA V-18
c. Site Discovery V-l 9
d. Sites Archived V-21
e. Preliminary Assessments (PA) at Non-Federal Facility Sites V-23
f. Federal Facility Preliminary Assessment Reviews V-25
g. Site Inspections (SI) at Non-Federal Facility Sites V-25
h. Site Reassessment V-27
i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites V-29
j. Federal Facility SI Reviews V-31
k. Federal Facility ESI Reviews V-31
I. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-
Federal Facility Sites V-31
m. State Deferral of Non-Federal Facility Sites V-33
n. Hazard Ranking System Package (HRS) V-34
o. NPL Listing V-36
p. Other Cleanup Activity (OCA) V-38
V.A. 11 Tribal Inventory Information V-41
a. Native American Interest V-41
b. Associating Site to an American Indian Tribe/Alaskan Native Entity V-41
Chapter VI: Removal Program
VI.A Protect Human Health and the Environment VI-1
VI.A.l Removal Actions VI-1
VI.A.2 Removal Initiation VI-1
FY 12 SPIM TOC - 5 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
VI.A.3 Overview of Removal Actions Target and Measures VI-1
a. Removal Starts VI-2
b. Removal Completions VI-4
Chapter VII: Remedial Program
VILA Remedial Program Targets and Measures VII-1
VII. A.I Remedial Program Targets and Measures VII-1
VII.A.2Remedial Program Definitions VII-3
a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund
Alternative) VII-3
b. Feasibility Study (FS) (NPL & Superfund Alternative) VII-6
c. Combined RI/FS (NPL & Superfund Alternative) VII-10
d. Treatability Studies (NPL & Superfund Alternative) VII-13
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund
Alternative) VII-14
f. Engineering Evaluation/Cost Analysis (EE/CA) VII-15
g. Decision Documents (NPL & Superfund Alternative) VII-16
h. Final Remedy Selected VII-20
i. Remedial Design (RD) Start (NPL & Superfund Alternative) VII-22
j. RD Completion (NPL & Superfund Alternative) VII-24
k. Remedial Action Start (NPL & Superfund Alternative) VII-25
1. RA Contract Award (NPL & Superfund Alternative) VII-31
m. Start ofOn-Site Construction (NPL & Superfund Alternative) VII-32
n. Operational and Functional (NPL & Superfund Alternative) VII-35
o. Final Inspection by EPA (NPL & Superfund Alternative) VII-36
p. Remedial Action Completion (NPL & Superfund Alternative) VII-37
q. Construction Completion (NPL & Superfund Alternative) VII-39
r. Long-Term Response Action (LTRA andPRP LR) (NPL & Superfund
Alternative) VII-40
s. Operation and Maintenance (O&M) (NPL & Superfund Alternative) VII-42
t. Cleanup Goals Achieved (NPL & Superfund Alternative) VII-44
u. Ground Water Monitoring (NPL & Superfund Alternative) VII-45
v. NPL Site Completions VII-46
w. Five Year Reviews VII-47
x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative) VII-52
y. Partial NPL Deletion VII-53
z. Final NPL Deletion VII-55
aa. Protective for People Under Current Conditions (PFP) VII-56
bb. Ready for Anticipated Use (RAU) VII-58
cc. Cross-Program Revitalization Measures (CPRM) Indicators VII-60
dd. Human Exposure Under Control VII-62
ee. Migration of Contaminated Ground Water Under Control VII-67
ff. Populations Protected VII-70
gg. Cleanup Volume VII-71
hh. Support Agency Assistance VII-72
ii. Technical Assistance VII-73
March 20, 2012 TOC - 6 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Chapter VIII: Federal Facility Program
VIII. A Federal Facilities Goals and Priorities VIII-3
VIII.A.1 Overview VIII-3
VIII.A.2 Superfund Federal Facility Goals VIII-3
a. Strategic Federal Facility Goals VIII-3
b. Cross-Program Revitalization Measure Implementation VIII-5
c. Cross-Program Revitalization Measures (CPRM) Indicators VIII-5
VIII.A.3 EPA's Federal Facility Superfund Cleanup Principles VIII-8
VIII.A.4 Federal Facility Docket and Site Discovery/Site Assessment VIII-11
a. Overview VIII-11
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process VIII-11
c. Federal Facility Site Assessment Process and Time Frames VIII-13
d. Authority for Conducting Federal Facility Site Assessments - E. O. 12580 VIII-13
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
VIII-14
f. Tracking of Federal Facility Sites in CERCLIS VIII-15
VIII.A.5 BRAC Budget and Financial Guidance VIII-16
a. Resources and Tracking Mechanisms VIII-16
b. Accountability for Resources VIII-16
VIII.A.6 Cleanup Privatization at BRAC NPL Sites VIII-18
VIII.A.7 Military Munitions Response Program VIII-18
VIII.A.8 Stakeholder Involvement VIII-19
VIII.B Federal Facilities Targets and Measures VIII-20
VIII.B.l Overview of Federal Facilities Targets and Measures VIII-20
VIII.B.2 Federal Facilities Site Discovery/Site Assessment Definitions VIII-23
a. Site Discovery VIII-23
b. Federal Facility Preliminary Assessment Reviews VIII-24
c. Federal Facility SI Reviews VIII-26
d. Federal Facility Expanded Site Inspection (ESI) Reviews VIII-28
VIII.B.3 Federal Facilities Accomplishment Definitions VIII-29
a. Base Closure Decisions: Start and Completions VIII-29
b. Non-BRAC Property Actions VIII-31
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) VIII-32
d. Federal Facility Dispute Resolution VIII-33
e. Use of Supplemental Environmental Projects (SEPs) VIII-33
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) Starts VIII-34
g. Timespanfrom Final NPL Listing To RI/FS VIII-35
h. Decision Documents VIII-35
i. Final Remedy Selected VIII-36
j. ROD Amendments VIII-37
k. Explanation of Significant Differences (ESD) VIII-38
1. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) VIII-39
m. Duration of ROD to IA Negotiation Completion VIII-40
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
Starts VIII-40
o. Timespanfrom ROD Signature to RA Start VIII-41
p. RA or CMI Completions VIII-41
FY 12 SPIM TOC - 7 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions
VIII-43
r. Migration of Contaminated Ground Water Under Control VIII-44
s. Human Exposure Under Control Indicator VIII-47
t. Operation and Maintenance (O&M) VIII-50
u. Cleanup Goals Achieved VIII-50
v. NPL Site Construction Completions VIII-51
w. Federal Facility Partial NPL Deletion VIII-52
x. Federal Facility Final NPL Deletion VIII-54
y. Federal Facility Five-Year Reviews VIII-55
VIII.B.4 Community Involvement Definitions VIII-59
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) VIII-
59
b. Technical Assistance Grants (TAGs) VIII-60
VIII.B.5 Cross Program Revitalization Measures (CPRM) VIII-61
a. Sitewide Ready for Anticipated Use VIII-61
b. Protective for People Under Current Conditions (PFP) VIII-62
c. Ready for Anticipated Use (RAU) VIII-64
VIII.B.6 Cleanup Privatization at BRAC NPL Sites VIII-66
Chapter IX: Enforcement
IX.A FY12 Enforcement IX-1
IX.A.l Promoting the Superfund Enforcement Program IX-1
IX.A.2 Current GPRA Measures for Enforcement IX-2
a. Volume of Contaminated Media Addressed (VCMA) IX-2
b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy IX-3
c. Pre-Remedial Enforcement Action at Superfund Sites IX-5
IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative
Approach Sites IX-8
a. Potentially Responsible Party (PRP) Search Starts IX-9
b. Preliminary PRP Search Completions IX-9
c. PRP Search Completions IX-12
d. Section 104(e) Referrals and Orders Issued IX-13
e. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor RD/RA
Negotiations IX-14
f. Issuance of General Notice Letters (GNLs) IX-14
g. Issuance of Special Notice Letters (SNLs) IX-15
h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS)
Negotiation Starts IX-16
i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &
Superfund Alternative) IX-16
j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund
Alternative) IX-18
k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and
Other) (NPL & Superfund Alternative) IX-20
I. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility
NPL and Superfund Alternative Sites IX-22
m. Total Response Commitments (Including Dollar Value) IX-23
March 20, 2012 TOC - 8 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
n. Total Active Response Enforcement Instruments in SNC and Not Addressed
through Formal Enforcement IX-25
o. Total Amount of Response Commitments Secured through Financial Assurance
IX-29
p. De Minimi s Settlements and Number of Parties IX-30
q. Cashout Settlements IX-32
r. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy).. IX-
33
s. Issuance of Demand Letter IX-34
t. Total Cost Recovery Settlements (Including Dollar Value) IX-34
u. Number and Amount of CERCLA Penalties Assessed IX-36
v. Number of Settlements Where EPA Settled Based on Ability-to-pay IX-3 7
w. Bona Fide Prospective Purchaser Agreements IX-38
x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements
(PLAs) IX-39
y. Issuance of Comfort/Status Letters IX-40
z. Contiguous Property Owners (CPOs) IX-41
aa. Windfall Lien Resolution -Finalized. IX-42
bb. Orphan Share -EPA Offer and Compensation IX-43
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties IX-45
dd. PRP Oversight Administration IX-47
ee. Settlements Designating Funds for Deposit to Special Accounts IX-48
ff. Deposits into Special Accounts IX-49
gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
IX-50
hh. Disbursements from Special Accounts for Response Actions IX-51
ii. Reclassification of Special Account Funds IX-53
jj. Closure of Special Accounts IX-53
kk. Management of Special Accounts IX-54
IX.A.4 Institutional Controls and Site Revitalization IX-57
a. Institutional Controls IX-57
b. Site Revitalization IX-57
Chapter X: Community Involvement
X.A INTRODUCTION X-l
X.B COMMUNITY INVOLVEMENT ACTIVITIES X-l
X.B.I Overview of FY12 Community Involvement Activities X-l
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-
Specific Advisory Boards (SSABs) X-l
b. Technical Assistance Grants (TAGs) X-2
c. Technical Assistance Services for Communities (TASC) X-3
X. C CIPIB Data Sponsor Responsibilities X-4
X.C.I National Program Requirements and the Data Sponsor Role X-4
a. Program Goals and Objectives X-4
b. Statutory Mandates X-4
c. Regulatory and Policy Requirements X-5
d. Superfund Reforms X-5
e. OSWER's Community Engagement Initiative (CEI) X-5
f. Reauthorization, Congressional Inquiries, and Audits X-6
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OSWER Directive 9200.3-14-1G-W
X.C.2 CIPIB HQ and Regional Organization X-10
X.C.3 Program Monitoring and Reporting X-10
a. Data Quality X-10
b. Management Reports X-ll
c. Coding Guide X-ll
Chapter XI: Information Systems
XI.A Information Systems XI-1
XI.A.l Purpose of CERCLIS and SEMS XI-1
a. Site Assessment XI-2
b. Remedy Selection XI-2
c. Federal Facilities XI-3
d. Community Involvement XI-4
e. Removal XI-4
f. Enforcement XI-4
g. Project Management XI-5
h. Program Management XI-6
XI.A.2 Superfund Data Architecture XI-7
XI.A.3 Reporting Superfund Information XI-8
a. Regional Users XI-8
XI.A.4 Data Owners/Sponsorship XI-8
Chapter XII: Records and Information Management
XII.A Introduction XII-1
XII.B Record Definition XII-1
XII.C Records XII-1
XII.D Superfund Enterprise Management System (SEMS) XII-2
XII.E Applicability to Superfund XII-2
XII.F Applicability of the Freedom of Information Act. XII-7
XII.F.l Reports Releasable under Freedom of Information Act (FOIA) XII-7
XII.F.2 Sensitive Information Not Releasable under FOIA XII-8
XII.F.3 Ad Hoc Reporting XII-11
XII.F.4 Accessing FOIA Information XII-11
Appendix A: New Initiatives/New Requirements
A. A Superfund Initiatives A-l
A.A.I Integrated Cleanup Initiative A-l
A.A.2 Community Engagement Initiative A-2
A.B Other Superfund Program Priorities A-3
A.C New Superfund Requirements A-3
A.C.1 Performance Measures A-3
March 20, 2012 TOC -10 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Appendix B: Regional and Headquarters Contacts
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B SCAPReport Contacts B-3
B. C Office of Emergency Management (OEM) HQ Removal Coordinators B-3
B.D HQ Superfund Cost Recovery Contacts B-4
B.E Cost Recovery Contacts B-4
B.F Regional Budget Coordinators B-5
Appendix C: FY 12 Work Planning Memorandum
Appendix D: American Recovery and Reinvestment Act (ARRA)
D.A General Information D-l
D.A.I Purpose, Contents, and Applicability D-l
a. Why is EPA issuing this guidance? D-l
b. What is in this guidance? D-l
c. To whom does this guidance apply to? D-2
D.A.2 Responsible Officials in the Superfund Program D-2
D.A.3 Ensuring Accountability for Recovery Act Implementation D-2
D.A.4 Roles and Responsibilities of Other EPA Offices D-2
D.A.5 EPA Governance and Risk Management Activities D-3
D.A.6 Inspector General Activities D-4
D.A.7 Links to Other Information D-4
D.B Superfund Remedial Program Provisions of the American Recovery and
Reinvestment Act D-5
D.B.I Availability of Funds D-5
D .B .2 Obj ectives of the Recovery Act Funding for the Superfund Remedial Program D-5
D.B.3 Comparison to Regular Appropriations D-6
D.B.4 Eligible Activities D-6
D.B.5 Distribution of Recovery Act Funds D-6
D.B.6 State Cost Share D-7
D.B.7 Monitoring and Evaluating Recovery Act Implementation D-7
D.C Superfund Recovery Act Communications and Reporting D-8
D.C.I Recovery Act Press Release Procedures D-8
D.C.2 Recovery Act Award Notification Procedures D-8
a. Monday Close of Business D-8
b. Tuesday Noon D-8
c. Thursday D-8
d. Friday D-8
D.C.3 Public Communication Procedures D-9
D.C.4 Recipient Reporting Requirements D-9
D.C.5 EPA Reporting Requirements D-10
D.C.6 Weekly Financial and Activity Reports D-10
D.C.7 Agency and Program-Specific Plans D-ll
D.C.8 Performance Measures D-ll
D.C.9 Reporting and Tracking Systems D-12
FY 12 SPIM TOC-11 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
D.D Recovery Act Budget Execution Guidance for the Superfund Remedial ProgramD-14
D.D.I Budget Structure and Coding D-14
D.D.2 Allocating Recovery Act General Resources D-15
D.D.3 Allocating Recovery Act Management and Operation Resources D-15
D.D.4 Reprogramming of Recovery Act Funds D-16
D.D.5 CERCLIS Planning D-16
D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds D-17
D.D.7 Cost Recovery D-17
D.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative
Agreements D-17
D.E.I Recovery Act Financial Award Vehicles D-17
D.E.2 Contracts D-18
D.E.3 Interagency Agreements and Interagency Assisted Acquisitions D-18
D.E.4 Best Interest Reviews for Assisted Acquisitions D-18
D.E.5 Direct Cite Programs D-19
D.E.6 Cooperative Agreements D-19
D.E.7 Superfund State Contract Payment Schedules D-19
D.E.8 Socio-Economic Goals D-20
D.E.9 Bona Fide Needs Rule D-20
D.E.10 Infrastructure and Buy American Provisions D-20
D.E.I 1 Davis Bacon Act D-21
D.E.12 Funds-In Interagency Agreements for Federal Facility Oversight D-22
List of Exhibits
Exhibit II. 1. Superfund Performance Measures II-3
Exhibit II.2. Budget Planning Timeline 11-10
Exhibit III. 1. EPA Forms Commonly Used for Superfund Procurements III-6
Exhibit III.2. Superfund Account Number Structure 111-10
Exhibit III.3. Sample Superfund Appropriation Codes III-ll
Exhibit III.4. Superfund Program Results Codes and Site Allowance Codes 111-13
Exhibit III.5. Project Field 111-14
Exhibit III.6. Project Field for IT Related Transactions 111-14
Exhibit IV. 1. Regional/HQ CERCLIS Responsibilities IV-2
Exhibit IV.2. Action Lead Codes in CERCLIS IV-9
Exhibit IV.3. Action Codes Available for Financial Transactions Sorted by CERCLIS Action Name (Who
Pays for What) IV-11
Exhibit IV.4. CERCLIS Action Anomaly Reference Table IV-16
Exhibit IV.5a. Takeovers IV-18
Exhibit IV.5b. Phased Projects IV-19
Exhibit IV.5c. Other Anomalies IV-19
Exhibit V.I. Superfund Site Assessment Process V-2
Exhibit V.2. Site Assessment/NPL Listing Activities V-5
Exhibit V.3. Site Assessment Action Qualifiers V-14
March 20, 2012 TOC -12 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Exhibit VI. 1. Removal Program Activities VI-1
Exhibit VII. 1. Remedial Program Activities VII-1
Exhibit VII.2. Human Exposure Evaluation Flowchart VII-66
Exhibit VII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet VII-69
Exhibit VIII. la. Federal Facilities NPL Sites VIII-21
Exhibit VIII. Ib. Federal Facilities BRAC Sites VIII-22
Exhibit VIII. Ic. Federal Facilities Non-NPL Sites VIII-23
Exhibit VIII.2. Remedial Pipeline Flow Charts VIII-43
Exhibit VIII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet ....VIII-46
Exhibit VIII .4. Superfund Long-Term Human Health Protection Worksheet VIII-49
Exhibit IX.1. Enforcement Program Performance Measures IX-7
Exhibit IX.2. Summary of CERCLIS Compliance Status Values IX-26
Exhibit IX.3. Measure Results Calculations IX-27
Exhibit X.I. Community Involvement Requirements X-6
Exhibit X.2. CIPIB HQ and Regional Roles and Responsibilities X-10
Exhibit XI.l. SEMS-Solution Architecture XI-7
Exhibit XII. 1. Superfund CORE Documents XII-3
D.I. Attachment A: Funding Award Notification Template D-23
D.2. Attachment B: OMB Definition of Obligation and Outlay D-25
D.3. Attachment C: Class Deviation Approval 3/9/09 D-27
FY 12 SPIM TOC -13 March 20, 2012
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Superfund Program Implementation Manual FY 12
Managers' Schedule of Significant Events
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MANAGERS' SCHEDULE OF SIGNIFICANT EVENTS
The Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) is
the official repository for Superfund data. Data are expected to be kept complete, current, and consistent in order
to be readily available for routine, unexpected, and immediate needs.
FY12
OCTOBER 2011 QUARTER 1 (FY 12)
11 Headquarters (HQ) pulls 4th quarter fiscal year (FY) 11 accomplishment and financial data from
CERCLIS and provides for:
1) Special program reports
2) Initial FY 11 end-of-year Program Assessment
11 HQ pulls 4th quarter FY 11 accomplishment data from CERCLIS for review of end of year
Government Performance and Results Act (GPRA) accomplishments and inclusion in EPA's
FY 2011 Performance and Accountability Report (PAR).
18 HQ pulls 4th quarter FY 11 final accomplishment and financial data from CERCLIS for non-
GPRA targets.
NOVEMBER 2011
8-10 Superfund (SF) National Policy Managers Meeting
Early Assistant Administrator (AA)/Regional Administrator (RA) Priorities Meeting for FY 12
Early Agency publishes Performance and Accountability Report for FY 11
14 Regions revise CERCLIS to reflect GPRA performance goals, and program targets/measures for
FY12.
Late Nov Office of Management and Budget (OMB) passback of FY 12 budget request
DECEMBER 2011
Early/Mid Agency appeal of the OMB FY 12 budget passback
Dec
Mid/Late Office of Superfund Remediation and Technology Innovation (OSRTI) sets targets for national
Dec remedial pool deobligations.
FY 12 SPIM Managers' Schedule - 3 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
JANUARY 2012 QUARTER 2 (FY 12)
9 Superfund Comprehensive Accomplishments Plan (SCAP) Pull for 1st Quarter FY 12
accomplishments and financial data - close of business (COB) 5th working day of the month
20 Regions submit draft deobligation plans to OSRTI
Late OSRTI issues Pipeline operations Site Allowance resources to regions
Late Jan/ HQ pulls 1st quarter data for Quarterly Management Report (QMR).
Early Feb
FEBRUARY 2012
6 President submits FY 13 budget request to Congress
Mid Feb National Program Managers (NPM) issue draft National guidance for FY 2013
MARCH 2012
Early/Mid Send Mid Year Work planning memo
March
26 NPMs issue National Program Guidance for FY 2013
APRIL 2012 QUARTER 3 (FY 12)
6 Data Entry for 2nd quarter accomplishments and financial data from CERCLIS and provides
for:
1) Special program reports
2) Mid-Year Work Planning evaluation
9 3) OSRTI 2nd quarter data pulls
MAY 2012
Mid Annual Goal Team Meetings with Deputy Administrator on FY 12 progress and FY 13 priorities
Late NPMs meet with the Administrator to review FY13 program goals
Late OSRTI/Office of Site Remediation and Enforcement (OSRE) send work planning memorandum
to regions on proposed budgets, GPRA annual performance goals and program targets/measures
forFY13
March 20, 2012 Managers' Schedule - 4 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
JUNE 2012
1-30 Regions update schedules and financial information in CERCLIS for FY 13, FY 14, and FY 15
in preparation for work planning meetings
Mid/Late HQ presents FY 13 Superfund goals and priorities and FY 14 investments to the Administrator
June and Regional Administrators
Mid/Late Administrator and Office of the Comptroller (OC) provide HQ program offices and regions with
June policy for FY 14 budget formulation
Late NPMs/regions begin bidding process for FY13 accomplishments
JULY 2012 QUARTER 4 (FY 12)
2 Regions draft commitments due in the Annual Commitment System (ACS)
9 OSRTI pulls planning information from CERCLIS:
1) to support FY 13 and FY 14 budget request
2) to prepare for FY 14 work planning
3) Quarterly Management Report
9 OSRTI pulls 3rd quarter accomplishment and financial data from CERCLIS.
9 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
Early/Mid NPMs submit proposed FY 14 budgets to Office of the Chief Financial Officer
July (OCFO)/Administrator
HQ program offices and lead regions make presentation to Administrator/Deputy Administrator
onFY 14 program priorities [FY 14 Budget Forum]
Mid July
Late July Administrator passback of FY 14 budget request
FY 12 SPIM
Managers' Schedule - 5
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
AUGUST 2012
Early August HQ/regions begin work planning sessions on the final FY 13 GPRA annual performance goals
and program targets/measures and budget
Mid August Agency develops FY 14 budget for submission to OMB
7 HQ pulls CERCLIS data to assist in preparation of the FY14 budget to OMB
Late August Final revisions to FY 14 Annual Performance Goals (APG) and Annual Performance Measures
(APM) due to OCFO
Mid NPMs begin drafting FY2012 Annual Performance Report
SEPTEMBER 2012
10 Agency submits FY 14 budget to OMB
Mid Final GPRA commitments due in the Budget Automation System (BAS)
March 20, 2012 Managers' Schedule - 6 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
FY13
OCTOBER 2012 QUARTER 1 (FY 13)
8 HQ pulls 4th quarter FY12 accomplishment and financial data from CERCLIS and provides for:
1) Special program reports
2) Initial FY 12 end-of-year Program Assessment
3) Quarterly Management Report
8 HQ pulls 4th quarter FY 12 final accomplishment data from CERCLIS for review of end-of-
year GPRA accomplishments and inclusion in EPA's FY 2012 Performance and Accountability
Report
15 HQ pulls 4th quarter FY 12 final accomplishment data from CERCLIS for non-GPRA targets.
NOVEMBER 2012
7 Regions revise CERCLIS to reflect GPRA performance goals and program targets/measures for
FY13
Early Nov SF National Policy Managers Meeting
Mid/Late Agency publishes Performance and Accountability Report for FY 12
Nov
Late Nov OMB passback of FY 13 budget request
Late Nov AA/RA Priorities Meeting for FY 13
Late Nov Agency appeal of the OMB FY 13 budget passback
DECEMBER 2012
Mid Dec OSRTI sets targets for national remedial pool deobligations
JANUARY 2013 QUARTER 2 (FY 13)
8 SCAP Pull for 1st Quarter FY 13 accomplishments and financial data - 5th working day of the
month
Mid Regions submit draft FY 13 deobligation plans to HQ
Mid OSRTI issues Pipeline Operations Site Allowance resources to regions
FY 12 SPIM Managers' Schedule - 7 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
FEBRUARY 2013
4 President submits FY 14 budget request to Congress
Mid NPMs issue draft program guidance for FY 14
MARCH 2013
Early Call for Mid Year work planning
Late NPMs issue final National Program Guidance for FY 14
APRIL 2013 QUARTER 3 (FY 13)
8 OSRTI pulls 2nd quarter accomplishment and financial data from CERCLIS and provides for:
1) Special program reports
2) Mid-Year Work Planning evaluation
3) Quarterly Management Report
MAY 2013
Late OSRTI/OSRE send work planning memorandum to regions on proposed budgets and GPRA
annual performance goals and program targets/measures
Mid Annual Goal Team Meetings with Deputy Administrator on FY13 progress and FY14 priorities
Late NPMs meet with the Administrator to review FY14 program goals
JUNE 2013
1-30 Regions update schedules and financial information in CERCLIS for FY14, FY15, and FY16 in
preparation for work planning meetings
Mid OSWER presents FY14 Superfund goals and priorities and FY15 investments to the
Administrator and Regional Administrators
Mid/Late Administrators and OC provide HQ program offices and regions with policy for FY 15 budget
June formulation
Late NPMs/regions begin bidding process for FY14 accomplishments
March 20, 2012 Managers' Schedule - 8 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
JULY 2013 QUARTER 4 (FY 13)
1 Regions draft commitments due in B AS
8 OSRTI pulls planning information from CERCLIS:
1) to support FY 14 and FY 15 budget request
2) to prepare for FY 14 work planning
8 OSRTI pulls 3rd quarter accomplishment and financial information from CERCLIS.
8 Enforcement provides:
1) Special program reports
2) 3rd quarter performance evaluations
Early/Mid NPMs submit proposed FY 15 budgets to OCFO/Administrator
July
Mid HQ program offices and lead regions make presentations to Administrator/Deputy
Administrator on FY 15 program priorities [FY 15 Budget Forum]
Late Administrator passback of FY 15 budget request
AUGUST 2013
7 Agency pulls CERCLIS data to assist in preparation of the FY15 budget to OMB
Early HQ/regions begin work planning sessions on the final FY14 GPRA annual performance goals
and program targets/measures and budget
Mid NPMs begin drafting FY13 performance report
Mid Agency develops strategy for presenting the FY 15 budget to OMB
Late Final revisions to FY 15 APGs and APMs due to OCFO
SEPTEMBER 2013
9 Agency submits FY 15 budget to OMB
Mid Final GPRA commitments due in B AS
FY 12 SPIM Managers' Schedule - 9 March 20, 2012
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Superfund Program Implementation Manual FY 12
Acronyms
FY 12 SPIM Acronyms - 1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
AA OECA
AA OSWER
AA
ACS
ADR
AH
AH/RC
AO
AOC
APA
APR
AR
ARD
ARRA
ATSDR
BAS
BC
BCP
BCT
BFPL
BFPP
BFY
BOC
BPEB
BRAC
CA
CAG
CARE
CAS No.
CBD
CBORT
CC
CCDS
CD
CDR
CDW
CEI
CERCLA
CERCLIS
CERFA
CFC
Assistant Administrator for the Office of Enforcement and Compliance Assurance
Assistant Administrator for the Office of Solid Waste and Emergency Response
Assistant Administrator
Annual Commitment System
Alternative Dispute Resolution
Allowance Holder
Allowance Holder/Responsibility Center
Administrative Order
Administrative Order on Consent
Abbreviated Preliminary Assessment
Annual Performance Report
Administrative Record
Assessment and Remedial Division
American Recovery and Reinvestment Act
Agency for Toxic Substances and Diseases Registry
Budget Automation System
Budget Coordinator
Base Realignment and Closure (BRAC) Cleanup Plan
Base Cleanup Team
Bona Fide Prospective Lessee
Bona Fide Prospective Purchaser
Budget Fiscal Year
Budget Object Class
Budget, Planning and Evaluation Branch
Base Realignment and Closure
Consent Agreement; Cooperative Agreement
Community Advisory Group
Community Action for a Renewed Environment
Chemical Abstract Services Number
Commerce Business Daily
Compass Business Objects Reporting Tool
Construction Completed
Case Conclusion Data Sheet
Consent Decree
Covenant Deferral Request
Compass Data Warehouse
Community Engagement Initiative
Comprehensive Environmental Response, Compensation, and Liability Act of
1980
Comprehensive Environmental Response, Compensation, and Liability
Information System
Community Environmental Response Facilitation Act
Cincinnati Finance Center
FY 12 SPIM
Acronyms - 3
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
CFMC
CIC
CIP
CIPIB
CLP
CMD
CMI
CMS
CO
COB
COC
COI
COR
CPARS
CPO
CPRM
CPS
CWA
CWM
DA
DCN
DD
DERP
DNPV
DoD
DOE
DOJ
DPO
DRA
DS
E.G.
EAS
EBS
EE/CA
EFY
El
EJ
EPA
EPA ID
EPCRA
EPM
EQR
ERR
Cincinnati Financial Management Center
Community Involvement Coordinator
Community Involvement Plan
Community Involvement and Program Initiatives Branch
Contract Laboratory Program
Corrective Measure Design
Corrective Measure Implementation
Corrective Measure Study
Contracting Officer
Close of Business
Contaminants of Concern
Conflict of Interest
Contracting Officer Representative
Consolidated Payroll Reporting System
Contiguous Property Owner
Cross Program Revitalization Measure
Contract Payment System
Chemical Warfare Act
Chemical Warfare Material
Deputy Administrator
Document Control Number
Division Director
Defense Environmental Response Program
Decision Not to Pursue Violations
Department of Defense
Department of Energy
Department of Justice
Deputy Project Officer
Deputy Regional Administrator
Data Sponsor
Executive Order
EPA Acquisition System
Environmental Baseline Survey
Engineering Evaluation/Cost Analysis
End of Fiscal Year
Environmental Indicator
Environmental Justice
Environmental Protection Agency
EPA Identification Number
Emergency Planning and Community Right to Know Act of 1986
Environmental Programs and Management
EPA Quarterly Report
Emergency Response and Removal
March 20, 2012
Acronyms - 4
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
ERRS
ERS
ESAT
ESCA
ESD
ESI
ESI/RI
FAD
FAS
FCOR
FDMS
FDW
FE
FE&C
FFFYR
FF
FFA
FFEO
FFERDC
FFLC
FFRRO
FMD
FMFIA
FMO
FOIA
FOSET
FOSL
POST
FPDS-NG
FPS
FS
FTE
FUDS
FUSRAP
FWS
FY
FY/Q
FYR
GAAP
GAD
GAO
GFO
GICS
Emergency and Rapid Response Services
Eligible Response Sites
Environmental Services Assistance Team
Environmental Services Cooperative Agreement
Explanation of Significant Differences
Expanded Site Inspection
Expanded Site Inspection/Remedial Investigation
Final Assessment Decision
Field Analytical Sampling
Final Close-Out Report
Federal Docket Management System
Financial Data Warehouse
Federal Enforcement
Federal Enforcement and Compliance
Federal Facility Five Year Review
Federal Facility
Federal Facility Agreement
Federal Facilities Enforcement Office
Federal Facilities Environmental Restoration Dialog Committee
Federal Facility Leadership Council
Federal Facilities Restoration and Reuse Office
Financial Management Division
Federal Managers Financial Integrity Act
Financial Management Office
Freedom of Information Act
Finding of Suitability to Early Transfer
Finding of Suitability to Lease
Finding of Suitability to Transfer
Federal Procurement Data Systems' New Generation
Fellowship Payment System
Feasibility Study
Full-time Equivalent
Formerly Used Defense Site
Formerly Used Site Remediation Action Program
U.S. Fish and Wildlife Service
Fiscal Year
Fiscal Year/Quarter
Five Year Review
Generally Accepted Accounting Principle
Grants Administration Division
General/Government Accountability Office
Good Faith Offer
Grants Information Control System
FY 12 SPIM
Acronyms - 5
March 20, 2012
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CIS
GM
GNL
GPAS
GPRA
GSA
GWMUC
HE
HEID
HENC
HEPR
HEUC
HHPA
HQ
HRS
IA
IAA
IASSC
1C
ICI
ICIS
ICTS
IFMS
IG
IGCE
IGMS
1MB
IMC
IRMS
ISM
IT
JTI
KPI
LGR
LIRA
LVFC
M&O
MAAC
MC
MEC
MIPR
MM/DD/YY
Geographic Information System
Ground Water Management
General Notice Letter
Grants Payment Allocation System
Government Performance and Results Act
General Services Administration
Ground-water Migration under Control
Human Exposure
Insufficient Data to Determine Human Exposure Control Status
Human Exposure Non Under Control
Human Exposure Under Control and Protective Remedies in Place
Human Exposure Under Control
Human Exposure Under Control and Long Term Human Health Protection
Achieved.
Headquarters
Hazard Ranking System
Interagency Agreement
Interagency Assisted Acquisition
Interagency Agreement Shared Service Center
Institutional Control
Integrated Cleanup Initiative
Integrated Compliance Information System
Institutional Control Tracking System
Integrated Financial Management System
Inspector General
Independent Government Cost Estimate
Integrated Grants Management System
Information Management Branch (OSRTI)
Information Management Coordinator
Integrated Resource Management System
Interim/Stabilization Measure
Information Technology
Job Training Initiative
Key Performance Indicator
Local Government Reimbursement
Long Term Response Action
Las Vegas Finance Center
Management and Operations
Maximum Amount Appropriate for Compensation
Munitions Constituents
Munitions and Explosives of Concern
Military Interdepartmental Purchase Request
Month/Day/Year
March 20, 2012
Acronyms - 6
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
MMRP
MOA
MOU
MRS
MS
NCP
NEPA
NFFA
NFRAP
NOA
NOAA
NOID
NOIPD
NPL
NPM
NRC
NRT
NIC
NTCRA
O&F
O&M
0AM
OARM
OB
OB/OD
OC
OCA
OCFO
OCIR
OECA
OEI
OEM
OERR
OFM
OGC
OGD
OIG
OMB
OPA
OPS
ORC
OSC
Military Munitions Response Program
Memorandum of Agreement
Memorandum of Understanding
Munitions Response Site
Mega Site
National Contingency Plan; National Oil and Hazardous Substances Pollution
Contingency Plan
National Environmental Policy Act
No Further Federal Action
No Further Remedial Action Planned
New Obligating Authority
National Oceanic and Atmospheric Administration
Notice of Intent to Delete
Notice of Intent to Partially Delete
National Priorities List
National Program Manager
National Response Center; Nuclear Regulatory Commission
National Response Team
Non-Time Critical
Non-Time Critical Remedial/Removal Action
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; Office of the Comptroller
Other Cleanup Activity
Office of the Chief Financial Officer
Office of Congressional and Intergovernmental Affairs
Office of Enforcement and Compliance Assurance
Office of Environmental Information
Office of Emergency Management
Office of Emergency and Remedial Response
Office of Financial Management
Office of General Counsel
Office of Grants and Debarment
Office of the Inspector General
Office of Management and Budget
Office of Public Affairs; Oil Pollution Act of 1990
Operating Properly and Successfully
Office of Regional Counsel
On-Scene Coordinator
FY 12 SPIM
Acronyms - 7
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
OSRE
OSRTI
OSWER
OU
PA
PAD
PAR
PAT
PCOR
PECB
PFP
PIN
PLA
POC
POLREP
PPA
PPED
PPL
PR
PRC
PRN
PRP
QA
QRG
RA
RAB
RAC
RAU
RC
RCMS
RCRA
RD
RD/RA
RFA
RFI
RFO
RFP
RI
RI/FS
RMDS
ROC
ROD
RP
Office of Site Remediation and Enforcement (OECA)
Office of Superfund Remediation and Technology Innovation
Office of Solid Waste and Emergency Response
Operable Unit
Preliminary Assessment
Public Affairs Director
Performance and Accountability Report
Performance Assessment Tool
Preliminary Close-Out Report
Program Evaluation & Coordination Branch (OSRE)
Protective for People Under Current Conditions
Procurement Initiation Notifications
Prospective Lessee Agreement
Point of Contract
Pollution Report
Prospective Purchaser Agreement
Policy & Program Evaluation Division (OSRE)
PeoplePlus
Procurement Request
Program Results Code
Pre-Referral/Remedial Negotiation
Potentially Responsible Party
Quality Assurance
Quick Reference Guide
Regional Administrator; Remedial Action
Restoration Advisory Board
Remedial Action Contract
Ready for Anticipated Use
Regional Coordinator
Removal Cost Management System
Resource Conservation and Recovery Act
Remedial Design
Remedial Design/Remedial Action
RCRA Facility Assessment
Resource Conservation and Recovery Act Facility Investigation
Regional Finance Office
Request for Proposal
Remedial Investigation
Remedial Investigation/Feasibility Study
Resource Management Directives System
Remedial Oversight Contract
Record of Decision
Responsible Party
March 20, 2012
Acronyms - 8
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
RPIO
RPM
RPO
RRT
RTF
SA
SAA
SAM
SARA
SB/RTC
SCAP
SCDS
SCORPIOS
SDMS
SDWA
SEMS
SEP
SFO
SI
SIP
SME
SMOA
SNC
SNL
SOL
SOW
SPIM
SPITS
SRO
SSAB
SSC
SSID
START
SWRAU
TAG
TAPP
TASC
TC
TDD
TSD
UAO
UMTRCA
USAGE
Responsible Program Implementation Office
Remedial Project Manager
Regional Project Officer
Regional Response Team
Research Triangle Park
Superfund Alternative
Superfund Alternative Approach
Site Assessment Manager
Superfund Amendments and Re authorization Act of 1986
Statement of Basis/Response to Comments
Superfund Comprehensive Accomplishments Plan
Superfund Comprehensive Data Source
Superfund Cost Recovery Package and Image On-Line System
SEMS Document Management System
Safe Drinking Water Act
Superfund Enterprise Management System
Supplemental Environmental Project
Servicing Finance Office
Site Inspection
Site Inspection Prioritization
Subject Matter Expert
Superfund Memorandum of Agreement
Substantial Non-Compliance
Special Notice Letter
Statute of Limitations
Statement of Work
Superfund Program Implementation Manual
Small Payment Information Tracking System
Senior Responsible Official
Site-Specific Advisory Board
Superfund State Contract
Site/Spill Identification Code
Superfund Technical Assistance and Response Team
Sitewide Ready for Anticipated Use
Technical Assistance Grant
Technical Assistance for Public Participation
Technical Assistance Service for Communities
Time Critical
Technical Direction Document
Treatment, Storage, and Disposal Facility
Unilateral Administrative Order
Uranium Mill Tailings Radiation Control Act
United States Army Corps of Engineers
FY 12 SPIM
Acronyms - 9
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
USCG United States Coast Guard
UST Underground Storage Tank
VCMA Volume of Contaminated Media Addressed
VCP Voluntary Cleanup Program
WA Work Assignment
WEBOS Web Order System
WL Windfall Lien
WQ Bulk Funding
March 20, 2012 Acronyms -10 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Organizational Charts
FY 12 SPIM Organizational Charts -1 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 Organizational Charts - 2 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Office of Solid Waste and Emergency Response
Federal Facilities
Restoration & Reuse Office
Reggte Cheatham, Director
Brendan Roache. Act Dep. Or
Innovation Partnership &
Communication Office
Marsha Winter. Director
Center for Program
Analysis
Bhgid Lowery, Director
IMMEDIATE OFFICE OF THE
ASSISTANT ADMINISTRATOR
Matfiy Stanislaus. AA
Barry N Breen, PDAA
Lisa Feldt DAA
Organizational
Management &
Integrity Staff
lora Culver, Director
PMO
Office of Program
Management
Barbara Hostage, Act Dr.
SIO
Information Management
1 Data Quality Staff
Stephen Schmitt Director
IMO
Policy Ana lysis &
Regulatory
Management Staff
Gerain Perry, Act. Dir.
Acquisition & Resources
Management Staff
Sue Priftis, birector
SBO
Office of Stiperfund
Remediation &
Technology Innovation
. oolforfl Director
t of Resource
Conservation & Recovery
Suzanne Rudzinshi, Director
Sandra Connors. Act DC
Johnson, Dep. Dir
Office of Underground
Storage Tanks
Carolyn Hoskinson. Dir
Marti Barolo. Deputy Dir
Office of Brownfields
& Land Revitalization
David Lloyd. Director
Gail Cooper. Dep_ Dir.
Resources Managemei
Division
Robin H. Richardson Div.
nt
*
Program Mgmt. Communications,
& Analysis Office
Mark Muff. Act Director
Assessment & Remediation
Division
Elizabeth Sutherland, Div- Dir
ons, I
Management A
Communications
Division
Judy Kertcter. Director
Homeland Security Laboratory
Response Center
Seriate Fftz-jam«5. Team Lead-er
Materials Recovery A
Waste Management Div.
Robert DeElmger. Director
Technology Innovation
& Field Services Division
David Charters. Acs. Div. Or
Release Prevention
Division
Linda Gerber. Act Draw
Business Operations
Center
Dana Stalcup. Director
Resource Conservation &
SustainabUity Div.
Be&y Srn.dmg«r Director
Cleanup and Revrtaiization
Division
Wifiaam Anderson. Act Director
National Planning ft
Preparedness Division
Mark Mjoness. Director
National
Decontamination Team
Enca Canzler. Director
Program Operations &
Coordination Division
Gilberto Irizarry. Dir
Evaluation A
Division
Victona van Roden. Dr.
Environmental Response Team
David Wright, Chief
Many Compton. DBC (East) NJ
Denrtisses Vaides. DBC (West) NV
Program Implementation
A Information Division
James Beriow, Director
Regulation & Policy
Development Division
R.Cratg Matthiesseri, Dir.
Revised December 8, 2011
FY 12 SPIM
Organizational Charts - 3
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
Office of Superfund Reiatdiatiou and Technology Innovation
l Bf s
Bi i
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-» 'i, j
March 20, 2012
Organizational Charts - 4
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
U.S. Environmental
Protection Agency
Office of Compliance
(OC)
Director Lisa C. Lund
DOD: David A Hindin
AD: Mamie MBter
Enforcement Targeting
and Data Division (ETDD)
Director John
Dombrowski
ODD: Lucy Reed
Monitoring Assistance
and Media Programs
Division (MAMPD)
Director (A):
Ed Messina
ODD: Rick Duffy
ODD: Ann Pontius
National Enforcement
Training Institute Division
(NETI)
Director Mike Walker
DO Michael Richardson
AD: Deborah Hanton
Planning, Measures and
Oversight Division
(PMOD)
Director
Christopher Krtopes
ODD (A): Daniel Palmer
Federal Facilities
Enforcement Office (FFEO)
Director David Kling
DOD (A): Ame Heart
Immediate Office
Assistant Administrator Cynthia Giles
PDAA: Lawrence Starfield
DAA: Steve Chester
AAA-EJ: Usa Garcia
OAAA-EJ: Charles Lee
Office of Enforcement and
Compliance Assurance
(OECA)
Office of Environmental
Justice (OEJ)
Director (A): Headier Case
DOD (A): Kent Benjamin
AD: Vacant
Office of Civil
Enforcement (OCE)
Director (A): Pam
Mazakas
DOO: Pam Mazakas
AD: John P Fogarty
i »
Air Enforcement Division
(AED)
Director Phillip Brocks
AD: Matthew W Morrison
AD Apple Chapman
Special Litigation and
Projects Division (SLPDl
Director Bemadette
Rappold
AD: Susan O'Keefe
Waste and Chemical
Enforcement Division
(WCED)
Director Rosemarie
Ketey
AD: Don Lo«
AD (A): Kenneth Schefski
Water Enforcement
Division (WED)
Director Mark Poflins
ODD Kate Anderson
AD (A): Greg Snyder
Office of Criminal
Enforcement Forensics
and Training (OCEFT)
Director Henry Bamet
DOD (A): Michael Ft Fisher
AD. Ella R- Barnes
AD: Jonathan S. Cole
V
Criminal Investigation
Division . Kenda Layne
if
Administration Management
Division (AMD)
Director : Deborah Caution
Budget and Financial
Management Division
(BFMD)
Director Dawd Swack
Information Technology
Division ((TD)
Director (Aj: Kenda Layne
Policy and Legislative
Coordination Division
(PLCO)
Director: Caroline Aheam
Office of Site
Remediation Enforcement
(OSRE)
Director Bliott Gilberg
DOD (A): Ken Patterson
i '
Policy and Program
Evaluation Division (PPED)
Director Monica Gardner
DDD : Helena Healy
Regional Support Division
(RSD)
Director (A): Karin Leff
DDD (A): Benjamin Lammie
Program Operation Staff
(POSI
Director Laura Milton
(A) = Actng
AAA-EJ - Associate Assistant Administrator f
AD = Associate Director or Assistant Director
DAA = Deputy Assistant Administrator
DAAA-EJ = Deputy Associate Assistant Adm
Office of Federal
Activities (OFA)
Director: Susan Bromm
DOD: Kimbeney DePaul
AD: Cheryl Wasserman
International Compliance
Assurance Division (ICAD)
Director Robert Hess
NEPA Compliance Division
(NCD)
Director Cliff Rader
DOD = Deputy Division Director
DOD - Deputy Office Director
PDAA = Principal Deputy Assistant Administrator
Revised December 20, 2011
FY 12 SPIM
Organizational Charts - 5
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
OF
Office of fc.n it»i i£i«x»M. v
fv' n n^\j^ni f-i 111
O-i"-.3 TV* i s, Ac: 7»r".
Mary Ann ^etrole. Act. Der C>>r
Hom-e-Iaiind Seom\ty Lasac-i -Jt- .*» y
Response -Center
!2« Fitz-Jar-^-es. Team Deader
Busin-ess- Op-eraticns
Ce-nt-er
ont r> t— 1-iali "' rf T^
soii: H-idson, AcC-D.'
rat •«>«•< i- &
D. vsi 'on
ir.'zarry. 'Z3i<-,
I »--f>3,» «a C !";-£*£ "f C. I t-:-v
De- rfe-I »:•{,** it*-* n t r.Mvic r^*M
~s »— ^.^_B- "s^^fe- .* ti ., ^ «• r~(i «•
^% SJ™M fcdl* j, j * * •* \ * ,i'*^>,"" sr
March 20, 2012
Organizational Charts - 6
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Summary of Changes
FY 12 SPIM Summary of Changes -1 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 Summary of Changes - 2 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Summary of Changes to FY 12 SPIM
SPIM Leads
Renee Hamilton - Chapters XI, XII and Appendix D
Jennifer Hovis - Chapters V - VIII
Keriema Newman - Chapters I - IV, IX and X
The most notable changes to the SPIM include:
The first three Chapters have been reorganized now into four Chapters:
Chapter I - Introduction;
- Chapter II - Discussion on the program's performance, measures (Government
Performance and Results Act (GPRA), the Annual Commitment System (ACS)
system), planning and reporting requirements
Chapter III - Financial management; and
- Chapter IV - All things related to the Comprehensive Environmental Response,
Compensation and Liability Information System (CERCLIS)
The Appendices remain structured by program / program component but have been titled as
Chapters. The order by which they are in the document has also been modified:
Chapter I: Introduction
Chapter II: Performance Measures, Planning and Reporting Requirements
- Chapter III: Financial Management
- Chapter IV: CERCLIS Data Management and CERCLIS Codes
Chapter V: Site Assessment / National Priorities Listing (NPL) Listing
- Chapter VI: Removal Program
- Chapter VII: Remedial Program
Chapter VIII: Federal Facility Program
Chapter IX: Enforcement
Chapter X: Community Involvement
- Chapter XI: Information Systems
Chapter XII: Records and Information Management
Appendix A: New Initiatives/New Requirements
- Appendix B: Regional and Headquarters Contacts
Appendix C: 2012 Work Planning Memorandum
Appendix D: American Recovery and Reinvestment Act (ARRA)
- The familiar content of the Appendices remain.
Each program's (remedial, federal facilities, removal and enforcement) external
reporting measures are grouped together and presented in one table in Chapter II.
Additionally, a separate table summarizing each program's key measures and targets
FY 12 SPIM Summary of Changes - 3 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
remain in each of the respective chapters; this table includes internal and external
measures.
- The tables/exhibits of subject matter experts, data sponsors, contacts, etc. will be
centralized and organized in one location instead of throughout the text. Also the
tables will be organized according to subject rather than by individuals. This will
make it easier to make revisions to individuals and/or their contact information
because the information is located in one place.
Appendix G (GPRA) has been removed and those sections are streamlined and incorporated
into the text of Chapter II in the discussion of GPRA, Strategic Plan, and Annual
Commitment System, etc.
The annual work planning Memorandum will be added as an Appendix to the SPIM
- New and future Superfund Initiatives or Requirements are included as an Appendix instead
of in the Introduction
ARRA will remain as an appendix, because it will be phased out of the SPIM in future years.
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
- Deleted Section on Principles for Superfund Cleanup in 21st Century
- Deleted Superfund Initiatives and added it as appendix
Moved the Chapter II description of Superfund National Response and Enforcement
programs into Chapter I
Chapter II: Performance Measures, Planning and Reporting Requirements
The performance measures, planning and reporting requirements were split out and made
separate from Financial Management (all topics financial management related were
moved; financial management is its own chapter, titled Chapter III)
Summary table added to include each of the individual program's external reporting
measures (removal, remedial, federal facilities and enforcement); the table includes
citations on how and where the measures are reported; the table is followed by complete
descriptions of the measures for each program
Most of the language from Appendix G about the Strategic Plan, GPRA, the Annual
Performance Plan, the Performance and Accountability Report was incorporated into
Chapter II and Appendix G has been removed
- Added description of ACS and the Integrated Compliance Information System (ICIS)
Moved the Chapter II description of Superfund National Response and Enforcement
programs into Chapter I
- The chapter was revised to include more details about the work planning process,
reporting cycle for the current year, upcoming year, and end of year accomplishments
March 20, 2012 Summary of Changes - 4 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Chapter III: Financial Management
- Discussion of all things financial management related have been moved and are included
in Chapter III (contracts, Interagency Agreements (IA), Cooperative Agreements (CA),
and Technical Assistance Grants (TAG), financial management tools, allocation of
resources to the region for each program, and other special financial management topics
like - indirect costs, annual allocation, deobligations, and bulk funding)
- Discussion of the financial management tools has been revised to address Compass
Superfund State Contracts has its own Section
Special Accounts has its own Section
- All CERCLIS discussions (CERCLIS data requirements, CERCLIS Action leads codes,
CERCLIS data roles and responsibilities for regions/HQ) moved to its own chapter,
Chapter IV.
Chapter IV: CERCLIS Data Management and CERCLIS Codes
- All things CERCLIS related have been included in this chapter (CERCLIS data
requirements, CERCLIS action leads codes, CERCLIS data roles and responsibilities for
regions/HQ)
Discussion of the Budget, Planning and Evaluation Branch (BPEB) and Information
Management Branch (1MB) added to the CERCLIS roles and responsibilities section
The Program Results Codes (PRCs) have been updated to reflect the changes due to
Compass and Strategic Plan
- Financial management tools section have been revised to address Compass
- More detailed discussion about program priority codes, takeovers, coding of takeovers,
phased projects, anomalies
Chapter V — Site Assessment/NPL Listing (formerly Appendix A)
- Addresses new Strategic Plan measure
Restructured chart showing internal/external reporting measures
New Resource Conservation and Recovery Act (RCRA) ID field mentioned for cross-
program consistency
- New Assessment Complete - Decision Needed qualifier added
Additional details on Other Cleanup Activity action
Deleted references to Tribal Association on Solid Waste and Emergency Response
(TASWER) Survey Site indicator
- Updated subject matter expert (SME) chart and moved to the new Appendix B
Other minor edits and corrections
Chapter VI-RemovalProgram (formerly AppendixF)
- Deleted Homeland Security section
Restructured chart showing internal/external reporting measures
Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
FY 12 SPIM Summary of Changes - 5 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
Chapter VII — Remedial Program (formerly Appendix B)
Deleted Current Program Priorities section to narrow focus
Restructured chart showing internal/external reporting measures
- Consolidated references to Superfund Alternative and Special Account guidance, rather
than citing after each activity
Added definition of completion for Remedial Investigation (RI), Feasibility Study (FS),
and RI/FS
- Deleted RI/FS Duration since this is a calculated value, not a separate measure
Updated several activities to be consistent with new Close Out Procedures guidance (RA,
CC, deletion, etc.)
Added Final Inspection by EPA Sub Action to support new RA measure
- Renamed Completion of a Response Action to Remedial Action Completion for
consistency with new RA measure
Edited FYR sections for improved clarity
In the Data Entry Timeliness Requirement table for each action, lengthy text on
timeliness was moved out of table and pasted as narrative above it, in order to shorten the
table (doing this for every action significantly shortened the appendix as a whole)
Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
Chapter VIII-FederalFacility Program (formerly Appendix D)
Restructured chart showing internal/external reporting measures
Updated several activities to be consistent with new Close Out Procedures guidance
(Remedial Action (RA), Construction Completion (CC), deletion, etc.)
- Made all Cross Program Revitalization Measure (CPRM) language consistent with text in
Chapter VII
Described new rules on due date for late Federal Facility Five Year Reviews (FYRs)
- Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
Chapter IX—Enforcement (formerly Appendix C)
- Added a Data Entry Timeliness Requirement for each action definition
- Updated and moved the FY12 Enforcement GPRA goals and measures to the beginning
of the chapter
Modified the definition of and Definition of Accomplishments for Pre-Remedial
Enforcement Action at Superfund Sites
Restructured chart showing internal/external Enforcement Activities
Modified the title for Criteria for Credit of Enforcement Activities at Superfund
Alternative Sites to: Targets and Measures at Superfund Sites and Superfund Alternative
Approach Sites and modified the language in the definition
- Added measure for Compliance Tracking
Modified and added language to the Total Response Commitments (Including Dollar
Value)
Definition of Accomplishment to include the conclusion of a section 106, or
Section 106 and 107 judicial action judgment and conclusion of a claim in
bankruptcy
March 20, 2012 Summary of Changes - 6 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Description of how Total Response Commitments will be reported
Description of an active enforcement
Added language to the Total Cost Recovery Settlements (Including Dollar Value)
Definition of Accomplishment to include the conclusion of a Section 106, or
Section 106 and 107 judicial action judgment and conclusion of a claim in
bankruptcy
Description of Site Lead Action Qualifier of Multi-Site-First Site (MF) or Multi-
Site-Subsequent Site (MS) settlements to covering multiple sites without double
counting
Removed the Recoverable Past Costs That Have Been Addressed by Program to Date Via
Settlements, Referrals, Write-Offs, or Claims in Bankruptcy definition
Removed the Number and Amount of CERCLA Supplemental Environmental Projects
(SEPs) definition
Added language about Compass to the Deposits to Special Accounts definition
Added a Reclassification of Special Account Funds definition
- Modified language in the Closure of Special Accounts definition
- Added language to the Management of Special Accounts and modified the Instruction
Guide for Entering Planning Data in the CERCLIS Superfund Special Accounts
Management Screen
- Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
Chapter X- Community Involvement (formerly Appendix H)
- There have not been any major changes to the community involvement chapter measures
- Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
Chapter XI — Information Systems (formerly Appendix E)
- Updated and expanded the Superfund Enterprise Management System (SEMS) section to
address rollout and integration status
Moved the Freedom of Information Act (FOIA) section to Chapter XII
- Updated SME chart and moved to the new Appendix B
Other minor edits and corrections
Chapter XII — Records and Information Management (formerly Appendix I)
- Changed the name from 'Superfund Documents' to 'Records and Information
Management'
- Modified the SEMS Document Management System (SDMS) section to refer to SEMS
and the new environment
Included the FOIA section moved from the Information Systems Chapter
Other minor edits and corrections
Appendix A — New Initiatives/New Requirements
Superfund Initiatives moved from Chapter I to Appendix A
Other minor edits and corrections
FY12SPIM Summary of Changes - 7 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
Appendix B - Regional and Headquarters Contacts
Updated SMEs were compiled into one appendix
Appendix C — FY2012 Work Planning Memorandum
- Change log not applicable
Appendix D —American Recovery and Reinvestment Act (ARRA)
- Discussion of the financial management tools has been revised to address Compass
Other minor edits and corrections
March 20, 2012 Summary of Changes - 8 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Chapter I: Introduction
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
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
1C CERCLIS ,7-5
FY 12 SPIM I-i March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 I-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER I: INTRODUCTION
LA PURPOSE
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 updated annually but may also be revised
during the year as needed.
The SPIM is divided into twelve separate chapters. Chapter I offers an introduction of
Superfund along with descriptions of each of the Superfund programs and the Comprehensive
Environmental Response, Compensation and Liability Information System (CERCLIS). 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 CERCLIS which
is the Superfund program's mechanism for planning accomplishments and data tracking system.
The CERCLIS chapter defines general and special CERCLIS data elements, including codes
used for targeting and reporting accomplishments as well as codes that describe specific budget
sources and actions.
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 V: Site
Assessment/National Priority Listing (NPL), Chapter VI: Removal Program, Chapter VII:
Remedial Program, Chapter VIII: Federal Facility Program, Chapter IX: Enforcement, and
Chapter X: Community Involvement.
FY 12 SPIM 1-1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
The last two chapters of the SPIM are Chapter XI: Information Systems and Chapter XII:
Records and Information Management. Chapter XI describes the program's new information
management system, the Superfund Enterprise Management System (SEMS), which will
combine CERCLIS, the SEMS Data Management System (SDMS), and the Institutional
Controls Tracking System (ICTS) into a single system. Chapter XII describes the process of
documenting records and information in SDMS/SEMS.
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 fiscal year (FY) 2012
Work Planning Memo that identifies the scope and schedule of FY 2012 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).
I.B 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 (PRPs) 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 the
Resource Conservation and Recovery Act (RCRA), provided regulatory requirements to address
present activities and prevent future catastrophes, but lacked authority to allow federal
emergency and long-term responses to past 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 Response Program (DERP) which authorized the
Department of Defense to create a response program similar to EPA's Superfund Remedial
Program.
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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 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 aims. The following descriptions are adapted from the Agency FY
2011 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 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 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. lA's 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.
I.C CERCLIS
CERCLIS 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 CERCLIS as well as
use 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 CERCLIS. HQ
uses CERCLIS data as the basis for tracking, managing, and reporting on national program
performance.
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Superfund Program Implementation Manual FY 12
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 Measures II-4
a. Superfund-lead removal actions completed annually 11-4
b. PRP removal completions (including voluntary, Administrative Orders on Consent
(AOC) and Unilateral Administrative Order (UAO) actions) overseen by EPA.11-5
c. Superfund-lead removal actions completed annually per million dollars 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 Superfiind NPL sites (Remedial
Action (RA) Projects) II-5
c. Annual number of Superfiind sites with remedy construction completed (CCs).. II-5
d. Number ofSuperfund sites with human exposures under control 11-6
e. Superfiind sites with contaminated groundwater migration under control 11-6
f. Number of Superfiind sites ready for anticipated use sitewide (SWRA U) 11-6
g. Acres "Protective for People Under Current Conditions " (PfP) 11-7
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 > $200,000 77-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater. ..11-7
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 11-11
II.D.l Third Quarter 11-12
a. Current Year Performance Tracking 77-72
b. Planning for the Upcoming Year 77-72
II.D.2 Fourth Quarter 11-13
a. Planning for the Upcoming Year 77-73
b. End of Year Performance Tracking 77-73
II.D.3 First Quarter (of the subsequent year) 11-13
a. Planning for the Current Year 77-73
b. Prior Year Performance Tracking 77-73
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-3
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 reporting on Superfund
program accomplishments. This chapter describes EPA's performance measurement approach
generally, and, more specifically, the Superfund program's processes for planning, budgeting,
tracking, and reporting progress both 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 and conduct program
evaluations to ensure the Agency meets these goals effectively and efficiently. Under GPRA the
Agency has developed several management and reporting tools.
The Superfund Comprehensive Accomplishments Plan (SCAP) is as an internal
management tool used by the Assistant Administrator for the Office of Solid Waste and
Emergency Response (AA OSWER), Assistant Administrator for the Office of Enforcement and
Compliance Assurance (AA OECA), and senior Superfund managers to monitor the progress
each region is making towards achieving the GPRA annual performance goals. In addition,
SCAP is used to project and track activities that contribute to these GPRA goals. The Superfund
program sets national goals based on historical performance and performance expectations for
the performance measures in GPRA.
EPA's Strategic Plan is the foundation of the Agency's planning and budgeting process.
The Strategic Plan is a five-year plan that outlines the Agency's mission, establishes quantifiable
goals and objectives, and describes the means and strategies, including GPRA Performance
Measures, that EPA programs employ to accomplish specific desired environmental results over
a multiple year period. The Agency must update the Strategic Plan every three years or more
often when there is significant policy, programmatic, or other changes to any element of the
current plan.
EPA's Annual Performance Plan defines the Agency's annual budget's 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
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Appropriation Estimates for the Committee on Appropriations (also known as the Congressional
Justification) also contains the Annual Commitments.
EPA's senior leadership also tracks Key Performance Indicators (KPIs), previously called
Senior Management Measures, to advance Strategic Goals and Cross-Cutting Fundamental
Strategies in EPA's Strategic Plan. KPIs are a subset of the existing Annual Commitments that
are tracked in Annual Commitment System (ACS).
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.
Each year in November, the Agency also 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 (APR). The APR provides the results EPA achieved against
its Annual Commitments and progress toward the long-term goals established in the Agency's
Strategic Plan.
To facilitate the development and tracking of the Annual Commitments by each EPA
program, the Office of the Chief Financial Officer (OCFO) uses ACS. ACS is a performance
tracking module in the Agency's Budget Automated System (BAS). OCFO annually issues
National Program Manager (NPM) guidance identifying the schedule for entering data into ACS.
Coordinators in OSWER and 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 (DRAs) certify to the accuracy and completeness of the ICIS and the
Comprehensive Environmental Response, Compensation and Liability Information System
(CERCLIS) data during a mid-year and end-of-year certification process lead by the Office of
Compliance.
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:
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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
Exhibit II. 1 identifies the venues through which the Superfund measures are reported and
which Superfund programs are responsible for these measures. A description of each measure
follows Exhibit II. 1 .
EXHIBIT ILL SUPERFUND PERFORMANCE MEASURES
Measure Name
Superfund-lead
removal actions
completed annually
Potentially
Responsible Party
(PRP) removal
completions
(including
voluntary, AOC
and UAO actions)
overseen by EPA
Superfund-lead
removal actions
completed annually
per million dollars
Number of
Superfund remedial
site assessments
completed
(Site Assessments)
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
Strategic
PlanGPRA
Performance
Measures
X
X
X
Annual
Performance
Plan
Commitments*
X
(ACS#132)
X
(ACS#133)
X
(ACS #122)
X
(ACS #131)
X
(ACS #141)
X
(ACS #151)
Key
Performance
Indicators
X
(ACS #151)
High
Priority
Performance
Goals
Cross-
Program
Revitalization
Measures
Responsible
Superfund
Program
Removal
Removal
Removal
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
FY 12 SPIM
II-3
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Measure Name
exposures 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" (PfP)
Acres "Ready for
Anticipated Use"
(RAU)
Pre-Remedial
Enforcement
Action at
Superfund Sites
Past Costs
Addressed >
$200,000 via
Settlements,
Referral, Write-Off,
or Claims in
Bankruptcy
Volume of
Contaminated
Media Addressed
(VCMA)
Total Response
Commitments
Total Cost
Recovery
Settlements
Value of PRP
Oversight
Strategic
Plan GPRA
Performance
Measures
X
X
X
X
Annual
Performance
Plan
Commitments*
X
(ACS #152)
X
(ACS#S10)
OSRE-01
OSRE-02
HQ-VOL
Key
Performance
Indicators
X
(ACS#S10)
High
Priority
Performance
Goals
X
(ACS #S10)
Cross-
Program
Revitalization
Measures
X
X
Responsible
Superfund
Program
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities
Remedial,
Federal
Facilities,
Removal
Remedial,
Federal
Facilities,
Removal
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
Enforcement
*Code numbers are provided for each measure tracked in ACS or ICIS.
II.B.l Removal Program Measures
a. Superfund-lead removal actions completed annually
EPA has established the position of federal On-Scene Coordinators (OSCs) with
authority to monitor or direct response actions, and to deploy federal resources if needed.
This measure tracks the number of removal completions performed by EPA. The Agency
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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).
b. PRP removal completions (including voluntary, Administrative Orders on
Consent (AOC) and Unilateral Administrative Order (UAO) actions) overseen by
EPA
This measure tracks the number of removal completions overseen by EPA where the
primary responsible party has been identified and is performing the cleanup with or
without an enforcement instrument (e.g., AOCs, UAOs or voluntary agreements).
c. Superfund-lead removal actions completed annually per million dollars
This measure is designed to illustrate the efficiency with which EPA's Emergency
Response and Removal program conducts Superfund-lead removal actions.
II.B.2 Remedial and Federal Facilities Program Measures
a. Number of Superfund remedial site assessments completed (Site Assessments)
Site assessments are conducted in order to address uncertainty regarding contamination
and determine the need for remedial cleanup, as well as to determine which sites do not
need additional cleanup or further EPA involvement. Completing site assessments
achieves a significant milestone in the cleanup continuum. It also 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. More information about the Site
Assessment measure can be found in Chapter V, titled Site Assessments/NPL Listing.
b. Number of Remedial Action project completions at Superfund NPL sites
(Remedial Action (RA) Projects)
This measure communicates incremental progress in reducing risk to human health and
the environment (multiple Remedial Action (RA) projects may be necessary prior to
achieving sitewide 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
VII, titled Remedial Program.
c. Annual number of Superfund sites with remedy construction completed (CCs)
Construction completion signifies physical construction of all cleanup actions is complete
at a site, including actions to address all immediate threats and to bring all long-term
threats under control. This measure communicates to 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
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for NPL Sites, OSWER 9320.2-22, May 2077), and requires concurrence by HQ. More
information about the CCs measure can be found in Chapter VII, titled Remedial
Program.
d. Number of Superfund sites with human exposures under control
The Human Exposure Under Control (HEUC) environmental indicator is designed to
document long-term human health protection on a site-wide basis by measuring the
incremental progress achieved in controlling unacceptable human exposures at a
Superfund site. Information about the HEUC indicator is available on EPA's website at
More information about the HEUC
indicator can be found in Chapter VII, titled Remedial Program. HEUC is one of EPA's
senior leadership KPIs, used to advance Strategic goals and Cross-Cutting Fundamental
Strategies in EPA's Strategic Plan. For KPI reporting, the Superfund Remedial Program's
HEUC result will include final and deleted NPL and SA sites and be combined with the
Office of Resource Conservation and Recovery's (ORCR's) human exposure under
control measure's accomplishments (CA1).
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 ground water is stabilized and there is no
unacceptable discharge to surface water and monitoring will be conducted to confirm that
affected ground water remains in the original area of contamination. Information about
the GWMUC indicator is available on EPA's website at
More information about the GWMUC
indicator can be found in Chapter VII, titled Remedial Program.
f. Number of Superfund sites ready for anticipated use sitewide (SWRAU)
Tracking sites where all physical construction is completed, human exposure from
hazardous substances is under control, and all Institutional Controls are in place,
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 process. It also demonstrates that land at Superfund sites is available for
the intended reuse as specified in the Record of Decision (ROD) or other decision
documents (s). Information about the SWRAU measure is available on EPA's website at
More information
about the SWRAU measure can be found in Chapter VII, titled Remedial Program.
SWRAU is one of EPA's senior leadership KPIs, used to advance Strategic goals and
Cross-Cutting Fundamental Strategies in EPA's Strategic Plan. In addition, SWRAU is a
HPPG which will produce significant, measureable results in the next 12 to 24 months, is
relevant to the public, and represents a high priority for the Agency. For KPI and HPPG
reporting, the Superfund Remedial program's SWRAU result will include final and
deleted NPL and SA sites, exclude groundwater only sites, and exclude sites that have
been deferred to other programs. For KPI and HPPG reporting, the Superfund Remedial
Program's SWRAU result will be combined with ORCR, Office of Brownfields and Land
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Revitalization (OBLR), and Office of Underground Storage Tanks (OUST)
accomplishments.
g. Acres "Protective for People Under Current Conditions" (PfP)
Measuring land revitalization accomplishments is important to communicate the benefits
of land cleanup. This measure communicates to the public the number of acres and sites
at which 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 is available on EPA's website at
h. Acres "Ready for Anticipated Use" (RAU)
Measuring land revitalization accomplishments is important to communicate the benefits
of land cleanup. This measure communicates to the public the number of sites and acres
which are ready for anticipated use sitewide (SWRAU). Information about CPRM
measures is available on EPA's website at
II.B.3 Enforcement Program Measures
a. Pre-Remedial Enforcement Action
Pre-Remedial Enforcement Action at Superfund sites is 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 IX,
titled Enforcement, for further discussion on the measures.
b. Past Costs Addressed > $200,000
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 limitation (SOL) cases and unaddressed past Superfund
costs greater than or equal to $200,000. Also, see Chapter IX, titled Enforcement, for
further discussion on the measures.
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater
By 2015, The OECA program will obtain commitments to clean up 1.5 billion cubic
yards of contaminated soil and groundwater media nationally as a result of concluded
enforcement actions. This measure is a national measure with an annual target of 300
million cubic yards per FY. Information for this target is entered into OECA's ICIS
database. Further information on calculating the VCMA may be found in the "Final
Methodology for Estimating Superfund and RCRA Corrective Action (CCDS)
Environmental Benefits 12-12-03. " Also, see Chapter IX, titled Enforcement, for further
discussion on the measures.
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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
IX, 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 IX, 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 responsible party
(RP)-lead actions where a settlement document is in place with EPA that provides for
payment of federal oversight costs. Also, see Chapter IX, titled Enforcement, for further
discussion on the measures.
// C ANNUAL PERFORMANCE PLAN AND BUDGET DEVELOPMENT
CYCLE
Development of the Annual Performance Plan and the budget development process go
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 includes identification of major program
issues, analysis of program costs, and alignment of resources among competing priorities. The
plan, initiatives, priorities, and the budget are established through a series of executive level
planning and decision meetings, which take place in the late spring and early summer.
EPA program offices generally submit budget formulation proposals to OCFO in the late
spring. CERCLIS outyear planning data are used to inform senior managers of Superfund
program resource trends and highlight opportunities to invest or disinvest in specific initiatives.
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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 to develop initial resource allocations for regional
budgets by budget object class (BOC) and other categories. OCFO pre-calculates the regional
targets for some of these categories, such as budgets for non-site travel, working capital fund,
workforce support, and payroll. The Superfund national program offices have responsibility for
allocating the other categories of resources, including contracts and interagency agreements,
grants and cooperative agreements, and site travel to the regions, primarily through Site
Allowances. However, at this stage of operating plan development, program offices are not
required to distinguish among these BOCs. Some HQ program offices (the remedial program in
particular) assign resources to a Regional Reserve, which does not identify the specific amounts
that individual regions will receive in the upcoming year. Rather, during annual work planning
meetings that start in late summer, HQ program offices review and analyze regional Superfund
implementation and funding plans (based on CERCLIS 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 BAS by BOC, and
initial resources are issued to the programs by OCFO through the Agency's financial
management system.
Those HQ Superfund program offices that maintain Regional Reserve resources will
program these resources to individual regions throughout the course of the year in Site
Allowances according to site-specific allocation methodologies or formulas (program-specific
details are provided in the section on Site Allowances).
In some years, an appropriation is not enacted by the start of the FY, and Congress passes
one or more Continuing Resolutions (CRs) 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
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OSWER Directive 9200.3-14-1G-W
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 (generally the Site Allowances) allocated to them. Agency-wide policy
allows regions and HQ offices to shift resources across programs on a limited basis throughout
the year as long as they are consistent with specific program office and OCFO policies regarding
the shifting of resources. However, regional Superfund program offices may not shift
appropriated funds among Site Allowances without prior HQ program office approval. HQ
program offices also use a more formal mid-year evaluation/review process to assess progress in
meeting performance targets and to realign resources in the current FY. Current year resource
adjustments focus on changes needed due to cost and project schedule modifications. Changes
may result in 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
October
November
D
ecem er
January
February
M^arch
Outyear Budget
(FY2> '
Revision to the Agency's
Strategic Plan begins.
Planning Year Budget
(FY1)
(From September Outyear Budget
FY)
OMB passback of budget request
HQ appeal of the OMB budget
passback
President submits budget request
to Congress
Congressional Appropriation
Hearing on President's Budget
Current Year Budget
'. ' ' (FYO)
(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 finalizes preliminary
ongoing RA funding plan and issues
first quarter RA and Pipeline 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
OCFO issues prior year carryover
OSWER issues second quarter RA Site
Allowance resources to regions
third quarter response Site Allowances
and remaining call memo for
March 20, 2012
11-10
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Month
Outjear Budget
. (FY2) ' '
Planning Year Budget
' (FY1)
Current Year Budget
• :(FYO) . ••
enforcement Site Allowance are issued
April
Annual national goal
meetings are held
OSWER pulls programs
and financial planning
information from
CERCLIS to assist
OSWER managers in
developing 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
CERCLIS (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.
OSWER issues fourth quarter RA Site
Allowance resources and final
allocation of Pipeline Site Allowance
resources.
HQ pulls target/accomplishment and
financial data from CERCLIS for
analysis of program accomplishments
and obligation/commitment rate.
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 CERCLIS for analysis of
program accomplishments and regional
obligation commitment rate.
September
(Go to beginning of
Planning Year Budget)
OSWER develops initial ongoing
RA 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 the current year and planning
activity for subsequent years at the same time.
FY 12 SPIM
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II.D.l 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 CERCLIS. Generally, OSRE pulls second
quarter enforcement accomplishments data from CERCLIS 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 discuss regional progress in achieving
current year negotiated targets and regional budget utilization (obligation rates) during
mid-year reviews. These discussions provide both 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
consistent with guidance. Special accounts are discussed further in section IIIJ of
Chapter III, titled Financial Management.
During this timeframe, OSRE also requests the regions to submit site and activity specific
requests for additional extramural enforcement resources, and will allocate 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 and the procedures 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 C of the SPIM.
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.
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II.D.2 Fourth Quarter
a. Planning for the Upcoming Year
During July, HQ staff will schedule work planning meetings with each region to take
place during August and September. Pursuant to the guidance in the Superfund Remedial
and Enforcement Work Planning memorandum (issued late June, or early July), regions
will enter the applicable planning data into CERCLIS 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 FY, 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
CERCLIS, ACS, and ICIS in a timely manner.
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 issues preliminary
ongoing construction funding plans to the regions and Pipeline Operations Site
Allowance resource allocations. FFRRO also issues a memo that outlines regional
commitments and allocation of funds.
b. Prior Year Performance Tracking
HQ pulls final CERCLIS 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 CERCLIS, and
determine when the commitments were met. In November, each Superfund program
conducts an end-of-year assessment. This assessment is an integrated analysis of program
performance activities for the year. The purpose of the end-of-year assessment is to
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OSWER Directive 9200.3-14-1G-W
emphasize pipeline issues (e.g., slipped targets and their impact on commitments for the
next year). Missed targets may have resource implications for the next FY. The end-of-
year review also notes progress toward implementing strategies identified in the mid-year
assessment, and identifies regions that might require additional HQ assistance as the new
FY begins.
Although OSRE coordinates end-of-year accomplishment reporting with OSWER and
OECA, OECA's accomplishments reporting schedule differs from the Superfund
program's reporting schedule. Each year, the OC 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.
II.E PLANNING, TARGET, AND ACCOMPLISHMENT REPORTS
The following lists provide the primary CERCLIS 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 CERCLIS to run any management reports.
In addition, Superfund also maintains a set of senior management reports through
Superfund eFacts, an internal web-based reporting tool that integrates planning and
accomplishment data in CERCLIS with cost data from the Agency's financial management
system. Superfund eFacts data are updated daily and the senior management reports illustrate site
progress through the Superfund pipeline and the involvement of PRPs in cleanup activities.
Superfund eFacts provides information on site assessment, Federal Facilities, construction
completions, performance on annual commitments and other internal program measures. The
data are available in regional, state, or national views and the reports are designed to supplement
conventional quarterly accomplishment CERCLIS reports by providing a more comprehensive
examination of program activity.
II.E.l OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting
• SCAP-02: The Site Summary Report is used by EPA to display enforcement sensitive
CERCLIS data for NPL and non-NPL sites.
• SCAP-04E. SCAP-04F. SCAP-04M. SCAP-04R: The Enforcement Financial Report (SCAP-
04E), Federal Facility Financial Report (SCAP-04F), Removal Financial Report (SCAP-
04M), and Remedial Financial Report (SCAP-04R) aggregate dollars by program area and
provide both site-specific and non-site specific backup from CERCLIS.
• SCAP-13: The Site Assessment Report is used for reporting site assessment estimates, plans,
and accomplishments. The information provided by this report is used in conjunction with
the SCAP-14 report to encompass the entire range of targets and measures.
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OSWER Directive 9200.3-14-1G-W
• SCAP-14: The Superfund Accomplishments Report is used to track targeting, planning, and
accomplishment actions in support of the Remedial, Enforcement, and Federal Facility
programs.
• SCAP-15: The GPRA Report is used to track GPRA performance goals and measures in
support of the Response program.
• SCAP-16: The Reconciliation (SCAP-14 Audit) Report is used to extract all potential
candidates for a SCAP-14 category and provide the user with the ability to determine the way
in which the action will be selected or eliminated based on the values or lack of values in the
Select Logic columns.
• The Federal Facility Accomplishments Report is a subset of the SCAP-14F report. It includes
several extra categories concentrating specifically on accomplishments at Federal Facility
sites (NPL, non-NPL, and Base Realignment and Closure Act (BRAC)
• The Federal Facility Audit Report lists all of the Federal Facility data issues detected in
CERCLIS for the selected FY.
• ENFR-03: The Settlement Master Report lists all enforcement instruments to date. Data are
divided by enforcement instrument type (e.g., CDs, AOCs, UAOs, Judgments, Bankruptcy)
and summarized by FY, region, and remedy.
• ENFR-07: The De Minimis Settlement Report lists all the de minimis settlements including
the number of parties.
• ENFR-62: The Enforcement Measures of Success Report allows regions to report progress
on measures of success relating to enforcement fairness and trust fund stewardship.
• ENFR-66: RA Start Report provides a list of RA starts planned for a selected FY along with
enforcement actions that have occurred at that site.
II.E.2 OSRE Management Reports
• ENFR-11: 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-16: Cost Recovery Decision Documents Report provides justification why past costs
are unrecoverable and written off.
• ENFR-17: The Cost Recovery Targeting Report is a tool used to identify potential targets for
cost recovery with upcoming statute of limitations.
• ENFR-22: The ROD Amendment and RD/RA Negotiations Report is used to track RD/RA
negotiation progress. The report is categorized into RD/RA negotiations started from signed
ROD and No RD/RA negotiations started from signed ROD.
• ENFR-25: 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 67: 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.
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OSWER Directive 9200.3-14-1G-W
II.E.3 FFRRO Management Reports
• No Code Name: The Federal Facility Five Year Review Status Report lists the status of all
the planned and completed Federal Facility Five Year Reviews.
• No Code Name: The Federal Facility FOST/FOSL/EBS Report lists the Environmental
Baseline Survey (EBS) completion date and all of the Findings of Suitability to Transfer
(FOST), Findings of Suitability to Lease (FOSL) and Findings of Suitability to Early
Transfer (FOSET) that EPA has concurred on in the selected FY.
No Code Name: The Federal Facilities Site Summary Report summarizes all the actions,
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 FY 12
Chapter III; Financial Management
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OSWER Directive 9200.3-14-1G-W
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 Financial Office (RFO) 777-2
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 (RPO)/Deputy Project Officer (DPO) 777-3
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. 777-4
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 Financial Vehicles 7/7-5
III.C.l Contracts III-5
III.C.2 Interagency Agreements (lAs) III-7
III.C.3 Cooperative Agreements (CA) III-7
III.C.4 Technical Assistance Grants (TAGs) III-7
777.7) Financial Data Management Tools 777-5
III.D. 1 CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) Reports III-8
III.D.2 Budget Automated System (BAS) III-8
III.D.3 Compass (formerly IFMS) III-8
III.D.4 Compass Business Objects Reporting Tool III-9
III.D.5 Compass Data Warehouse (CDW) III-9
III.D.6 Superfund Cost Recovery Package and Image On-Line System (SCORPIOS) III-9
III.D.7 PeoplePlus (PPL) 111-10
777.7i Superfund Accounting Information and Treatment of CERCLIS Data 111-10
III.E.l Superfund Account Number 111-10
a. Fund/Appropriation Code 777-77
b. Budget Organization III-l 2
c. Program Results Code (PRC) 777-72
d. Project Field 777-74
e. Cost Organization III-l 4
III.E.2 Handling Financial Data in the CERCLIS Environment 111-15
a. Deleting Planned Obligation Data from CERCLIS 777-75
b. Correcting Financial Data III-l 5
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III.F Allocating Superfund Resources Among the Regions 111-16
III.F.l Managing Site Allowance Resources in CERCLIS 111-16
III.F.2 Deobligating Prior Year Funds 111-17
III.F.3 Removal Program Resources (PRC 303DC6) 111-17
III.F.4 Remedial Response Program Resources (PRC 303DD2) 111-18
a. Remedial Action Site Allowance 111-18
b. Pipeline Operations Site Allowance 111-19
III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9) 111-19
III.F.6 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) ffl-20
III.F.7 Enforcement Program (PRC 501EC7) 111-20
III.F.8 Federal Facilities Enforcement Program Resources (PRC 501EH2) 111-21
///. G Cost Recovery 111-21
III.G.l Recoverable Costs 111-22
a. Direct Costs 111-22
b. Contractors' Annual Allocation Costs 111-22
c. Indirect Costs 111-22
III.H Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 111-23
III.H.1 WQ SSID and WQ Action Code 111-23
a. WQSSID 111-23
b. WQ Action Code 111-24
III.H.2 ZZSSID 111-24
III.H.3 00 SSID 111-24
III.I Superfund State Contracts (SSC) 7/7-25
III.I.l Cost Share Provisions 111-25
III.I.2 Constraints on Obligating Funds for RA 111-26
III.I.3 Cost Share Payments 111-26
III.I.4 Using Funds from State Cost Share Payments 111-27
777.7 Special Accounts 777-27
III.K Using the Fiduciary Reserve to Address Cost Overruns 777-25
List of Exhibits
Exhibit III. 1. EPA Forms Commonly Used for Superfund Procurements III-6
Exhibit III.2. Superfund Account Number Structure 111-10
Exhibit III.3. Sample Superfund Appropriation Codes III-l 1
Exhibit III.4. Superfund Program Results Codes and Site Allowance Codes III-13
Exhibit III.5. Project Field 111-14
Exhibit III.6. Project Field for IT Related Transactions 111-14
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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. The third
section describes the financial vehicles used to obligate Superfund resources, and the fourth
section identifies numerous financial data management systems and tools for tracking Superfund
costs. The fifth section 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 Mlix//M^^
IILB FINANCIAL MANAGEMENT ROLES AND RESPONSIBILITIES
Due to the complexities of the Superfund program, numerous organizational units within
the regional EPA offices have responsibility for Superfund financial management. As described
in this document, the Regional Management Division is the organization in which financial
management, budgetary, accounting, planning and assistance agreements, and administration
functions are carried out. The Regional Servicing Finance Office (SFO), the Grants Officer, and
the Contracting Officers (CO) for the Response Action Contract (RAC), Superfund Technical
Assessment and Response Team (START), Regional Oversight Contract (ROC) and Emergency
and Rapid Response Services (ERRS) contracts are considered a part of this division. Please see
Appendix B for a list of regional Superfund Cost Recovery Contacts. This section first lists the
primary regional offices with Superfund-related financial management responsibilities and the
duties for which each office has responsibility or authority. The next section lists the financial
management roles and responsibilities of several staff positions.
IILB.l 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 (lAs), Cooperative Agreements (CAs), and
Technical Assistance Grants (TAGs);
• Enters into SSCs;
• Initiates response planning activities; and
• Ensures reimbursable BRAC costs are accurate and appropriate (1996 BRAC
Guidance, section 3.2.1).
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b. Regional Financial Office (RFO)
• Participates with the regional program office (RPO) to Assign Account Number,
Document Control Number (DCN), and CA identification numbers;
• Enters quarterly Site Allowance into Compass, controls regional allowance;
• Sets up regional account numbers, including Site/Spill Identifier code (SSIDs), in
Compass;
• Processes Procurement Requests (PRs, REQs), lAs, and CAs;
• Enters commitments, obligations, and drawdowns 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 supports the preparation of
documentation for cost recovery; and
• Provides RPO with financial data.
Note that some of these functions may be performed by the Regional Program Office
(RPO) or Office of Financial Services Finance Centers in some regions.
c. Regional Program Office (RPO)
• Assigns the Account Number;
• Provides technical support to the CO;
• Reviews vouchers and/or financial reports;
• Manages CAs and lAs;
• Requests SSIDs from the RFO;
• Prepares Commitment Notices (CNs) and PRs;
• Develops SSCs;
• Approves Request for Proposals (RFPs) or Request for Bids and contracts developed
by the states;
• Monitors the transfer of financial data on contracts, lAs, and CAs into the
Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS);
• Maintains Superfund document files on regional work performed;
• Submits change requests; and
• Initiates and manages obligations.
Note that some of these functions may be performed by the RFO in some regions.
d. Administrative Support Unit
• Established in each RPO;
• Staffed with EPA staff (the non-government functions may be performed by a
contractor);
• Provides administrative support to the On-Scene Coordinator (OSC)/Remedial
Project Manager (RPM);
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• Provides liaison between OSC/RPM and other groups involved in administrative
matters;
• Provides support to regional program management;
• Assists in developing removal site budgets and Action Memoranda;
• Maintains the Removal Cost Management System (RCMS);
• Sets up and maintains active site files;
• Completes PRs and CNs; and
• Reviews Compass reports.
III.B.2 Regional Staff Financial Roles and Responsibilities
a. On-Scene Coordinator (OSC)
• Is an employee of EPA or U.S. Coast Guard (USCG);
• May be 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 and PRs;
• Initiates 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; and
• Acquires services using warrant for up to $250,000.
b. Remedial Project Manager (RPM)
• Is an employee of EPA;
• Initiates and manages removal actions and remedial actions;
• Manages enforcement costs and activities;
• Aware of, in control of, and responsible for site charges;
• Ensures costs are reasonable and necessary;
• Reviews contractor invoices and financial reports;
• Establishes and maintains official site files in coordination with the Records Center;
• Initiates PRs, WAs, CAs, lAs, and contracts; and
• Approves site-specific IA invoices.
c. Regional Project Officer (RPO)/Deputy Project Officer (DPO)
• Is an employee of EPA;
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• Manages remedial, enforcement, removal, and general site support contracts;
• Evaluates and designates contractor award fees;
• Monitors contractors' activities;
• Reviews monthly contractor reports and site- specific attachments;
• Initiates PRs, WAs, CAs, lAs, and 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 START, RACs, and ERRS;
• Approves site-specific IA invoices;
• Identifies regional and site-specific contract requirements;
• Reviews invoices; and
• 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 OSWER and 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 depicted 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 billings 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, and
• Records remedial state cost share credits into Compass.
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.
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; and
• Provides cost and price analysis.
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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; and
• Annually issues the deobligation recertification guidance memo.
e. Office of Financial Management (OFM), OCFO
• Collects HQ Superfund cost documentation for cost recovery;
• Oversees annual site-specific reporting process;
• Develops financial policies and procedures;
• Provides general accounting support;
• Records transfer allocations;
• Manages investments in the Superfund Trust Fund; and
• 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; and
• 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 distributions to various sites as requested by approving official once
invoices are paid;
• Scans Superfund documents into SCORPIOS; and
• Completes corrections on contracts and simplified acquisitions.
III.C FINANCIAL VEHICLES
EPA uses a variety of procurement mechanisms to carry out the Comprehensive
Environmental Response, Compensation and Liability Act (CERCLA)-funded response actions.
These include the procurement of contracts, lAs, CAs and TAGs.
IILC.l Contracts
Superfund contracts are awarded through standard procurement procedures as shown in
Exhibit III.l. There are three basic types of contracting within Superfund: site-specific, non-site
specific, and support contracts. Funds for contracts that support Site-Specific Work are obligated
and tracked on a site-specific basis. Contract vehicles that primarily support site-specific work
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include Response Action Contracts (RAC), Superfund Technical Assessment and Response
Team (START), Regional Oversight (ROC), Emergency and Rapid Response Services (ERRS),
Contract Laboratory Program (CLP), and Environmental Services Assistance Team (ESAT).
Generally site support contracts are not awarded on a site-specific basis though they allow for
site-specific task or delivery orders, which can be obligated on a site-specific basis. Funds may
be obligated to specific sites, or bulk funded with the "WQ" SSID (or "WQ" action code) and
then paid out 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. For more discussion on contracts, see
OCFO's RMDS 2550C, Chapter 3 (MtEI//!!!!!^^
and the EPA Contracts Management Manual, or refer directly to the directives prepared for each
contract.
EXHIBIT III.1. EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS
EPA Form
Number
Form Name
Purpose
Comments
1900-8
Procurement
Request/purchase Order
The Agency's basic form for
requesting the procurement of any
goods or services. Used to commit
funds before obligating funds on any
of these documents. Must be certified
byRFO.
This form is the basis for entering
a commitment in Compass
(formerly IFMS). The RFO enters
an obligation only upon receiving
a contract document or purchase
order.
1900-48
Order for Services-
Emergency Response to
Hazardous Substance
Release
Used by OSCs to obligate funds and
contract for services (up to $250,000)
from commercial firms or a state or
local government (if site not owned
by state or subdivision at time wastes
were disposed of) to respond to a
release.
Results in a firm, fixed-price
contract. No price adjustment
may be made for work stated in
contract. Contractor may submit
only one invoice. RFO will
process contract as an obligation.
1900-49
Notice to Proceed with
Emergency Response to
Hazardous Substance
Release
Used by OSC to authorize a
contractor to begin work on an
emergency response (up to $10,000
per incident). Negotiation of
definitive contract and any
modifications performed by CO.
A preliminary contractual
instrument that must be made
final by a designated CO. RFO
will process notice as an
obligation.
1900-56
Letter contract for state,
tribal government, or
local government
Response to Emergency
Hazardous Substance
Release
Used by OSC to procure services
from a state, local, or tribal
government to begin work on an
emergency response (up to $10,000
per incident) if site was not owned by
state or subdivision at time of
hazardous waste disposal.
Negotiation of definitive contract and
any modifications performed by CO.
Results in a cost reimbursement
type agreement with a state, local,
or tribal government. It is a
preliminary contractual
instrument that must be made
final by a CO. The appropriate
RFO will process a letter or
contract as an obligation.
1900-59
Delivery Order for
ERRS
Used by OSCs to order services (up
to $250,000) from the ERRS
contractor to respond to a release. All
modifications and obligations greater
than $250,000 will be processed by
the CO.
Has time and material provisions
but uses fixed rates negotiated in
ERRS contract. Order must be
made final by a designated CO.
RFO will process orders as an
obligation.
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IILC.2Interagency Agreements (lAs)
An Interagency Agreement (IA and 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. The regional program offices initiate and
manage site-specific lAs. HQ also manages specific lAs, including U.S. Coast Guard (USCG),
Department of Justice (DOJ), U.S. Fish and Wildlife Service (FWS), and National Oceanic and
Atmospheric Administration (NOAA) lAs. Each IA specifies the services required and identifies
the method of payment. For additional information on the financial management of Superfund
lAs, refer to OCFO's RMDS 2550D, Chapter 6:
III.C.3 Cooperative Agreements (CA)
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 in which both parties provide funding and services related to 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, ranging from site assessment activities to lead
for site-specific response actions to support Agency functions and general support for state
Superfund programs. These CAs have unique provisions that are described in Subpart O of 40
CFR Part 30, including satisfying CERCLA provisions regarding state involvement and payment
of state cost share.
Several offices are involved in the commitment process for a CA. The Regional Program
Office (RPO) prepares the commitment notice and obtains the necessary program approvals; the
regional Comptroller's Office certifies availability of funds, assigns accounting data, and enters
commitment in Compass (formerly the Integrated Financial Management System (IFMS)); 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 regional
Comptroller's Office 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.C.4 Technical Assistance Grants (TAGs)
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program 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 and help the community understand technical
information about their site. TAGs are available at Superfund sites that are on the EPA's NPL or
proposed for listing on the NPL, and for which a response action has begun.
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III.D FINANCIAL DATA MANAGEMENT TOOLS
The unique aspect of Superfund financial tracking stems primarily from the need to
associate EPA's incurred costs with specific Superfund sites and OUs and projects to support the
cost recovery process. Cost recovery negotiations with Potentially Responsible Parties (PRPs), or
court actions, require careful documentation of federal costs incurred at each site/spill. The
following data management systems and tools are used to plan and track the use of programmatic
resources:
IILD.l CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) Reports
CERCLIS 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. Superfund Comprehensive Accomplishment Plan (SCAP) Reports are
standardized reports generated from CERCLIS that support program planning and performance
(see Chapter II, titled Performance Measures, Planning and Reporting Requirements). HQ uses
SCAP 4 reports to track the regional financial planning and execution. These reports include the
SCAP 4R for the Response budget; SCAP 4E for the Enforcement budget; and SCAP 4F for the
Federal Facilities budget. CERCLIS financial information is used for management purposes only
and is not an official representation of Superfund incurred costs. Resource planning data are also
usually considered enforcement sensitive, since they may inadvertently give leverage to PRPs
who are negotiating settlements with EPA, are not made available to the public (See Chapter IV,
titled CERCLIS Data Management and CERCLIS Codes, for more information on
confidentiality of CERCLIS data).
III.D.2 Budget Automated System (BAS)
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 employee (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 does not contain
reprogramming including recertification of funds.
III.D.3 Compass (formerly IFMS)
Compass is the umbrella name for EPA's new financial management and reporting
system. This system replaced an earlier financial management system, IFMS, at the beginning of
fiscal year (FY) 2012. Compass has at its base a core financial system that supports the general
ledger, budget execution, funds control, accounts payable, disbursements, accounts receivable
and collections, travel, project cost accounting, fixed assets and standard reporting functions.
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), GovTrip, Property Inventory, eBusiness, the Grants Payment Allocation System
(GPAS), the Budget Automation System (BAS), the Inter-Agency Doc Online Tracking System
(TDOTS), 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. Financial data are loaded into the
Compass Data Warehouse (CDW), which supports both financial and administrative data,
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providing financial data and reports to users across the Agency and supports a number of EPA
applications, including programs such as Superfund Cost Recovery Package Imaging and On-
Line System (SCORPIOS) and CERCLIS.
III.D.4 Compass Business Objects Reporting Tool
The Compass Business Objects Reporting Tool (CBORT) provides a corporate,
web-based approach to Agency financial reporting and information needs. CBORT also
integrates financial, administrative and program performance information, which is useful for
monitoring Agency operating activity, conducting trend analysis, and developing program
strategy. CBORT 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 organization.
3. Information Centers: Provide users with a platform for posting, viewing and sharing
reports of interest with multiple users across their Responsible Program Implementation
Office (RPIO) Organization
III.D.5 Compass Data Warehouse (CDW)
The Compass Data Warehouse (CDW) is an official Agency reporting tool that contains a
collection of data in an Oracle database from Compass and other Agency financial systems. The
data that is stored in CDW are available to EPA users via the intranet at
httj^/ias^ and by direct desktop access through Lotus
Approach, Impromptu, and MS Access (a User ID, password, and database host name must be
established). Compass data in the CDW are refreshed constantly as transactions are processed in
the on line Compass application. Historical financial data in Compass, and thus the CDW, are
limited. While all financial transactions that are open (i.e., unliquidated) have been migrated to
Compass, only completed transaction data from budget fiscal year (BFY) 2001 and later are
contained in Compass and the CDW. At the CDW intranet site, there is a link to historic
Financial Data Warehouse (FDW) queries that may be used to access historic data. 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. The data available through FDW queries are frozen and do not contain
any financial transaction information occurring in FY 2012 or later. OCFO is currently
developing a Superfund Comprehensive Data Source (SCDS) that will eventually provide an
authoritative source for all current and historical Superfund financial data.
III.D.6 Superfund Cost Recovery Package and Image On-Line System (SCORPIOS)
SCORPIOS organizes cost information and produces reports that summarize the costs for
a specific Superfund site. The SCORPIOS report is combined with images of supporting cost and
technical documentation to yield a complete cost recovery package. The system also provides
calculations for oversight billing and tracking, charging of indirect costs, and the charging of
annual allocation. Please check the website for more information:
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OSWER Directive 9200.3-14-1G-W
IILD.TPeoplePlus (PPL)
PPL, the Agency's integrated Human Resources, Benefits, Payroll, Time, and Labor
Management System, is a time recording system as well as a labor distribution system. With
PPL, both the time card and time sheet functions are combined. The user must record and attest
all site charges that are entered in PPL each pay period. PeoplePlus electronically records this
information and attributes it to the appropriate accounts by site. The information is then
automatically passed into Compass, and then to SCORPIOS, which is used for cost recovery.
III.E SUPERFUND ACCOUNTING INFORMATION AND TREATMENT
OF CERCLISDA TA
Where EPA incurs costs that can be identified as solely benefiting Superfund, the
Superfund Appropriation is to be directly charged through the Agency's account number
structure. The account number structure is 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. When planning resource uses in CERCLIS, regions will
generate Superfund account numbers that may be used as the basis for preparing procurement
requests through the Agency's procurement systems. The CERCLIS interface with financial
information in Compass, necessary for tracking resource use (commitments, obligations,
payments) in CERCLIS, also depends on the account number structure.
IILE.l Superfund Account Number
The account number structure is comprised of six fields of data elements that identify the
specific nature of the expense. These fields are: the budget fiscal year; fund (or appropriation);
organization; program results code; project and cost organization. Exhibit III.2 provides an
example of an account number and a brief definition of each of its fields and the following
sections provide additional detail about each field.
EXHIBIT III.2. SUPERFUND ACCOUNT NUMBER STRUCTURE
Budget Fiscal Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
2|o|l|2|
T|R|2|A|
7|A|o|o|P
3|o|2|D|D|2|
o|7|2|3|R.|A|o|l
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., '2012'). The last four positions in this field identify
the ending budget fiscal year (for expiring funds), but these positions
are not used by the Superfund program and should be left blank.
2012
Fund (Appropriation)
(six characters)
The type of appropriation is entered in this field with up to first four
characters indicating appropriations accounts and sub-actions (e.g.,
'TR2A'). If the appropriation is billed or received (for cost recovery),
valid entries can be up to four characters in length (e.g., HSCR), with
the last two positions left blank.
TR2A
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Budget Organization
(seven characters)
The Budget Organization field is the Allowance Holder/Responsibility
Center (AHRC) code (e.g., 07H). The AHRC code can be between
three and seven characters in length. For instance, the first two
characters represent the allowance holder (e.g. Region 7 may be
represented as 07 or 7A); the third character is an alpha character
which designates the responsibility center within the region (see the
region's budget office for a list of these codes). The fifth position
represents the Superfund Site Allowance Code (e.g., Pipeline or
Remedial Action), although positions four through seven may also
represent a local option or congressional add-on (e.g., CUD - counter-
terrorism response).
7AOOP
Program Results Code
(PRC)
(nine characters)
The first six characters identify the PRC. The PRC identifies the goal,
objective, NPM, and program/project. The remaining positions should
be left blank.
303DD.
Project
(eight characters) - consists
of SSID, Action Code, and
Operable Unit1
The first four digits are comprised of the SSID. The SSID is
comprised of the region number in the second position, e.g., '07' for
Region 7 with an alphanumeric place holder in the first position. For
Region 10, ' AO' should be entered in this position. The third and
fourth positions are alphanumeric characters. The SSID is followed by
the action code in position five and six. The action code is a two
character alpha code, a listing of which can be found in Chapter IV,
Exhibit IV. 3. Finally, the operable unit1 is entered in positions seven
and eight (e.g., '01' for Operable Unit 01). A unique format is used for
information technology (IT) related transactions (see Exhibit III.6).
0723RA01
Cost Organization
(seven characters)
The leading C is the CERCLIS identifier used by Compass. It is
system generated in the first position of the Cost Organization field for
CERCLIS actions. The numerical characters in the second, third and
fourth positions represent the action sequence number, e.g., '002' for
the second occurrence of an action at a site. The remaining positions
should be left blank.
COO.
a. Fund/Appropriation Code
EPA controls appropriated funds and sub-accounts by using an Appropriation Code also
known as the Fund Code. The Superfund Fund Code is "T." Multi-character "T*" Fund
Codes represent Superfund sub-accounts. For example, current year appropriation
resources use the "T" Fund Code, while reimbursable sub-accounts (e.g., special accounts
for cashout settlements and resources from state cost share payments) use multi-character
variations of the "TR*" Fund Code. Each year, OCFO publishes a Site Allowance
memorandum that identifies which appropriation codes are available for use in the
current fiscal year. The most frequently used codes within CERCLIS for obligating
Superfund resources are identified in Exhibit III.3.
EXHIBIT III.3. Sample SUPERFUND APPROPRIATION CODES
Fund Code
T
Title
Superfund (this appropriation code is also used for carryover)
Refer to the NCP definition:
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Fund Code
TD
TR1
TR2
TR2A
TR2B
Title
Superfund Deobligationss
Superfund Reimbursable -SSC
Non-Federal Special Accounts - unearned revenue (i
Federal Special Accounts - unearned revenue (i.e.,
e., future costs)
future costs)
Special Accounts - earned revenue (i.e., past costs and interest)
b. Budget Organization
The Budget Organization field is comprised of seven characters that identify the
organization or portion of earmark using the expense. The first two characters indicate
the Allowance Holder (AH) in the region or HQ, including the Superfund Site
Allowances. The HQ AH represents the National Program Manager office responsible for
managing and allocating the resources (e.g., 72 for Office of Superfund Remediation and
Technology Innovation; D3 for Office of Emergency Management).
In the regions, the Allowance Holders are the regional "A" AH (e.g., 1 A, 7A, or OA) and
the regional "0" AH (e.g., 01, 07, or 10). The "A" AH holds extramural resources that
have been distributed by the Response Program (OSWER) HQ offices 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. The Enforcement Program (OECA) also
distributes extramural resources to the "0" AH. Special account resources are also
generally assigned to the "0" AH.
The third character of the Budget Organization Field designates the responsibility center
in the region or HQ.
The fifth character generally represents the Superfund Site Allowance Code (e.g., P for
Pipeline or R for Remedial Actions) within the Response Program PRCs. The Response
Program Superfund Site Allowance codes are used in conjunction with the "A" AH.
Positions four through seven of the Budget Organization Field may also be used to
represent local options, congressional add-ons to further identify the resources beyond the
appropriation code and program results code (e.g., RSF for Recovery Act Superfund
Maintenance and Operations), or other special purposes. These uses may necessitate
overriding the use of the fifth character 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.
c. Program Results Code (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 Program Results Code (PRC) is a nine character field within the Agency
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financial management system account number that identifies the goal, objective, National
Program Manager (NPM), Program/Project, and Agency activity associated with the
resources that are allocated, obligated, or disbursed.
• Resources for Superfund 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 (NPM D), OECA (NPM E), and OCFO (NPM 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
(e.g., Homeland Security '72, Emergency Response and Removal 'C6',
Enforcement 'C7, Federal Facilities 'C9', Remedial 'D2', and Federal Facility
Enforcement 'H2').
• The seventh, eighth and ninth positions of the PRC are reserved for special use.
Exhibit III.4 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 I, section
IB.2. The exhibit below also identifies the Site Allowance codes (used in Compass and
BAS) 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.
EXHIBIT III.4. 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
FY 12 SPIM
III-13
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OSWER Directive 9200.3-14-1G-W
d. Project Field
The first four characters of the Project Field represent SSIDs that the Agency uses to
account for and accumulate Superfund costs by site. Generally, an SSID should be
established when there is a reasonable expectation that a future response action will be
taken, but no later than either site proposal to the NPL, execution of an action memo, or
an official decision to undertake a response. The fifth and sixth positions of the Project
Field represent CERCLIS Action Codes, described later in this chapter, and the seventh
and eighth positions represent the Operable Unit (OU).
Other SSIDs (ZZ, WQ, or 00 in the third and fourth positions) denote site-specific work
where a site-specific SSID has not yet been established, funding where when the precise
amount to be charged to a site or action is not known at the time of obligation, and non-
site funding. These codes are described in more detail in section III.F.
EXHIBIT III.5. PROJECT FIELD
Position
~;
1-2
3-4
5-6
7-8
Detuj-iption
The first four characters of the Project field represent the SSIDs that the Agency uses to account for
and accumulate Superfund costs by site.
The first two characters of the SSID are comprised of an alphanumeric place holder in the first
position and the region number in the second position, e.g., '07' or ' A7' for Region 7.
The third and fourth positions are alphanumeric characters.
The action code is entered in positions five and six. (e.g., 'RA' for Remedial Action. See
IV, Exhibit IV.3)
Chapter
The operable unit is entered in positions seven and eight (e.g., '01' for OU 01).
For information technology (IT)-related transactions, a unique format is used for the
Project Field. The following describes this format. Note: IT-related transactions will
always be associated with the non-site Information Management (IJ) action in CERCLIS.
EXHIBIT III.6. PROJECT FIELD FOR IT RELATED TRANSACTIONS
Position
1
2-3
4
5-6
7-8
Description
IT Identifier (this character will always be L)
Major or Significant Project
System/Project Phase (preliminary design, development, or maintenance)
Cost Area
Special Reporting Requirements (currently there are no special reporting requirements
always be zeros)
so this will
See the hjt£7^ntraiet.e2aigov/ocfo/2olicies^tcostacctgjitni for additional information on
the IT accounting requirements.
e. Cost Organization
The leading C is the CERCLIS identifier used by Compass. It is system generated in the
first position of the Cost Organization field for CERCLIS actions. The numerical
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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.
III.E.2 Handling Financial Data in the CERCLIS Environment
Compass data are downloaded nightly into CERCLIS through an automated link. This
automatic transfer of financial information from Compass to CERCLIS includes commitments,
obligations, and payment data. Planned financial data must be entered into CERCLIS by the
region; however, the Compass Account Number is generated by CERCLIS at the time the
planned obligation is first entered. This Account Number must be entered on all funding
documents at the time the planned obligation is executed, i.e., committed or obligated. If the
Account Number is not correct, the Compass to CERCLIS transfer will not work properly.
a. Deleting Planned Obligation Data from CERCLIS
Once the funding document has been processed by the region, and actual obligation data
are entered into Compass and transferred to CERCLIS, the planned financial data should
be deleted from CERCLIS. Failure to delete the "Planned" Financial Type could cause
the region to miscalculate its planned annual budget. However, because committed (not
obligated) funds are technically available for use, regions should not delete planning data
from CERCLIS until obligations occur.
b. Correcting Financial Data
The Information Management Coordinator (IMC) or regional Superfund Budget
Coordinator can request, on a regular basis, a report from the regional financial office that
contains all Superfund financial transactions in Compass. The information in this report
can be compared with the funding documents and the information in CERCLIS. The
CDW is another source for this information. If there is a discrepancy between the
financial data in CERCLIS and Compass, the funding document should be used to verify
the information in both systems.
Upon determining that the data on the funding document is correct, the IMC should give
the RFO a copy of the funding document and any other relevant documentation showing
that the Compass data has been entered incorrectly. The regional Compass administrator
is then responsible for correcting any data errors in Compass. The Compass administrator
is the only person authorized to correct data entry errors or change financial information
in the Compass database. The OFM has issued standard procedures for correcting
Compass data. The IMC or designee should work with the RFO on a regular basis to
make sure that all Compass errors are corrected.
Errors in account number or other information on the original funding document can only
be corrected by the same process used to initially create the financial record (by a
contract/PA or by amendment of the IA or CA).
FY12SPIM 111-15 March 20,2012
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OSWER Directive 9200.3-14-1G-W
III.F ALLOCATING SUPERFUND RESOURCES AMONG THE
REGIONS
Each Superfund national program office has specific procedures for allocating resources
among the regions. This section focuses on resources that the national program offices allocate to
the regions through Site Allowances (formerly known as Advices of Allowance) and use
CERCLIS to track regional plans and usage.
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 by financial codes known as budget object classes (BOCs) and include
Administrative expenses (BOC 36), Contracts and Interagency Agreements (BOC 37), and
Grants and Cooperative Agreements (BOC 41).
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 planned
in CERCLIS and their distribution is not addressed in this manual.
IILF.l Managing Site Allowance Resources in CERCLIS
Regions are required to plan obligations in CERCLIS by Site Allowance and/or
Program/Project (PRC code). Planned obligations in CERCLIS may be site-, project-, Operable
Unit-, 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 CERCLIS and that they correspond with the appropriate program Site Allowance.
There are numerous codes in CERCLIS to assist regions and HQ in planning out the use
of Site Allowance resources. The two most relevant Funding Status codes reflect "planned
approved (APR) obligations" and "planned alternate (ALT) obligations" (Contingency [CONT]
is a third less commonly used code). Although regions may mostly use these and other resource
planning codes at their discretion, each of the national program offices may have certain
requirements for the use of these codes. These requirements are described where relevant in the
manual, primarily in this chapter.
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. The Agency's financial management system, Compass, tracks commitments,
obligations, and expenditures and downloads these data into CERCLIS 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 Budget Object Classes (BOCs).
To the extent practicable, the regional budget for each Site Allowance must balance at all
times with the sum of actual obligations, open commitments to date, and remaining planned
approved (APR) obligations in CERCLIS. Due to the mechanics of CERCLIS, regions must
delete planned obligations from CERCLIS only once they are obligated in order to ensure that
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OSWER Directive 9200.3-14-1G-W
regional budgets in CERCLIS are in balance. To adhere to Agency terminology regarding the
definition of available resources, because committed (not obligated) funds are technically
available for use, regions should not delete planning data from CERCLIS until obligations occur.
III.F.2 Deobligating Prior Year Funds
Obligations made in prior years where all payments have been made, the obligation is
inactive, and there remains an unneeded, unliquidated balance may be deobligated and reused for
current year purposes. As a no-year appropriation, Superfund resources that are obligated before
the end of a given fiscal year and deobligated in a subsequent year may be recovered by the
Agency and obligated again in that same year. These funds are reapportioned to the Agency by
the Office of Management and Budget (OMB) and reissued to the Allowance Holders (HQ
and/or regional offices) through a process called recertification. All recertified funds must be
obligated within the fiscal year of deobligation. The deobligation of prior year funds is a good
fiscal management practice and helps offset shortfalls in the current year Superfund budget.
The annual Deobligation Recertification Guidance ("Deob Policy"), issued jointly by the
Office of the Chief Financial Officer, OSRTI, OSRE, and OEM, explains the general procedures
for deobligating funds and recertifying funds. The Deob Policy also includes national program-
specific policies regarding the use of recertified funds. Depending on the program, a region may
be required to return a portion of the prior year funds resources that it deobligates and recertifies
to the national program office (to a "National Pool"), who may redistribute these funds to other
regional offices based on national priorities. See the following link for more information.
For planning purposes, regions should plan the use of recertified funds in CERCLIS as
"approved" (APR) planned obligations.
III.F.3 Removal Program Resources (PRC 303DC6)
The Office of Emergency Management (OEM) manages the Removal response program
budget. Removal resources are allocated in two Site Allowances: the Removal Site Allowance
which supports emergency response and site-specific removal actions; and the Removal Support
Allowance which provides resources for activities such as removal assessments, site
management, equipment procurement and OSC training and exercises. Resource distribution
under the Removal Site Allowance is based upon a historical allocation methodology as well as
the annual obligation of resources. Distribution under the Removal Support Allowance is based
upon allocation decisions made by HQ and regional management at the time the Site Allowance
was established in FY 2004.
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 regional reserve for emergencies or removal actions that may
exceed a region's annual resource allocation. Regions may request access to these funds at any
point during the year by submitting a request along with a justification to the Office of
Emergency Management Director. If the reserve remains unobligated by August of each year,
HQ will issue a call to the regions to identify and submit a list of critical sites that require
FY12SPIM HI-17 March 20,2012
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OSWER Directive 9200.3-14-1G-W
additional resources. Sites selected for funding will be determined by the type of release a site
poses; i.e., potential for a significant fire, explosion or the threat of a catastrophic release.
Homeland Security resources are allocated under the Site Allowance code "C." Resources are
distributed through the operating plan and are allocated equally across the regions to implement
core Homeland Security preparedness programs and activities.
III.F.4 Remedial Response Program Resources (PRC 303DD2)
The Remedial Response program budget includes two Site Allowances, Remedial Action
and Pipeline Operations, which are managed by the Office of Superfund Remediation and
Technology Innovation (OSRTI). Each year, OSRTI determines the amount of resources to
allocate these Site Allowances based on the process for developing the Agency's annual budget.
a. Remedial Action Site Allowance
Regions are required to enter all planned obligations site-specifically in CERCLIS within
the Remedial Action Site Allowance (Account Code R), which includes Fund-financed
remedial actions, mixed funding and mixed work projects, and non-time-critical removals
at NPL sites (collectively called "construction") as well as long-term response actions,
and five-year reviews.
Through the annual work planning process, OSRTI works with the regions to develop
funding plans for the upcoming year for ongoing construction projects, including long-
term response actions and five-year reviews. During the work planning process, OSRTI
relies on planned obligation data from CERCLIS, ongoing discussions with the regions,
and projections of the availability of funds to develop an initial ongoing construction
funding plan. Only funds that a region intends to obligate in the identified year for
anticipated work should be planned for that year. Until the plan is issued, all planned
obligations in CERCLIS must be assigned as "alternate (ALT)" (or "contingency
[CONT]") on the Funding Status dropdown list on the Budget Allowance Detail Backup
screen. Once HQ issues the plan, regions must switch the funding status designation in
CERCLIS to "approved (APR)" in accordance with the funding plan. Those planned
obligations that maintain the "alternate (ALT)" designation should include only the
activities the region would conduct if additional resources become available in the current
fiscal year and will form the basis for additional funding decisions.
Once an appropriation is enacted and funds are allocated to the national program offices
through the operating plan, HQ will issue funds to the regions based on the 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
"approved (APR)" and "alternate (ALT)" obligations in CERCLIS to reflect accurately
the current year's expected use of Remedial Action (RA) Site Allowance resources and to
identify additional funding needs.
Regions are required to obtain OSRTI approval of any proposed changes to the funding
plan greater than $100,000, (e.g., shift resources among sites or activities within the
March 20, 2012 111-18 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Remedial Action Site Allowance) and record all changes to planned obligations in
CERCLIS. Because of the changing needs of the regions during the course of the year,
OSRTI will continually monitor regional obligation rates and usage of the Remedial
Action Site Allowance resources. Based on mid-year regional reviews as well as contact
throughout the year, OSRTI will update the Remedial Action 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 to HQ, through the
reprogramming process, allocated resources that will not be used according to the
funding plan. OSRTI will include these resources in a national resource pool from which
it will fund remaining program priorities. Regions may not shift resources into or out of
the Remedial Action Site Allowance without prior OSRTI approval.
b. Pipeline Operations Site Allowance
HQ distributes Pipeline Operations Site Allowance (Account Code P) resources among
the regions based on the Pipeline Allocation Model. The model allocates a portion of the
budget based on historical allocations and the remaining portion using a work-based
scoring system. At the initiation of the annual work planning process OSRTI will provide
general guidance regarding its projections of the funding that will be available to the
regions through the Pipeline Operations Site Allowance. Using this information, each
region will plan out the use of these resources and enter its planned obligations and
accomplishments into CERCLIS. 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 CERCLIS. OSRTI will then finalize the
Pipeline Operation Site Allowance allocation using the Pipeline Allocation Model.
Planned obligations for regional activities within this Site Allowance must fall within the
total identified level, and should be shown in CERCLIS by selecting "approved (APR)"
from the Funding Status drop down list on the Budget Allowance Detail Backup screen.
Funding needs above the HQ proposed total budget level must be designated as "alternate
(ALT)."
At the beginning of the fiscal year HQ will generally issue 60% of the Pipeline
Operations Site Allowance among the regions. HQ will issue the remaining Site
Allowance funds during the third quarter. If a region's commitment/obligation rate is less
than 50% at the end of the second quarter, HQ may delay the remaining allocation to the
region and renegotiate the region's program allocation for the remainder of the year,
which could result in a reduction in the region's budget. If the fiscal year begins without
an enacted appropriation, HQ will work with each region to determine its funding needs
until an 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.
III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9)
Regional Superfund Federal Facilities Response budgets (Site Allowance account 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
FY12SPIM 111-19 March 20,2012
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OSWER Directive 9200.3-14-1G-W
will receive the remainder during the third quarter. If a region has a low obligation rate,
discussions will be held prior to third quarter distribution as to whether there is a need for the
remainder of the funds. To request additional funds, a region should contact 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.
III.F.6 Base 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 (MTPR). Once the
HQ Grants Administration Division has processed a fully executed IA, and Cincinnati finance
posts the information, FFRRO distributes the 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.
III.F.7 Enforcement Program (PRC 501EC7)
The Enforcement program budget includes the program/project 501EC7 Superfund
Enforcement technical and legal resources that are managed by the Office of Site Remediation
Enforcement (OSRE) in OECA, and program/project 501JC7 Superfund Enforcement financial
management resources that are managed by OCFO. The resources for these programs have not
been assigned a Site Allowance code and are identified in financial management databases by
program/project. The initial operating budget for technical enforcement is allocated based on
each region's share of the usage rate (as measured by expenditures for the current year to date
and the preceding 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 will be made
available in the Interim Operating Plan for spending as soon as the appropriation is passed by
Congress and signed by the President.
An additional allocation will be made in the third quarter of the fiscal year. OSRE will
issue a call to the regions late in the second quarter for requests for additional funding. Emphasis
will be placed on funding program priorities which will be outlined in the call. The call will
consider all sources of funding not previously allocated, including the remaining new obligating
authority not allocated in the Interim Operating Plan, carryover of funds from the previous year,
projected reprogramming, and a projection of regional resources to be deobligated and
recertified. This second allocation of funds will be distributed in the third quarter.
Funds must not move into or out of the Superfund Enforcement program/project
(501EC7) without Agency and, if necessary, Congressional approval. Funds may be redirected
within the Enforcement Site Allowance to other BOCs and to other regions or HQ offices.
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OSWER Directive 9200.3-14-1G-W
III.F.8 Federal 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 managed by the Federal Facilities Enforcement Office (FFEO). At the beginning of
the fiscal year, FFEO informs the regional Federal Facility Program Managers the amount each
region is allocated. The regions are requested to provide FFEO with prioritized requests for
resources, not to exceed the allocated amount. The resources consist of New Obligating
Authority (NOA), and carryover of prior year funds. The funds are disbursed by project, and
monitored by 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.G 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 not inconsistent with
the National Contingency Plan (NCP).
EPA's cost recovery process involves documenting the costs, evaluating the factors for
pursing recovery of those costs, notifying parties of the costs and demanding 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 (See section III.G.I on Recoverable Costs). In order to
successfully recover these costs, they must be properly documented. 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 and are organized and summarized
and combined with images of supporting cost and technical documentation in 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 costs it anticipates to incur ("future costs"). If a PRP agrees to
reimburse EPA for its costs, the resulting settlement may be 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 request the Department of Justice (DOJ) file
a cost recovery action in court to recover past and/or future costs. EPA may deposit costs
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OSWER Directive 9200.3-14-1G-W
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.
III.G.I Recoverable Costs
EPA may recover all of its costs that are "not inconsistent" with the National
Contingency Plan (NCP). Examples of costs that the courts have found are recoverable include:
• Planning and implementing cleanup actions
• Investigation and monitoring
• Actions to limit access to the site
• Indirect costs needed to support the cleanup work
• EPA's contractor costs
• Annual allocation costs
a. Direct Costs
Direct costs are those expenses directly traced to a particular activity, such as a cleanup
action. 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, and
• 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 in
handling hazardous materials is an allocation cost. This training is essential to Superfund
cleanup site work, but the training received may be used at several sites.
On an annual basis, government contractors allocate these costs across the sites that they
have worked on during the past year. Through the Annual Allocation Reporting Process
these costs are redistributed or allocated to the appropriate Superfund sites. The process
requires the contractors to follow a documented methodology for allocating certain non-
site specific costs to sites and submit an annual allocation report to EPA. Annual
allocation costs are computed site-specifically in SCORPIOS to enable their cost
recovery. See the following link for more information:
c. Indirect Costs
Indirect costs are EPA's expenses for managing the Agency. These costs are not directly
traceable to any particular cleanup activity and include the following activities:
• Administrative matters,
• Personnel issues,
• Guidance development,
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• Office, utility and supply costs, etc.
EPA uses a complex methodology for allocating these costs among all of the activities
accomplished during a year, and they are computed site-specifically in SCORPIOS to
enable their cost recovery. See the following link for more information:
IILH 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
developed the SSID, so that the Agency can properly assign hazardous waste cleanup costs and
identify 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. It is used in Compass to track Superfund costs for each specific site. The process
for establishing an SSID is described in Exhibit III.5.
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, and 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, states, and private parties.
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 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.
For more information on site-specific charging see OCFO's Direct Charging of
Superfund Costs Site-Specific Cost Accounting Methods (Procedure and Technical
Interpretation), RMDS 2550D-04 PI at:
hJJgT/l!^^ and
IILH.1WQ 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 action is not known at the time of obligation. The WQ code may be applied
to the SSID or to the action code, or 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 actions is unknown at the time of obligation. Use of the WQ
SSID is called "bulk funding."
Once WQ SSID obligations are expended, these costs should be redistributed from the
WQ SSID to a site-specific, ZZ, or 00 SSID within 30 days of payment for all funding
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vehicles (i.e., lAs, grants, small purchases, and contracts). Payroll and travel may not be
obligated to the WQ SSID.
b. WQ Action Code
The WQ action code is a generic action code (described in Chapter IV, titled CERCLIS
Data Management and CERCLIS Codes) 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 is specific 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
should be redistributed from the WQ action code to a site- or non site-specific action
code within 30 days of payment for all funding vehicles Payroll and travel may not be
obligated to the WQ action code.
IILH.2ZZ SSID
The "ZZ" SSID (e.g., 02ZZ) records initial assessment costs at a Superfund site where no
SSID exists. If EPA determines that a cleanup response is necessary, a site-specific SSID is set-
up to charge all future costs incurred. 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. Generally, assign site-specific costs associated with the
Remedial Investigation and beyond 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 intramural and cooperative agreement
disbursements are not required due to the complexity associated with tracking site-specific costs
outside agency systems. However, once a site-specific SSID is established, disbursements for the
site should not be charged to the ZZ SSID.
IILH.300 SSID
The "00" SSID (e.g., 0200) is used to record general Superfund costs or when it is not
economically feasible to charge costs on a site basis. For example, If an employee's 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 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. The ZZ SSID should not be
used in this situation; the ZZ SSID should be used only for site-specific costs incurred before a
SSID is assigned. Efforts spent preparing a response to a site-specific Freedom of Information
Act request for information about a particular site is charged to the 00 SSID.
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///./ 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 (Fund RA). 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.
Alternatively, where a state or tribe has the lead for a Fund RA, a remedial action
cooperative agreement (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.
SSC and Superfund CA provisions described below are found in greater detail in Subpart
O of 40 CFR Part 35, and OCFO's RMDS Resources Management Directive System 2550D-09-
Pl, State Cost Share Provisions for Superfund State Contracts and Remedial Cooperative
Agreements (to be issued in 2012).
III.I.1 Cost Share Provisions
A signed SSC or remedial CA for remedial action contains five statutorily required
assurances, including a remedial state cost share assurance that must be made by a state before
EPA can obligate or expend funds for remedial action at a particular site. 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 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 regional program office (RPO), with
assistance from the regional finance office (RFO) will use project and action-specific direct,
extramural expenditures of Superfund appropriated resources (as well as any TR1, 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
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remedial action and long-term response action. Other or additional action codes (for planning
and design) may be included in the cost share calculation depending on the nature of the SSC
(i.e. voluntary removal) or the 50% cost share requirement. 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.I.2 Constraints on Obligating Funds for RA
EPA may not obligate funds for Fund RA without having a signed SSC in place. When
EPA obligates funds for an EPA-lead Fund RA, it will generally use a contractor or enter an
interagency agreement (IA) with another agency to transfer funds. 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 (OERR) 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 spend 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 full cost of the remedy
and document the state's increased share in the cost (See OERR Directive 9375.7-01). The
region must provide the Cincinnati Finance Center (CFC) copies of any SSC, amendment, or
closeout document within five business days.
III.I.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.
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 a 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.
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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, the state may use excess credit earned
at one site for its cost share at another site. Excess credit at any site does not
entitle a state to a cash refund. EPA will not reimburse excess credit.
III.I.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 by Office of Budget. The Office of Budget annually issues a reimbursable authority
guidance memo giving direction on when and how to request reimbursable authority. To receive
reimbursable authority, the regional program office generally initiates a request for funds and the
RFO submits a reprogramming document in the Agency's financial management system,
Compass, to request unobligated TR1 resources associated with the site.
To maximize the use of appropriated resources elsewhere in the program, the RPO with
the assistance of the RFO 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 costs 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.
IILJ 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. The Agency's
goal for the establishment and use of special accounts is to provide cleanup dollars collected
under an agreement with Potentially Responsible Parties (PRPs) at sites where future response
work remains, which preserves annually appropriated resources for sites without viable PRPs.
Use of special account resources helps to achieve cleanup without relying solely on EPA's
annual Superfund appropriations.
As an Agency, we have been successful at collecting settlement funds to be placed in
special accounts and directing these funds towards future response costs. Whereas the Agency's
initial focus was on establishing special accounts and receiving deposits, the growth of special
accounts requires greater focus on managing the funds. In particular, the Agency will manage
special accounts to: ensure available special account funds rather than annually appropriated
resources are used for response work as appropriate; reclassify and transfer funds to the general
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portion of the Superfund Trust Fund when appropriate; and close out special accounts where
funds are no longer required for work at the site.
OSRTI, OSRE, and the regions have made great efforts over the last several years to
improve special accounts data collection to monitor more effectively the planned and actual uses
for these funds. The CERCLIS Special Accounts Management screen enables regions to see and
enter planning data for the use of special accounts in conjunction with response activities and
appropriated resource planning for individual sites. Regions are expected to plan the use of
available funds in each special account consistent with guidance, and planning data should be
updated at least three times 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). During annual work planning and mid-year
review meetings, accounts will be reviewed by OSRTI and OSRE to ensure CERCLIS planning
is appropriate.
When planning the use of special account resources regions should enter planned
obligations in CERCLIS for available special account resources as "approved (APR)", using the
appropriate Program Results Codes (PRCs).
The "Guidance on the Planning and Use of Special Account Funds" (September 28,
2010) provides additional information on the appropriate planning and use of special account
funds for response actions. The document is available at:
sjgecacctjjtf.For more information on special accounts, please see the Special Accounts Team
and National Workgroup intranet page at: h±tjK//iiitra^
IILK USING THE FIDUCIARY RESERVE 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, unless you are
aware of immediate pending invoices (OSRTI recommends within 90 days).
The Agency's fiduciary and expired fund reserve accounts, monitored by the Office of
Budget, are sufficient to cover funds deobligated that subsequently prove to be 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
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OSWER Directive 9200.3-14-1G-W
Contacting Officer should fund the obligation with a modification with the appropriate
accounting information, based on when the work was performed. Program Offices should not
submit new commitments to cover these obligations. Previous prior year funds on the contract,
simplified acquisition or other types of order can be increased as appropriate to cover the cost
overrun. Payments should be obligated and paid with accounting data that are valid for the year
of the overruns.
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 the Office of Superfund Remediation and Technology Innovation (OSRTI), Chief of
the Budget Planning and Evaluation Branch (BPEB) before proceeding to fund the obligation.
After the consultation is complete, the obligating official or payment official should notify the
OB Control Team Leader, via e-mail, 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.
For more information on cost overruns and the fiduciary reserve, see OCFO's Resource^
.MowogK^^
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Superfund Program Implementation Manual FY 12
Chapter IV: CERCLIS Data Management and CERCLIS Codes
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CHAPTER IV: CERCLIS Data Management and CERCLIS Codes
Table of Contents
IV.A Introduction IV-1
IV.B CERCLIS Regional/Headquarters Roles and Responsibilities IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-2
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
b. Data Owners IV-3
c. OSRTI Resource Management Division - Budget Planning and Evaluation
Branch IV-3
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 CERCLIS Data Entry/Quality Requirements IV-5
IV.C.I Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in CERCLIS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
IV.C.3 Data Lockout on Historical Accomplishments IV-6
IV.C.4 Data Validation and Verification IV-7
IV.D CERCLIS Program Priority Codes IV-8
IV.D.I Superfund Alternative Approach IV-8
IV.D.2 Mega-Sites IV-8
IV.E Action Lead Codes IV-9
IV.F Action Codes A vailable for Financial Transactions. IV-10
IV.G Action and Other Qualifier Codes IV-15
IV.G. 1 Takeovers, Phased Indicators and Other Action Code Anomalies IV-15
a. Takeovers IV-16
b. CERCLIS Coding For Takeovers IV-17
c. Phased Projects IV-18
d. Other Anomalies IV-19
IV.G.2 Other Qualifiers IV-19
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List of Exhibits
Exhibit IV. 1. Regional/HQ CERCLIS Responsibilities IV-2
Exhibit IV.2. Action Lead Codes in CERCLIS IV-9
Exhibit IV.3. Action Codes Available for Financial Transactions Sorted by CERCLIS Action Name
(Who Pays for What) IV-11
Exhibit IV.4. CERCLIS Action Anomaly Reference Table IV-16
Exhibit IV.Sa. Takeovers IV-18
Exhibit IV.5b. Phased Projects IV-19
Exhibit IV.5c. Other Anomalies IV-19
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CHAPTER IV: CERCLIS DATA MANAGEMENT AND CERCLIS
CODES
IV.A INTRODUCTION
The Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) 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 CERCLIS, which contains removal,
site assessment, remedial, Federal Facility, and enforcement program data. CERCLIS 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. Although regions enter
Government Performance and Results Act (GPRA) Annual Target and Key Program
Performance Measure accomplishments data directly into the Annual Commitment System
(ACS), national Superfund program managers principally track this information through the
CERCLIS database, and all ACS data must be in agreement with the information contained in
CERCLIS.
This Chapter describes in detail how HQ and the regions use CERCLIS 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 CERCLIS data
entry. The next two sections deal with CERCLIS data requirements and treatment of CERCLIS
accounting data. The final sections discuss specific CERCLIS codes that include program results
codes, action lead codes, budget codes and program priority codes and qualifiers.
IV.B CERCLIS REGIONAL/HEADQUARTERS ROLES AND
RESPONSIBILITIES
HQ and regions have individual and shared responsibilities to ensure that planning and
accomplishment data are well maintained in CERCLIS. These responsibilities also extend to
participation in Superfund program performance evaluations using planning and accomplishment
data in conjunction with discussions of regional practices and national program priorities. Such
evaluations 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 CERCLIS, 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 CERCLIS RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
• Add sites into CERCLIS and coordinate with
financial management counterparts to assign
Site/Spill Identification code (SSID)
• Plan and schedule in CERCLIS all Superfund site
actions and related extramural budgets in a timely
manner and in accordance with national schedules
• Enter into CERCLIS planning, budget, and
accomplishment data for non-site specific
activities
• Keep all planning, budget, and accomplishment
data in CERCLIS up-to-date
• Prepare and submit data or process change
requests, as appropriate
• Ensure there is "objective" evidence to support
accomplishment data entered in CERCLIS
• 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, SPIM, and
provide other program guidance that affects planning with
regions
Maintain SPIM accomplishment definitions, ensuring
SCAP logic accurately reflects definitions
Maintain functionality of CERCLIS and respond to regional
requests for data or process changes through the change
requests process
Ensure quality and timeliness of CERCLIS 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 CERCLIS 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 CERCLIS by working with data
sponsors and data owners;
- Provide liaison to HQ on SCAP process and program evaluation issues;
- Coordinate regional evaluations by HQ;
- Ensure that the quality of CERCLIS 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 entered
in CERCLIS. (Objective Evidence Rule: "All transactions must be supported
by objective evidence, that is, documentation that a third party could examine
and arrive at the same conclusion.")
b. Budget Coordinators
The Budget Coordinator (BC) serves as the regional lead for all Superfund program
resource activities. The Budget Coordinator:
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- 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 accomplishments are
complete, current, and consistent, and accurately reflected in CERCLIS; and
- Liaison to HQ on program 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 CERCLIS. 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 CERCLIS as the program changes;
- Provide guidance requiring submittal of these data;
- Support the development of requirements for electronic data submission; and
- Ensure there is "objective" evidence to support the accomplishment data
entered in CERCLIS through identifying data requirements and check to
assure compliance by performing periodic reviews of a random CERCLIS
data sample.
b. Data Owners
Both HQ and the regions are Data Owners. The primary responsibilities of Data Owners
are to:
- Enter and maintain data in CERCLIS, and
- Assume responsibility for complete, current, consistent, and accurate data.
c. 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). With respect to regional implementation of the
Remedial Program, the branch is responsible for coordinating regional work planning and
review efforts, including negotiating regional pipeline action performance targets during
summer work planning, tracking performance progress during midyear discussions, and
preparing year-end summary analyses.
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The branch also manages two of the Remedial Program's key environmental indicator
performance measures, Human Exposure and Groundwater Migration. Additionally,
BPEB is responsible for distributing and monitoring Remedial Action (RA) Site
Allowance funds to the regions based on the annual RA Funding Plan and Pipeline
Operations Site Allowance funds based on the results of the Pipeline Resource Allocation
Model. BPEB also coordinates the annual regional unliquidated obligation analyses and
tracks and provides OSRTI approval of recertifications of deobligated/reclassified funds
to the National RA Pool.
BPEB staff are data sponsors for CERCLIS cost data and the branch participates in
regular discussions with the IMC/BC community, keeping them informed of
CERCLIS/Compass financial tracking requirements and working through issues that
affect these data.
d. OSRTI Resource Management Division - Information Management Branch
The Information Management Branch (1MB) provides leadership for information
management, office automation, and program measurement functions throughout OSRTI.
1MB designs, implements, and maintains the Superfund Corporate Information Systems,
oversees the Superfund Program's nationwide data quality efforts, in concert with
program offices advises on the development and operations of HQ and regional 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.
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, called Regional Analysts, to communicate with regions on a
variety of Superfund enforcement related matters including site-specific matters, national
priorities, CERCLIS 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) Program Operations and Coordination
Division have specific individuals 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.
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h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support
The Federal Facilities Restoration and Reuse Office's (FFRRO) Regional Coordinators
(RCs) serve as the primary contacts for regions regarding site-specific issues. RCs
consult with subject matter experts on an as needed basis for issues relating to
groundwater, unexploded ordnances (UXOs), five-year reviews (FYRs), CERCLIS, etc.
The RC is often the primary conduit to regions for communicating and interpreting
national policies. 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 CERCLIS DATA ENTRY/QUALITY REQUIREMENTS
This section addresses several issues regarding CERCLIS data entry and data quality of
actions that are reported in CERCLIS.
IV.C.l Quality and Timeliness of Data Entry
It is essential that planning and accomplishment data in CERCLIS remain current and up-
to-date throughout the year and that accomplishments are reported as they occur. HQ pulls
quarterly targets and measures accomplishment data from CERCLIS at the close of business of
the fifth working day of the new quarter. However, 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 need 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) and Superfund Alternative Approach
(SAA) sites should be planned out through the deletion date as early as possible. During the
Remedial Investigation/Feasibility Study (RI/FS), the regions should enter into CERCLIS all the
estimated planned start and completion dates for future actions. 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 CERCLIS, 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 enter accomplishments data into CERCLIS within five
working days of the action occurring except when otherwise noted in the Data Entry Timeliness
Requirement sections throughout the Program specific chapters of this manual.
HQ only recognizes targets and accomplishments that are correctly reported in CERCLIS
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 CERCLIS if the database does not reflect accurate targets or actual
accomplishments. If a region believes that it has correctly recorded a target or accomplishment
that is not showing on the appropriate CERCLIS report, it should contact the appropriate HQ
office.
IV.C.2 Setting Targets in CERCLIS
a. Remedial Program
Once work planning sessions are completed between HQ and the regions, regions use the
Planning Estimates/Targets screen in CERCLIS to record final accomplishment targets.
FY12SPIM IV-5 March 20,2012
-------
OSWER Directive 9200.3-14-1G-W
The procedures and schedule for finalizing summary and detail level targets are provided
in the annual work planning memo issued annually by OSRTI and OSRE. Most targets
are non-site-specific estimates of the number of accomplishments of an activity a region
will achieve. However, in a few instances, regions must set targets site-specifically. Five-
year review targets are site specific and substitutions are not allowed. Sites targeted for
five-year reviews must be completed by the planned completion date set in CERCLIS.
Under the Superfund Pipeline Site Allowance allocation methodology, regions must set
site-specific targets for a subset of pipeline actions (Fund RI/FS, Potentially Responsible
Party (PRP) RI/FS, Fund Remedial Design (RD), PRP RD, and PRP RA starts) in order
to obtain Pipeline resources. For these actions, regions must ensure that detail level
targets match summary level targets within the SCAP 4. 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 (i.e., 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,
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, 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 Anticipate Use.
Regions should use the tool located in eFacts, and the Federal Facility work planning
website.
c. Enforcement Program
There are site-specific targets for past costs addressed greater than $200,000. 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 CERCLIS by fiscal year quarter and appear on the SCAP-14
report.
IV.C.3 Data Lockout on Historical Accomplishments
CERCLIS has a historical accomplishment lockout feature that logs and controls changes
to Superfund data sensitive to public scrutiny. This feature uses the Accomplishment Change
March 20, 2012 IV-6 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Log Screen and reports that list all changes that have been made to historical accomplishments
data. A regional manager for Superfund shall approve either in writing, or using the management
review function in CERCLIS, each data change made by a region to locked historical data. Only
regional EVICs, individuals designated by the IMC, and remedial project managers (RPMs) shall
have access/authority to change/add/delete their own region's data via a CERCLIS Smart Screen
once written approval has been received. All other regional personnel will be denied access to
the change system. Written approval documents or records of approval via CERCLIS
management review must be maintained by the IMC for the duration of the life cycle of the data
changed (up to seven years).
In regions that use Management Review, RPMs will be able to make changes to prior
year accomplishment data via the Accomplishment Change Log Screen. All changes made by
RPMs will, however, need to be approved by the Regional Manager.
Each region will establish a policy or procedure to ensure that the appropriate people
have knowledge of and approve of the change. All approval documents must bear a System
Generated Reference Number or Document Number.
IV.C.4 Data Validation and Verification
GPRA requires that an agency address its verification and validation procedures for
performance data in the annual performance plan. CERCLIS data verification and validation
procedures were incorporated as part of the Superfund program's submission to the EPA's annual
performance plan.
A key component of CERCLIS verification/validation procedures is the regional
CERCLIS Data Entry Internal Control Plan. The control plans include: 1) regional policies and
procedures for entering data into CERCLIS; 2) a review process to ensure that all Superfund
accomplishments are supported by source documentation; 3) delegation of authorities for
approval of data input into CERCLIS; and 4) procedures to ensure that reported
accomplishments meet accomplishment definitions. In addition, regions document in their
control plans the roles and responsibilities of key regional employees responsible for CERCLIS
data (e.g., regional project manager, information management coordinator, supervisor, etc.), and
the processes to assure that CERCLIS data are current, complete, consistent, and accurate.
Regions are required to update their CERCLIS Data Entry Internal Control Plan at least
annually. 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 (actual start or actual complete)
recorded in CERCLIS. (Documentation requirements for these dates can be found in the later
chapters of this manual in the "Definition of Accomplishment" section of the applicable target or
measure.) When submitting the documentation to its Records Center, the region should provide
the target/measure category and the CERCLIS Operable Unit (OU)/action name/sequence
number. The regional Records Center is to include these SCAP data with the document index
data, and provide the document index number from its tracking system for entry into CERCLIS
associated with the applicable accomplishment date.
FY12SPIM IV-7 March 20,2012
-------
OSWER Directive 9200.3-14-1G-W
IV.D CERCLIS PROGRAM PRIORITY CODES
Periodically, throughout the span of the program, EPA has used CERCLIS Program
Priority codes to identify and/or track specific site-wide characteristics of priority interest to
national program managers. In many cases, these priorities are temporal, and the codes are no
longer relevant for tracking in subsequent years. Although the codes remain in CERCLIS,
regions are not required to use them. The following Program Priority codes are currently active.
Regions must use these codes for each site in CERCLIS that meets the criteria established for
these priorities.
IV.D.l Superfund Alternative Approach
The SAA uses the same investigation and cleanup process and standards that are used for
sites listed on the NPL. The SAA approach is an alternative to listing a site on the NPL; it is not
an alternative to Superfund or the Superfund process.
The SAA approach can potentially save the time and resources associated with listing a
site on the NPL. As long as a PRP enters into an SAA approach agreement with EPA, there is no
need for EPA to list the site on the NPL (although the site qualifies for listing on the NPL).
Threshold eligibility criteria for using the Superfund alternative approach 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 Score (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.
Regions should maintain adequate site documentation to support the use of the SAA.
Credit for PRP-lead remedial actions at non-NPL sites will only be given for activities conducted
pursuant to an SAA agreement. Superfund Alternative Approach sites should be identified in
CERCLIS using the Special Initiatives Indicator of "Superfund Alternative"
IV.D.2 Mega-Sites
Generally, a site is considered to be a mega-site if the combined extramural, actual and
planned, removal and remedial action costs incurred by Superfund or by PRPs are greater than
$50 million. The mega-site designation may be applied to any federal or non-Federal Facility
NPL or non-NPL site. For the purposes of reporting in CERCLIS, a site is defined as a mega-site
(MS) if:
• the cumulative value of the extramural capital costs of all selected remedies (as expressed in
decision documents such as Record of Decisions (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 (MOAs)) for removal or remedial action response activities (excluding Long
Term Response Action (LTRA)) at the site exceeds $50 million; OR
March 20, 2012 IV-8 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
• the cumulative value of net actual extramural obligations for fund-financed removal and
remedial actions (excluding LTRA) at the site exceeds $50 million; OR
• the cumulative estimated value of post-ROD (or post-action memorandum), removal, and
remedial action obligations (excluding LTRA) planned in CERCLIS for the selected
remedies at the site exceeds $50 million; OR
• the cumulative value of any combination of the above costs exceeds $50 million.
A site is defined as a potential mega-site (MP) if the region, using its best judgment,
expects that the total costs of removal and remedial actions will exceed $50 million, but the
documentation of actual or expected costs (e.g., through decision or settlement documents or
actual obligations) does not currently exist. Once such documentation is developed, the site
should be reassigned as MS. Conversely, if new information suggests that the site is not a mega-
site, the designation of MP or MS should be removed.
IV.E ACTION LEAD CODES
Action lead codes identify the entity performing a specific action at the site and must be
used for all actions tracked in CERCLIS. Exhibit IV.2 shows the action lead codes available in
CERCLIS. Lead codes are not required for SubActions. Only the lead codes that are valid for the
chosen action can be entered. Valid lead codes for specific Superfund actions are identified in
later chapters of the SPEVI. For actions not identified in this manual, regions have the ability to
assign lead codes as appropriate, based on regional preference.
With respect to SR-Lead projects, the Agency recognizes that states can and have
assumed the lead role in reaching an agreement with the PRPs for response activities at NPL
sites without negotiating a cooperative agreement or other formal agreement with EPA.
However, the National Contingency Plan (NCP) has determined that in the absence of a formal
agreement, the state will not be officially recognized as the "lead agency" for the project and
EPA will not concur on the remedy selected.
EXHIBIT IV.2. ACTION LEAD CODES IN CERCLIS
Lead Definition
Leads for Government Response Actions
CG
Work performed by the Coast Guard - Limited to removals (applies to response actions)
EP
Response actions performed by EPA using in-house resources
Fund-financed response actions performed by EPA (applies to response actions)
Fund- financed response actions performed by a state. Money provided through a cooperative agreement
(CA) (applies to response actions)
TR
Indian Tribal Governments
Response actions performed by the Federal Facility with oversight provided by EPA and/or the state/tribe at
sites designated as Federal Facilities (also applies to RODs at Federal Facilities)
FE
Enforcement actions performed by EPA or work done by enforcement program at private or Federal Facilities
sites (applies to RODs and enforcement actions). Historically (pre-FY 89) applied to RI/FS and RD response
actions
Enforcement actions performed by a state. Money provided through a CA or, if not funded by EPA, a
comparable enforcement document exists (applies to RODs and enforcement actions)
FY12SPIM IV-9 March 20,2012
-------
OSWER Directive 9200.3-14-1G-W
Lead Definition
Leads for PRP Response Actions
RP
PRP-financed response actions performed by the PRP under a federal order/Consent Decree (CD) (applies to
response actions)
PRP-financed response actions performed by PRP under a state order/CD with PRP oversight paid for or
conducted by EPA through an EPA CA with the state, or, if oversight is not funded by EPA, a state
Superfund Memorandum of Agreement (SMOA) or other formal document between EPA and the state exists
which allows EPA review of PRP deliverables (applies to response actions)
MR Work performed by PRP under a federal CD with an agreement that the Fund will provide some
reimbursement to the PRP (preauthorization for mixed work)
Leads for Special Account Funded Actions
PRP-financed actions from a special account performed by EPA, where the majority1 of funding is disbursed
from a special account (applies to response actions)
SA
„„ PRP-financed actions from a special account performed by the United States Coast Guard, where the
majority1 of funding is disbursed from a special account - Limited to removals (applies to response actions)
™ PRP-financed actions from a special account performed by a state, where the majority of funding is disbursed
from a special account. Money provided through a CA (applies to response actions)
PRP-financed actions from a special account performed by tribal governments, where the majority1 of
funding is disbursed from a special account (applies to response actions)
Special Leads
CO
Community Organization (only valid for community involvement activities)
PP
Response actions funded by the Department of Defense (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)
SC
State ROD with EPA concurrence
SW
State ROD without EPA concurrence
™ State Deferral is a PRP- or state-financed response action at a non-NPL or proposed NPL site overseen or
conducted by the state pursuant to a deferral agreement with the region
State-financed response actions performed by the state (applies to response actions) (no resources should be
associated with projects having this lead)
SR
PRP response under a state order/CD where no EPA oversight support or money is provided through a CA
and no other formal agreement exists between EPA and the state (applies to response actions) (no resources
should be associated with projects having this lead)
IV. F ACTION CODES AVAILABLE FOR FINANCIAL TRANSACTIONS
There are hundreds of action codes available for use in CERCLIS to assist regions in
planning activities and recording accomplishments for regional and national program
management. To simplify and facilitate consistent financial transaction coding in CERCLIS 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
actions. Exhibit IV.3 identifies those action codes that regions may use for planning obligations
in CERCLIS as well as the appropriate Program Results Codes (PRCs) and Site Allowance(s)
associated with them. Many of these action codes do not require use of lead codes for the
purposes of conducting financial transactions. Thus SCAP resource reports will not report
"invalid" actions due to the use of particular lead codes for particular actions. However,
appropriate lead codes, as required in other chapters of this guidance, should be used to track
accomplishments correctly.
March 20, 2012 IV-10 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
EXHIBIT IV.3. ACTION CODES AVAILABLE FOR FINANCIAL TRANSACTIONS SORTED BY
CERCLIS ACTION NAME (WHO PAYS FOR WHAT)
FY2012 Superfund Action Codes for Financial Transactions Sorted by Action Name
" ' • CERCLIS Action Name : • '
Administrative Records
Aerial Survey (formerly Pre-
Remedial/Remedial Survey)
Alternate Dispute Resolution
Bulk Funding
Extramural use only. Outlays may
not be charged to this action code
and must be charged to a specific
action code
CERCLA Criminal Litigation
Only HQ (Department of Justice
(DOJ) Interagency Agreements
(IAs)) may use 501EC7&
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)
Expanded Site Inspection/ Remedial
Investigation (ESI/RI)
Expanded Site Inspection (ESI)
Feasibility Study
Action
Code
AR
AS
AD
WQ
CC
CB
CO
CR
UZ
JU
NE
DA
PJ
EE
SS
ES
FS
"•PHC"" -
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
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
- Site Dei. "
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
, • , , • Lead. ,"
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
F, S, TR, SA, SS, ST
No Lead Codes
Required
F,S
No Lead Codes
Required
F, S
No Lead Codes
Required
RP,PS
RP,PS
CG, F, S, TR, RP, PS,
MR
FF
F, S, TR, RP, PS, MR
F, S, TR
F, S, TR
F, S, TR, SA, SS, ST
FY 12 SPIM
IV-11
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
FY2012 Superfund Action Codes for Financial Transactions Sorted by Action Name
CERCLIS Action Name
Federal Facility and BRAC General
Support and Management
Payroll costs only for PRC 303D41
FF Community Involvement
FF ESI Review
FF Five Year Review
FFFS
FFLR
FF Oversight
FF Oversight (Site-Specific BRAC
Costs) Payroll & 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
Forward
Planning/Redevelopment/Reuse
General Support and Management
General Enforcement
Generic PA/SI
PRC 303DC9 for HQ use only
Groundwater Monitoring (Post-ROD)
HRS Package
PRC 303DC9 for HQ use only
Information Management Support
Integrated Assessment
Laboratory Support
Action
Code
TX
LZ
TZ
VY
NI
MZ
OX
ox
RX
LY
LX
LV
NH
LW
TY
FE
FM
BM
GE
QB
GM
HR
IJ
EA
LA
PRC
303DC9
303D41
303DC9
303DD2
SA
FF
FF
FF
P
Sit$ Des.
00
00
S
S, WQ, ZZ
Lead
FF
FF
FF
F, S, TR
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
303DC9
303D41XB4
303DD2
FF
P
S
S
S, WQ, ZZ
FF
FF
F, S, TR
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
Not Available-Use FF Oversight (OX)
303DD2
303DD2
303DD2
303DD2
303DC6
303DD2
501EC7
501JC7
501EH2
303DD2
303DC9
303DD2
303DC9
303DD2
303DC9
303DC6
303DC9
303DD2
501EC7
303DD2
303DC6
303DC9
303DD2
501EC7
P
P
RA
P
S
P
E
FFE
P
FF
P
FF
P
FF
S
FF
P
E
P
S
FF
P
E
S, WQ, ZZ
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
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
F, S, TR
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
F, S, TR
FF
No Lead Codes
Required
F, S, TR
FF
No Lead Codes
Required
F, S, TR
No Lead Codes
Required
March 20, 2012
IV-12
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
FY2012 Superfund Action Codes for Financial Transactions Sorted by Action Name
CERCLIS Action Name
Legal Review and Analysis
Litigation - Generic
Local Government Reimbursement
(Evacuation state/local)
Long-Term Response Action (LTRA)
Management Assistance
Multi-Site Cooperative Agreement
Negotiation - Generic
Non-NPL PRP Search
Use only for existing searches. For
new searches use QV
NPL RP Search
Use only for existing searches. For
new searches use QV
Operations 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-CERCLIS Screening
Preliminary Assessment (PA)
Preparation of Cost Documentation
PRPFS
PRPLR
PRPRA
PRPRD
PRP Removal
Pipeline Site Allowance for
Remedial Program Projects only
PRPRI
PRPRI/FS
PRP Search
RD/RA Negotiation
Action
Code
PS
LT
EV
LR
MA
MS
NG
RP
NS
OM
QX
HX
PA
PC
NK
ME
BF
BE
BB
NA
BD
QV
AN
PMC
501EC7
501EC7
501JC7
303DD2
303DD2
SA
E
E
P
RA
Sit$ Des.
s,zz
S
S
S
S
Lead
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
F, S, TR, SA, SS, ST
Renamed~See State Support Agency Cooperative Agreement
(MA)
Not Available-Use State Support Agency Cooperative
Agreement (MA), Generic PA/SI (QB), or Bulk Funding (WQ),
as appropriate
501EC7
501JC7
501EH2
501EC7
501EC7
303DC9
303DD2
501EC7
303DD2
303DD2
501EC7
501JC7
303DD2
303DD2
303DD2
303DD2
303DC6
303DC6
303DD2
303DD2
303DD2
501EC7
501EC7
E
FFE
E
E
FF
P
E
P
P
E
P
P
P
P
RV
S
P
P
P
E
E
S
S
S
S, WQ, ZZ
S, WQ
S
S
S
S, WQ, ZZ
S, WQ, ZZ
S
S
S
S
S
S
S
S
S
S
S
S, WQ, ZZ
S
No Lead Codes
Required
F,S
F,S
FF
RP, PS, SA, SS, ST,
MR
No Lead Codes
Required
F, S, TR
F, S, TR
No Lead Codes
Required
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
RP, PS, MR
F, S
F, S
FY 12 SPIM
IV-13
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
FY2012 Superfund Action Codes for Financial Transactions Sorted by Action Name
CERCLIS Action Name
Real Property Acquisition
Records Management
Remedial Action
Remedial Design
Remedial Investigation
Removal
May plan with WQ SSID but must
obligate site-specifically
RA Site Allowance for Remedial
Program Projects only
Removal Assessment
Removal Negotiation
Research and Development
RI/FS Negotiation
Risk/Health Assessment
Section 104(E) Referral Litigation
Section 106 Litigation
Section 106/107 Litigation
Section 107 Litigation
SEE Program Extramural use only
Site Inspection (SI)
Site Security and Maintenance
Site-Specific BRAC Costs
State Core Program Extramural use
only
State Support Agency Cooperative
Agreement (formerly Management
Assistance) Extramural use only
Action
Code
RL
SW
RA
RD
RI
RV
RS
RN
BG
FN
ED
SF
sx
CL
sv
SM
SI
PD
PX
SK
MA
PRC
303DD2
303DC6
303DC9
303DD2
501EC7
501EH2
303DD2
303DD2
303DD2
303DC6
303DD2
303DC6
303DC6
501EC7
303DD2
501EC7
303DC9
303DD2
501EC7
501EC7
501EC7
501EC7
303DC6
303DC9
303DD2
501EC7
303DD2
303DD2
SA
P
S
FF
P
E
FFE
RA
P
P
RV
RA
RV
S
E
P
E
FF
P
E
E
E
E
S
FF
P
E
P
P
Sit$ Bes.
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, WQ, ZZ
S, WQ, ZZ
S
S, WQ, ZZ
S
S
S
S
S
S
S
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ
S
Lead
No Lead Codes
Required
No Lead Codes
Required
F, S, TR, SA, SS, ST
F, S, TR, SA, SS, ST
F, S, TR, SA, SS, ST
CG, F, S, TR, SA, SS,
ST, SG
F, S, TR, SA, SS, ST
No Lead Codes
Required
F, S
No Lead Codes
Required
F,S
FF
F, S, TR, RP, PS
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
F, S, TR
No Lead Codes
Required
Not Available— Use FF Oversight (OX)
303DD2
303DC9
303DD2
P
FF
P
00
S, WQ, ZZ
S, WQ, ZZ
No Lead Codes
Required
No Lead Codes
Required
March 20, 2012
IV-14
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
FY2012 Superfund Action Codes for Financial Transactions Sorted by Action Name
CERCLIS Action Name
Technical Assistance
Technical Assistance Grant
May plan with WQ SSID but must
obligate site-specifically
Extramural use only
Training
Treatability Study
Tribal Core Program Extramural use
only
Tribal Support Agency Cooperative
Agreement
Extramural use only
Action
Code
TA
TG
TH
TS
TK
TJ
PMC
303DC6
303DC9
303DD2
303DC9
303DD2
303DC6
303DD2
501EC7
303DD2
303DD2
303DC9
303DD2
SA
S
FF
P
FF
P
S
P
E
P
P
FF
P
Sit$ Des.
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
S
S
00
00
00
S
00
S, WQ, ZZ
S, WQ, ZZ
Lead
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
No Lead Codes
Required
•V-v;v,v,v,v;v,v,v,v;v,v,v,v;v,v,v,: •.•••;:;:;:;:;:;:;:;:;:;:;:;:;:, :.•• -;:;:;:;:;: Site UeslgnatOrS '•: ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• ••• . ••::;:;:;:::;:;:;:::;:;:;:::;:;:;:::;:;:
S Site-specific obligation
w« Unspecified obligation; outlays must be redistributed to S, ZZ, or 00 site
designators
ZZ Site related (ZZ) obligation
00 Non-site (00) obligation
^iinfMrfiitifl Prrionraiti
InjLptementation Maimia tSHM) SM AJlowancej
•($A) •'•'•• '••'•• '••'•• '••'•• '••'•• '••'•• '••'•• '••'••
„., .„ „., .„ „ Compass Budget Org Code, Fifth
Site Allowance Site Allowance Name „ ., .
Position
E (not in CERCLIS) Enforcement No Compass Budget Org Code
FFE (not in CERCLIS) Federal Facilities Enforcement No Compass Budget Org Code
FF Federal Facility Response F
RV Removal E
S Removal Support S
P Pipeline Operations P
RA Remedial Action R
IV.G ACTION AND OTHER QUALIFIER CODES
IV.G.l Takeovers, Phased Indicators and Other Action Code Anomalies
Action anomaly codes (labeled Takeover or Lead Changes /Phased Indicators in SCAP
reports) are used to signify actions that for some reason should not appear as valid starts or
completions 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 TV.4 is a reference table of all action anomaly codes in CERCLIS.
FY 12 SPIM
IV-15
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
EXHIBIT IV.4. CERCLIS ACTION ANOMALY REFERENCE TABLE
CERCLIS Action Anomaly Reference Table
Code
TO
TN
TT
PS
PC
PB
OS
OC
OA
VC
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 Start and Complete
a. Takeovers
A takeover or lead change occurs when the entity performing a response action changes
after the action has started and credit has been given. Typically, this occurs when a
settlement with the PRP is reached after the action has started. A takeover may also occur
when the Fund assumes an RP-lead project because of non-compliance with an
administrative order (AO) or CD. RP-lead projects that are deficient or where the PRPs
are recalcitrant may require substantial Fund involvement to correct, in which cases a
new Fund action should be started and coded as a takeover in CERCLIS.
In order to avoid delays resulting from PRPs assuming the lead during a discrete phase of
the project (a takeover), a policy has been established that limits lead changes from EPA
to PRPs in the middle of a phase of the Superfund process, except in situations where the
change will not cause undue delays (Office of Solid Waste and Emergency Response
(OSWER) Directive 9800.1-01, Limiting Lead Transfers to Private Parties During
Discrete Phases of the Remedial Process, November 14, 1991). The policy applies to lead
changes from EPA to PRPs only, not EPA takeovers of PRP work or lead changes
involving states. See the OSWER Directive at
Although early site assessment activities will be Fund-lead, response lead changes (i.e.,
takeovers) 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 Fund 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
March 20, 2012
IV-16
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
lead during the RI/FS, they should be given a limit of 60 days to enter into an
administrative order on consent (AOC) for performing the work.
If a PRP is allowed to take over a Fund-financed response action after dollars have been
obligated, the region should deobligate any unliquidated obligations, and use the region's
portion of the recertified funds, pursuant to the Agency's deobligation policy, to pay for
oversight of the response action conducted by the PRP (provided that special account
funds are not available for this purpose).
b. CERCLIS Coding For Takeovers
Using CERCLIS codes to identify takeovers will prevent reporting of multiple starts and
completions for the same response activity on SCAP planning and accomplishment
reports. A takeover does not create a new OU. In the case where one entity takes over an
action from another, the region must establish a new action with the appropriate lead
code as well as apply the appropriate the Action Anomaly Codes to both the original
action and the new action.
The completion date of the original action must be the same as the start date of the new
action. Takeover/Phased Indicators must be entered with both actions. The "Original
Action Takeover (TO)" indicator is used to flag the original action which has the change
in lead, whereas a "New Action Resulting from Takeover (TN)" indicator is used to flag
the new action.
On rare occasions, an action that has been taken over requires an additional lead change.
For example, EPA reaches settlement with the PRPs after a Fund-financed action has
begun. After the PRPs start work, EPA experiences problems with the PRPs in meeting
deadlines or in the quality of the work. As a result, EPA makes a decision to take over the
PRP- financed action. The steps to be taken to indicate this scenario in CERCLIS are:
1. A new action is added to CERCLIS at the same OU. A new combined RI/FS with an
'F- lead would be added.
2. The start date of this new action is the date of the takeover.
3. A Takeover/Phased Indicator of "New Action Resulting from Takeover (TN)" is
entered with the new action.
4. The completion date of the latest action that was taken over is the same as the start
date of the new action (date of the takeover).
5. The Takeover/Phased Indicator of the latest action that was taken over is changed
from "New Action Resulting from Takeover (TN)" to a "Takeover of an Action
Taken Over (TT)."
Exhibits IV.5a, IV.Sb, and IV.Sc below provide examples of the CERCLIS coding for
takeovers, takeovers of takeovers, phased projects and other anomalies.
FY12SPIM IV-17 March 20,2012
-------
OSWER Directive 9200.3-14-1G-W
EXHIBIT IV.5A. TAKEOVERS
ou
Action Name
Seq.
Lead
Plan
Start
• 'Act'"
Comp
Takeover/
Phased Indicator
Comments
Takeover Coding for PRP taking over Fund RI/FS
01
01
Combined
RI/FS
PRP RI/FS
001
002
F
RP
8/1/97
12/1/97
12/1/97
3/1/98
TO
TN
Fund-financed action initiated (No
Credit for Completion)
Fund-financed action being taken over
by PRPs (No Credit for Start)
Takeover Coding for EPA taking over the PRP takeover of the Fund RI/FS
01
01
01
Combined
RI/FS
PRP RI/FS
Combined
RI/FS
001
002
003
F
RP
F
8/1/97
12/1/97
3/1/98
12/1/97
3/1/98
9/1/99
TO
TT
TN
Fund-financed action initiated (No
Credit for Completion)
PRP action initiated and taken over by
Fund (No Credit for Start or
Completion)
PRP action being taken over by
Fund (No Credit for Start)
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 for,
for example, an RA, PRP RA or FF RA that requires site clearing prior to constructing an
incinerator. The clearing would be one phase of the RA, PRP RA or FF RA, while the
construction of the incinerator would be a second phase.
Regions enter a separate RA, PRP RA or FF RA for each phase. Phases of each response
action are shown in CERCLIS by the use of the Takeover/Phased Indicators of "Phased
Start (PS)" and "Phased Complete (PC)" or "Phased Start and Completion (PB)" Funding
required for each of the phases is tracked against the phase. However, the duration of the
project is calculated from the date the first phase started to the date the last phase is
completed.
In cases where HQ makes decisions to fund certain components of a Fund-financed RA
project, HQ may direct a region to use or not use phased project coding in order to
accurately depict the funding decision.
March 20, 2012
IV-18
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT IV.5B. PHASED PROJECTS
ou
01
01
01
Action Name
RD1
RD2
RD3
Seq.
001
002
003
Lead
RP
RP
RP
Plan
Start
99/1
00/2
00/3
Act
Comp
00/2
00/3
01/1
Takeover/Phased
Indicator
PC
PB
PS
Comments
PHASE I (Phased Completion-No
Credit for Completion)
PHASE II (Phased Both-No Credit for
Start or Completion)
PHASE III (Phased Start-No Credit
for
Start)
d. Other Anomalies
Anomalies are those projects that do not fit the normal definitions of pipeline actions.
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 completion date when such determination is made, and
use the appropriate anomaly code to signify the action's status.
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 completions (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
completion 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)."
EXHIBIT IV.5C. OTHER ANOMALIES
OU
01
01
01
Action Name
PRP RI/FS
PRPFS
Combined
RI/FS
Seq.
001
001
001
Lead
RP
RP
F
Plan
Start
96/2
97/3
97/2
Act
Comp
98/3
98/3
98/3
Takeover/Phased
Indicator
OS
OA
OC
Comments
No Credit for Start
No Credit for Start or Completion
No Credit for Completion
IV.G.2 Other Qualifiers
This section will be utilized to provide information on future qualifiers as deemed
necessary.
FY 12 SPIM
IV-19
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 IV-20 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Chapter V: Site Assessment/NPL Listing
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER V: Site Assessment/NFL Listing
Table of Contents
V.A Site Assessment V-l
V.A.I Introduction V-l
V.A.2 Site Assessment V-2
V.A.3 Site Assessment Backlogs V-3
V.A.4 Overview of Site Assessment/NPL Listing Targets and Measures V-3
V.A.5 Site Status Indicators V-6
V.A.6 Data Quality V-10
V.A.7 Action Qualifiers for Site Assessment Actions V-10
a. No Further Remedial Action Planned (NFRAP) V-10
b. Further Evaluation V-ll
c. Perform a Removal V-ll
d. Defer the Site to RCRA (Subtitle C) or the NRC V-ll
e. Sites addressed as part of existing NPL sites V-ll
f Sites addressed as part of other existing non-NPL sites V-l 2
g. State Deferral Action Qualifiers V-l 2
h. Referred From RCRA Action Qualifier V-l 3
i. Assessment Complete - Decision Needed Action Qualifier V-l 3
V.A.8 Special Initiatives V-15
V.A.9 Site Assessment Critical Indicators V-15
V.A.10 Pre-CERCLIS Screening Assessments V-16
a. Definition of Accomplishment: V-16
b. Referred From RCRA V-18
c. Site Discovery V-l 9
d. Sites Archived V-21
e. Preliminary Assessments (PA) at Non-Federal Facility Sites V-23
f. Federal Facility Preliminary Assessment Reviews V-25
g. Site Inspections (SI) at Non-Federal Facility Sites V-25
h. Site Reassessment V-27
i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites V-29
j. Federal Facility SI Reviews V-31
k. Federal Facility ESI Review s V-31
I. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-
Federal Facility Sites V-31
m. State Deferral of Non-Federal Facility Sites V-33
n. Hazard Ranking System Package (HRS) V-34
o. NPL Listing V-36
p. Other Cleanup Activity (OCA) V-38
V.A. 11 Tribal Inventory Information V-41
a. Native American Interest V-41
b. Associating Site to an American Indian Tribe/Alaskan Native Entity V-41
FY 12 SPIM V-i March 20, 2012
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OSWER Directive 9200.3-14-1G-W
List of Exhibits
Exhibit V.I. Superfund Site Assessment Process V-2
Exhibit V.2. Site Assessment/NPL Listing Activities V-5
Exhibit V.3. Site Assessment Action Qualifiers V-14
March 20, 2012 V-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER V: SITE ASSESSMENT/NPL LISTING
V.A SITE ASSESSMENT
V.A.I 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, EPA and states 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-financed 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 site undergoes a minimal screening
process (pre-Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) screening) to determine whether the Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) site assessment process is appropriate.
Once a potentially hazardous site is identified as appropriate for the site assessment process, it
receives a site discovery date and is added to the active site inventory. Using criteria established
under the HRS, EPA and/or its state and tribal partners then conduct a Preliminary Assessment
and if warranted, a Site Inspection or other more in-depth assessment to determine whether the
site warrants short- or long-term cleanup attention. Sites that do not warrant further interest are
assigned a No Further Remedial Action Planned (NFRAP) decision. 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, state/tribal cleanup programs such as
Voluntary Cleanup Programs (VCPs), the Superfund Alternative Approach (SAA), and the
National Priorities List.
At the conclusion of each assessment, the HRS model is 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 determines the site would
receive a No Action Record of Decision (ROD) if it was placed on the NPL.
FY12SPIM V-l March 20,2012
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OSWER Directive 9200.3-14-1G-W
EXHIBIT V.I. SUPERFUND SITE ASSESSMENT PROCESS
Notification/
Pre-CERCUS
Screening
Preliminary
Assessment
Yes
Is the preliminary
HRS score greater
' , than 28,5? /
/"
V
NO No further remedial |
*" action planned (NFRAP) j
Site
InspecSon
Is fhe preliminary
HRS score greater
'x than 28.5? /
No
Yes
Removal ]
actions j
may occur j
throughout j
.the process I
- Seek state concurrence j
• Complete HRS package H
- Propose site for listing on the NPL .;
Yes
Is NPL feting the
best approach for ^——
•• addressing the site^X
- Pursue non-MPL cleanup
alternatives*
- Provide information to states
and other regulatory programs
' E.g., RCRA, state cleanup program, EPA Removal
V.A.2 Site Assessment
Assessing the worst sites first continues as a national priority. The regions should identify
the sites posing the highest risk or potential risk and develop a strategy to assess those sites in a
timely manner, while balancing their other site assessment needs.
While assessing the worst sites first, the regions also need to ensure that the backlog of
sites needing Preliminary Assessments (PAs), Site Inspections (Sis), or Expanded Site
Inspections (ESIs) does not grow unacceptably. The regions should consider integrating
assessments to reduce cost and time to assess sites. Regions should continue the use of pre-
CERCLIS screening to assure only appropriate sites are placed in the CERCLIS active site
inventory. The regions should also ensure the appropriate investigations of sites of tribal concern
that are on or near Indian Country.
To better accomplish the national priorities, the regions should continue negotiating work
share agreements with individual states (and tribes if applicable). This will help divide up the site
assessment work and potentially enhance relations with the states and tribes. This process will
also serve to identify the current lead agency for the public.
Given sizeable workloads and constrained resources, regions are encouraged to pursue
more cost- and time-efficient methods of assessing sites without compromising the quantity and
quality of site assessment decisions. Regions should communicate progress and results of new
assessment methods to other EPA regional and Headquarters (HQ) site assessment staff.
HQ and regions should continue the streamlined process for listing sites on the NPL and
evaluate alternatives to listing sites while providing NPL quality cleanups.
March 20, 2012
V-2
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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. 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 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 (OSWER) Directive 9203.1-06). The 1992
directive provided regions with general factors that should be considered in the risk-based
decision making process for choosing sites to propose for listing pursuant to section 105(a)(8)(B)
of CERCLA. These can include recently identified sites, sites earlier in the site assessment
process, or previously deferred RCRA sites. The regions should ensure the appropriate
investigation of sites of tribal concern including sites in or near Indian Country.
V.A.3 Site Assessment Backlogs
A key function of HQ is to report national progress in the site assessment program.
Workload estimates are critical indicators of future program needs. HQ captures these workload
estimates by identifying the number of sites at various stages in the site assessment pipeline.
These stages are commonly referred to as "backlogs". For example, sites needing completion of a
CERCLA PA are collectively termed the "PA Backlog". Throughout this chapter, the procedure
HQ uses to derive backlog is provided for each step in the site assessment process. HQ will
measure regional progress on non-federal sites still needing assessment with special emphasis on
sites over one year old without any assessment started, and sites over four years old without 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.
V.A.4 Overview of Site Assessment/NPL Listing Targets and Measures
The following pages contain, in pipeline order, the definitions of Superfund site
assessment targets and measures. Exhibit V.2 displays the full list of site assessment activities
defined in this chapter and the associated reporting hierarchy.
EPA's Strategic Plan, Goal 3, Objective 3.3 Restore Land contains the Government
Performance and Results Act (GPRA) measure for Superfund assessment work: "By 2015,
complete 93,400 assessments at potential hazardous waste sites to determine if they warrant
CERCLA remedial response or other cleanup activities." The new Superfund Remedial Site
Assessments measure will reflect the total number of Pipeline-funded remedial site assessments
completed each year, and will include the following site assessment activities:
• Pre-CERCLIS screening
• PA
• Federal Facility PA Review
• SI
FY 12 SPIM V-3 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
• Federal Facility SI Review
• ESI
• Federal Facility ESI Review
• Site Reassessment
• Expanded Site Inspection/Remedial Investigation (ESI/RI)
• HRS Package
Except for pre-CERCLIS screening actions, sites must have a completed site discovery
action recorded in CERCLIS to get accomplishment credit for a Superfund remedial site
assessment. Only assessments with a completion date falling in the current fiscal year (FY) will
get captured in current year accomplishment reporting. All completed Superfund pre-CERCLIS
screenings and all other remedial site assessments at sites with a completed discovery action will
get captured in cumulative accomplishment (inception-to-date) reporting.
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.
Data Quality for Completed Superfund Remedial Site Assessments Timeliness
Requirement
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the activity occurs. The quarterly pull occurs on the fifth business day
following the end of each quarter or the 10th business day following the end of the fourth
fiscal quarter.
Reports and Guidance
- SCAP-15 Report;
- SCAP-13 Report;
The number of Superfund remedial site assessments will be included in EPA's
Annual Performance and Accountability Report and in EPA's Annual Superfund
Report;
Site assessment charts in eFacts;
Current version of the SPEVI;
CERCLIS Quick Reference Guides covering entry of remedial site assessment
action data;
CERCLIS Data Quality Objective covering remedial site assessment data.
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
March 20, 2012 V-4 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
GPRA Superfund remedial site assessments that are assigned a NFRAP decision
(action qualifier = N) or are determined not eligible for entry into the active
CERCLIS inventory based on a pre-CERCLIS screening report.
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 Nuclear Regulatory Commission (NRC) (action qualifier = DN)
b. Deferred to RCRA (action qualifier = D)
c. Referred to removal, needs further remedial assessment (action qualifier = F)
d. Referred to removal, no further remedial assessment (action qualifier = W)
e. Addressed as part of an existing NPL site (action qualifier = A)
f. Remedial activities under EPA enforcement, including sites addressed via a
Superfund Alternative Approach agreement (non-NPL status = SA)
g. Other Cleanup Activity (non-NPL status = OF, OP, OS, or OT)
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 (action qualifier = H)
b. Lower priority for further assessment (action qualifier = L)
c. Recommended for FIRS scoring (action qualifier = G)
d. Being considered for proposal to the NPL (action qualifier = O)
e. Addressed as part of another non-NPL site (action qualifier = B)
f. Needs a remedial preliminary assessment based on completion of a pre-
CERCLIS screening report
EXHIBIT V.2. SITE ASSESSMENT/NPL LISTING 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)
Pre-CERCLIS Screening Assessment
Site Discovery
External Program
Reporting
Annual Commitment
System (ACS),
Strategic Plan
Internal Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
FY 12 SPIM
V-5
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
ACTIVITY
PAs at Non-Federal Facility Sites
Federal Facility PA Review
SI at Non-Federal Facility Sites
Federal Facility SI Review
Site Reassessment
ESI at Non-Federal Facility Sites
Federal Facility ESI Review
Integrated ESI/Remedial Investigation
HRS Package (Non-Federal Facility and Federal Facility)
Other Cleanup Activity
Archive Site
Site Unarchived
State Deferral of Non-Federal Facility Sites
Referred from RCRA
External Program
Reporting
Internal Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
For each activity, the definitions and reporting requirements in this chapter specify applicability with
respect to NPL status, activity lead, and actual start and completion 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 the Agency's FY11-FY15 Strategic Plan.
Target = 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.
V.A.5 Site Status Indicators
These site status indicators are entered through the Site Status and Description/Operable
Units screen in CERCLIS.
Archive Indicator - this checkbox indicates if the site has been archived. NOTE:
Indicating that a site has been archived will result in a pop-up message asking the user if they
would like to make a No Further Federal Action (NFFA) determination at this time. If the user
clicks yes, the NFFA flag will be populated and an NFFA date will be system generated. A site
cannot be archived if there are any planned or ongoing archive prohibited actions at the site. For
a list of archive prohibited actions, refer to the CERCLIS Archived Sites quick reference guide
(QRG).
A site that has been archived represents a site-wide decision that no further federal
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
March 20, 2012
V-6
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
site. For more information about archiving sites in CERCLIS, refer to the Sites Archived section
of this chapter, the CERCLIS Archived Sites QRG, or the EPA's Refining CERCLIS website at:
Archive Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date the site was archived.
NPL Status - displays the current NPL Status for the site. User may select from the drop
down to enter or change the NPL Status of the site. Regional users have access to change the
NPL Status to Not a valid site or incident, Not on the NPL, Addressed as part of an existing NPL
site, and Pre-proposed site. All other NPL Status values are added through a database revision
and are uneditable.
Non NPL Status - displays the current Non-NPL Status for the site. User may select from
the drop down to enter or change the Non NPL status of the site. The available non-NPL status
values will be limited based on the NPL Status of the site. Regions should update the Non-NPL
Status field in CERCLIS as soon as possible following entry of a site assessment action start
and/or completion date.
Reporting non-NPL site status information allows EPA to clearly identify the progress a
site has made in the Site Assessment Pipeline at any given time. For a list of Non-NPL Status
values and more information about entering non-NPL status values in CERCLIS, refer to the
Reporting Non-NPL Status QRG and the Understanding NPL and Non-NPL Status Code
Relationships QRG.
Status Not Specified (SX) is one of the codes available for selection as a Non NPL Status
value. Regions may select this code only if no other available Non NPL Status value is
appropriate. If selected, the region should notify the EPA HQ Site Assessment Data Sponsor to
determine whether a new Non NPL Status value needs to be created. Regions should review sites
with an SX value at a minimum on a semi-annual basis (prior to mid-year review and end-of-
year assessment) and update this value as appropriate.
Non NPL Status Date - this field is system generated with the current date when the Non
NPL status of a site is changed. This field is editable and should reflect the date the non-NPL
status of the site changed.
Eligible Response Site (ERS) Exclusion - this checkbox indicates 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 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 CERCLIS for sites that get proposed to the NPL.
FY 12 SPIM V-7 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
NPL sites, Federal Facility sites, and sites with planned or ongoing removals are
excluded from the definition of ERS sites. For more information regarding making an ERS
exclusion at a site, please refer to OSWER Directive 9230.0-170, entitled Regional
Determinations Regarding Which Sites are Eligible Response Sites under CERCLA section
101(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.
Final Assessment Decisions (FAD) - Superfund FADs are used as an indicator to
measure progress towards completing remedial site assessment work at sites entered into
CERCLIS. 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 CERCLIS with a discovery action 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 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;
• Other Cleanup Activity (OCA) sites where no further site assessment work is
anticipated (see Other Cleanup Activity section in this chapter for more information);
• The site has been properly archived from the active CERCLIS site inventory.
EPA regions are responsible for maintaining FAD designations in CERCLIS. FAD status
is captured in CERCLIS by selecting the Final Assessment Decision check box on the Site
Description and Status/Operable Units screen. Once the FAD box is checked, CERCLIS
automatically populates the related Final Assessment Decision Date field with the current
calendar date. Regions can accept or edit this date before saving the information in CERCLIS.
The FAD date should match the calendar date when the FAD decision was made. Backdating the
FAD date is appropriate when data entry lags occur, even if the lag spans across fiscal years
(e.g., sites where the FAD decision was made in a previous fiscal year, but the FAD box was
inadvertently left unchecked). HQ will place a check in the FAD checkbox when updating
CERCLIS for sites that get proposed to the NPL.
March 20, 2012 V-8 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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.
NFFA - this checkbox only applies to sites that have been assigned an ERS exclusion
decision and denotes that the site requires No Further Federal Action. CERCLA section
101(41 )(C)(i) authorizes EPA to make a site which was previously excluded as an 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 are not eligible for NFFA. In addition,
if a site has any planned or ongoing enforcement, cost recovery or removal activities, the user
will not be allowed to make an NFFA determination.
NOTE: This checkbox may not be selected if the ERS Exclusion checkbox has been selected.
For more information regarding NFFA decisions, please refer to OSWER Directive
9230.0-170, entitled Regional Determinations Regarding Which Sites are Eligible Response
Sites under CERCLA section 101(41)(C)(i), as Added By the Small Business Liability Relief
and Brownfields Revitalization Act.
NFFA Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date of the determination that no further
federal action would be taken at the site.
RCRAInfo Site ID - Site identification number recorded in RCRAInfo for a site that is
tracked in CERCLIS. A new site added to CERCLIS should use the existing RCRA site
identification number if the site already exists in RCRAInfo.
Type of Use Indicator - The Type of Use Indicator describes how the site is being used
and is initially based on information collected during the site assessment process. This
information will be updated as the site progresses through the Superfund process. The following
type of use categories are available:
• 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.
FY 12 SPIM V-9 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
• 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.
• Undetermined indicates that the type of use cannot be determined based on available
information.
V.A.6 Data Quality
The regions should assure that their site assessment information is complete, current,
consistent and accurate. To assist the regions in this determination, data quality reports for
Superfund site assessment information in CERCLIS are available through the national Superfund
eFacts application. ReportLink may also be used to hold data quality reports. The site assessment
data quality report in Superfund eFacts is used to monitor progress in correcting site assessment
data in CERCLIS.
V.A.7 Action Qualifiers for Site Assessment Actions
Site screening and assessment decisions are made upon completion of each site
assessment action. These decisions identify how the region will proceed with site response and
are recorded in CERCLIS as action qualifiers (Qualifiers).
a. No Further Remedial Action Planned (NFRAP)
No further Superfund remedial assessment work will be taken at a site with a NFRAP
determination (Qualifier = N) No Further Remedial Action Planned) unless new
information warranting such action is received by EPA. NFRAP decisions should not be
confused with archiving. NFRAP decisions are made from a site assessment perspective
only; they simply denote that further Superfund NPL assessment work is not required
March 20, 2012 V-10 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
based on currently available information. In contrast, the archival of CERCLIS sites is
made only when no further Superfund interest exists at a site. This means that sites are
not archived if there are planned or ongoing removal or enforcement activities or if other
Superfund interest still exists, even if a NFRAP decision was made during site
assessment activities.
b. Further Evaluation
Upon completion of each site assessment action, the region may determine that
additional, more complex evaluation activities are required to determine whether or not
the site should be pursued for placement on the NPL. A decision to conduct further
evaluations at a site is recorded differently in CERCLIS depending on what site
assessment activity is being performed.
For PAs, Sis, and Site Reassessment further evaluation is denoted by either making a
decision of higher priority (Qualifier = (H) High), lower priority (Qualifier = (L) Low),
or recommend the site for HRS scoring (Qualifier = (G) Recommended for HRS
Scoring).
For ESIs and ESI/RIs, further evaluation is denoted by the decision of lower priority for
further evaluation or to recommend the site for HRS scoring (Qualifier = (G)
Recommended for HRS Scoring).
For Other Cleanup Activity actions, further evaluation is denoted by either making a
decision of higher priority (Qualifier = (H) High) or lower priority (Qualifier = (L) Low).
Further evaluation activities upon completion of a HRS Package consist of HQ quality
assurance and ultimately a decision on whether to propose the site to the NPL (Qualifier
= (O) Site is being considered for proposal to the NPL).
c. Perform a Removal
Upon completion of PAs, Sis, SIPs, ESIs or ESI/RIs, the region may determine that a
time-critical or non-time critical (NTC) removal is necessary. The decision recorded for
these actions is Referred to Removal, Needs Further RMDL ASMT (Qualifier = F) or
Referred to Removal, No Further RMDL ASMT (Qualifier = W).
d. Defer the Site to RCRA (Subtitle C) or the NRC
Upon completion of PAs, Sis, or ESIs at non-Federal Facilities, or of FF PA Reviews, FF
SI Reviews, or FF ESI Reviews at Federal Facilities the region may determine that the
site is excluded from Superfund consideration under policy, regulatory, or legislative
restrictions and defer it to either the RCRA program (Qualifier = (D) Deferred to RCRA
(Subtitle C)) or to the NRC (Qualifier = (DN) Deferred NRC).
e. Sites addressed as part of existing NPL sites
Upon completion of Site Assessment activities, such as PAs, Sis, ESIs, or ESI/RIs, the
region may decide that a site is best addressed as part of an existing NPL site. This would
be done when contamination at a non-NPL site is being addressed by cleanup actions at
an existing NPL site. This most frequently occurs at Federal Facilities and sites with an
FY 12 SPIM V-l 1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
area-wide groundwater contamination or sediment problem resulting from multiple
sources. In this situation, the NPL site is considered the 'parent' and the non-NPL site is
referred to as the 'child'. The decision to address a site as part of an existing NPL site
requires the following information in CERCLIS:
- Upon completion of the site assessment activity that led to the decision to
combine the two sites, the region should enter a qualifier of 'Addressed as part an
existing NPL site' (A) at the child site;
The seven 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 seven 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.
f. Sites addressed as part of other existing non-NPL sites
Upon completion of a site assessment activity, it is also possible for the region to decide
that a site is best addressed as part of another existing non-NPL site. The decision to
combine multiple non-NPL sites requires the following information in CERCLIS:
- Upon completion of the site assessment activity that led to the decision to
combine the two sites, the region should enter a qualifier of 'Addressed as part of
another non-NPL site' (B) at the child site;
- The seven 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 seven digit Site ID number of the child site must be entered into the Child
Site ID field (Site Child ID) for the parent site; and
The Non-NPL Status for the child site must be changed to 'Addressed as part of
another non-NPL site' (B).
After a site is collapsed into the parent site, no further actions should be recorded at the
child site. Instead, any further assessment or response work performed at that site should
be recorded under the existing parent site. If the parent site becomes a NPL site (NPL
Status P, F, D, R, W), CERCLIS should be updated as described in section e. above. The
Final Assessment Decision value for a child site should match that of its parent site.
g. State Deferral Action Qualifiers
Upon completion of the State Deferral (AQ) action, the outcome (qualifier) of the state
deferral must be entered with the completion date. The possible outcomes (qualifiers) at
the completion of a state deferral are:
Region confirmed successful completion (RS)
Region terminated deferral (RT)
March 20, 2012 V-12 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
h. Referred From RCRA Action Qualifier
Facilities whose owners have demonstrated an inability to finance corrective action are
referred to Superfund from RCRA. An action qualifier of Financial (F) should be added
for all Referred from RCRA (XR) actions where the site is referred to Superfund due to a
failed financial assurance.
i. Assessment Complete - Decision Needed Action Qualifier
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).
FY12SPIM V-13 March 20,2012
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OSWER Directive 9200.3-14-1G-W
EXHIBIT V.3. SITE ASSESSMENT ACTION QUALIFIERS
SITE ASSESSMENT
ACTION NAMES & CODES
Available Action Decisions
Pre-CERCUS Screening HX
Discovery DS
Preliminary Assessment PA
Federal Facility PA Review RX
Site Inspection SI
Federal Facility S! Review TY
Site Reassessment 00
Expanded Site inspections ES
Federal Facility ESI Review TZ
ESI/RI SS
State Deferral AQ
HRS Package HR
Other Cleanup Activity VA
Referred from RCRA XR
Archive Site VS
Site Unarchived VU
•
•
•
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•
•
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NOT APPLICABLE
•
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•
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•
•
•
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•
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•
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•
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•
•
This action is populated when the archive flag is selected. No leads/decisions for these actions are available.
This action is populated when the archive flag is deselected. No leads/decisions for these actions are available.
March 20, 2012
V-14
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
V.A.8 Special Initiatives
A special initiative flag is used in CERCLIS to note a HQ or regional site special priority
or other program initiative under which a Superfund site may be tracked, and that a planned or
actual activity addresses. These special initiatives are flagged on the Add Special Initiative
screen via the Site Status and Description/Operable Units screen. The special initiatives in
CERCLIS apply to and are used by all program areas. The following are a listing of the most
commonly used special initiatives within the site assessment program:
• Vermiculite Investigation (VI)
• RCRA Deferral Audit (RA)
• RCRA Deferral - Further Superfund Assessment (RE)
• RCRA Deferral - New Decision (RC)
• RCRA Deferral - Lead Confirmed (RB)
• Site with SA (Superfund Alternative) Agreement per Office of Enforcement and
Compliance Assurance (OECA) Policy (SA)
• Government Accountability Office (GAO) Survey (RCED-99-22A) (GA)
• GAO Survey (RCED-99-22B) (GB)
• Military Munitions Response Program (MMRP)(MM)
• Environmental Justice (EJ)
V.A.9 Site Assessment Critical Indicators
Critical Indicators are used in CERCLIS as a way to further describe the action/activity at
the site. Site Assessment critical indicators are entered on the SCAP Information screen. The
critical indicators used by the Site Assessment program are:
• Abbreviated Preliminary Assessment - Available for Preliminary Assessment (PA)
actions.
• Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available
for the following actions:
Preliminary Assessment (PA);
Site Inspection (SI);
- Expanded Site Inspection (ESI);
- HRS Package (HR);
- Integrated ESI/RI (SS); and
- Removal Assessment (RS).
FY12SPIM V-15 March 20,2012
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OSWER Directive 9200.3-14-1G-W
V.A.lOPre-CERCLIS Screening Assessments
Definition:
Pre-CERCLIS screening is the process of reviewing data on a potential site to determine
whether it should be entered into the CERCLIS active site inventory for further
evaluation. The process can be initiated through the use of several mechanisms, such as a
phone call or referral by a state or other federal agency. The information/collection
process is normally limited to one or two days. Minimal sampling can be performed
during the pre-CERCLIS screening action (less than $10,000 sampling costs per screened
site).
A site should not be entered into CERCLIS if:
It is currently in CERCLIS or has been removed from CERCLIS and no new data
warrants re-entry into CERCLIS;
The site or contaminants found on the site are subject to certain limitations based
on definitions in CERCLA;
A state or tribal remediation program is involved in response at the site and it is in
the process of a final cleanup;
The hazardous substance release at the site is regulated under a statutory
exclusion (e.g., petroleum, natural gas, natural gas liquids, synthetic gas usable
for fuel, normal application of fertilizer, release located in a workplace, naturally
occurring, or covered by the Nuclear Regulatory Commission (NRC), or Uranium
Mill Tailings Radiation Control Act (UMTRCA), (see CERCLA section 101(22));
The hazardous substance release at the site is deferred to another authority (e.g.,
RCRA Corrective Action);
Site data are insufficient to determine if CERCLIS entry is warranted (i.e., based
on potentially unreliable sources or with no information to support the presence of
hazardous substances or CERCLA eligible pollutants or contaminants); or
- Documentation clearly demonstrates that there is no potential for a release that
could cause adverse environmental or human health impacts.
For more information on pre-CERCLIS screening please refer to Pre-CERCLIS
Screening Assessments fact sheet (OSWER 9375.2-11FS). This fact sheet provides the
minimum requirements for conducting these types of assessments.
a. Definition of Accomplishment:
Pre-Screening Starts - A pre-screening (Action Name = Pre-CERCLIS Screening) is
started when the region begins collecting data and performing other tasks related to
completion of the Pre-CERCLIS Screening Assessment Checklist; and CERCLIS
contains the actual pre-screening start date (Actual Start) and an action lead of: Fund-
Financed (F); EPA-In House (EP); State-Financed (S); Tribal (TR). Pre-CERCLIS
screening start dates are not required.
Pre-Screening Completions - A pre-screening (Action Name = Pre-CERCLIS Screening)
is completed when:
March 20, 2012 V-16 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Pre-CERCLIS Screening Assessment Checklist has been developed by EPA to
document the decision and placed in the site file. The Pre-CERCLIS Screening
actual completion date is the date the Checklist is finalized; and
CERCLIS contains the actual Pre-CERCLIS Screening completion date (Actual
Complete), a valid lead (Lead), and appropriate values in the NPL and Non-NPL
Status fields.
In addition to the pre-screening action, entry of the following information is required:
Sites that require remedial assessment work, or both remedial assessment and removal
work
A Discovery Date on the Add Site screen, which corresponds to the actual
completion date of the pre-screening action;
- An NPL Status of Not on the NPL on the Add Site screen;
- A Non-NPL Status of PA Start Needed or Integrated Removal Assessment PA
Start Needed on the Site Description/Operable Unit screen.
Sites that require only removal work
- An Initiation Date on the Add Site screen, which corresponds to the actual
completion date of the pre-screening action;
- An NPL Status of Not on the NPL on the Add Site screen;
A Non-NPL Status of Removal Only on the Site Description/Operable Unit
screen.
Sites that require no further evaluation beyond the pre-screening
- An NPL Status of Not a Valid Site or Incident on the Add Site screen;
- A Non-NPL Status of Not a Valid Site or Incident, Not a Valid Site - RCRA
Lead, Not a Valid Site - NRC Lead, Not a Valid Site - State Lead, or Not a Valid
Site - Tribal Lead.
For more information on tracking Pre-CERCLIS Screening activities, please refer to the
March 2002 guidance document entitled Data Entry for Pre-Screening Sites.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
All pre-CERCLIS screening activities should be tracked in CERCLIS, including
activities at sites not found to be CERCLA-eligible. Sites that are screened out of
CERCLIS will be tracked through the Not a Valid Site or Incident values in the NPL and
Non-NPL status field. If the decision is made that the site requires NPL assessment and
potential cleanup under CERCLA authority, it should be added to the CERCLIS
inventory by entering a Discovery Date and valid NPL and Non-NPL Statuses. A
Discovery action or date should not be entered into CERCLIS if the site only needs a
removal assessment/action and no NPL assessment work is necessary. For these sites
with removal-only interest, the Site Initiation Date on the Add Site screen needs to be
entered for these sites to be considered part of the CERCLIS inventory. Sites that are
screened out of the CERCLIS inventory should be entered on the Add Site screen with no
FY12SPIM V-17 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Discovery or Initiation date, and the NPL status Not a Valid Site or Incident. The region
will maintain a record based on a pre-screening action. This is a program measure.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
Activity ;
Action name = Pre-
CERCLIS
Screening (HX)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation
Required
Pre-CERCLIS
Screening Assessment
checklist.
Documentation Approval/Date
Requirements
The date the checklist is final and CERCLIS
contains the Pre-CERCLIS Screening
completion date, lead, and NPL or Non-NPL
status.
b. Referred From RCRA
Definition:
A site is Referred from RCRA when both RCRA and Superfund programs agree that the
site may require additional investigation or cleanup under the Superfund program. Sites
are considered for referral to Superfund from RCRA under a number of scenarios,
including:
- sites with facilities that ceased treating, storing, or disposing of hazardous waste
prior to November 19, 1980 (the effective date of Phase I of the Subtitle C
regulations) and to which the RCRA corrective action or other authorities of
Subtitle C cannot be applied.
- sites at which only materials exempted from the statutory or regulatory definition
of solid waste or hazardous waste are managed
- contamination areas resulting from the activities of RCRA hazardous waste
handlers to which RCRA subtitle C corrective action authorities do not apply,
such as hazardous waste generators or transporters, which are not required to have
Interim Status or a final RCRA permit; and
sites having a low priority or questionable enforcement under RCRA, such as
non-filers or converters.
Further, facilities whose owners have demonstrated an inability to finance corrective
action are referred to Superfund from RCRA.
Appropriate documentation must exist and be signed by both programs that in fact RCRA
has turned the site over to Superfund, and Superfund has accepted the site. All sites
March 20, 2012
V-18
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
referred to Superfund from RCRA must have a Referred from RCRA action and actual
completion date documented in CERCLIS.
Definition of Accomplishment:
A site referred from RCRA is considered complete the date the region received the
paperwork that documents the decision that the site warrants Superfund NPL assessment
and/or potential cleanup attention is entered. The Referred from RCRA date is entered as
the completion (actual completion) at the site. Valid leads for Referred from RCRA
actions include: Fund-Financed (F) and EPA-In House (EP). An action qualifier of
financial should be added for all Referred from RCRA actions where the site is referred
to Superfund due to a failed financial assurance.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Referred from RCRA action. An
action qualifier of financial should be added to the Referred from RCRA action if the site
was referred to Superfund as a result of a failed financial assurance. If the referred site
does not already exist in CERCLIS, the site should be added to CERCLIS with the same
site identification number used by the site in RCRAInfo.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM '
Action/
Activity
Action name
= Referred
from RCRA
OCR1)
• Activity
Type
Program
Measure
;SPIM
Lead
F,EP
Documentation Required
Documentation of the site referral
from RCRA and that the Superfund
accepts the site warrants Superfund
NPL assessment and potential
cleanup attention.
Documentation Approval/Date
Requirements
The date the documentation of the
referral from RCRA is received from the
regional official and CERCLIS contains
the Referred from RCRA actual
completion date and lead.
c. Site Discovery
Definition:
Site discovery is the process by which a potential hazardous waste site is entered into the
CERCLIS inventory for NPL assessment activities. All sites moving through the NPL
assessment process must have a Discovery action and actual completion date documented
in CERCLIS. Entry of the site discovery date initiates the NPL assessment process and
places the site on the Preliminary Assessment backlog.
FY 12 SPIM
V-19
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
Site discovery of non-Federal Facilities is the date the region completes the pre-
CERCLIS screening activities, and documents the decision that the site warrants
Superfund NPL assessment and potential cleanup attention. The site discovery date for
Federal Facilities is the date the site is formally added to the Federal Facilities Hazardous
Waste Compliance Docket indicating Superfund involvement is required. The Site Name
and Discovery Date must be entered into CERCLIS for both federal and non-federal sites.
Valid leads for site discovery actions include: Fund-Financed (F); EPA-In House (EP);
State (S), Tribal (TR); and Federal Facility (FF).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Discovery action. The Discovery
date is entered through the Add Site screen. The Discovery date will automatically
populate the actual completion date for the Discovery action. Regions are now required to
enter information on site type at the time of discovery on the Add Site or Site
Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is
a program measure.
Note: A separate field has been added to CERCLIS to record site initiation dates for
removal-only sites. A Discovery action or date should not be entered into CERCLIS if
the site only needs a removal assessment/action and no NPL assessment work is
necessary. For these sites with removal-only interest, the Site Initiation Date on the Add
Site screen needs to be entered for these sites to be considered part of the CERCLIS
inventory. The discovery date for sites referred from removal to assessment should be the
date the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered by prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
' -SPIM
Action/
•' Activity
Action name
= Discovery
(DS)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR,
FF
Documentation Required
Documentation of the decision
that the site warrants Superfund
NPL assessment and potential
cleanup attention.
Documentation Approval/Date
Requirements
The Discovery date is entered through the
Add Site screen. The Discovery date will
automatically populate the actual
completion date for the Discovery action.
March 20, 2012
V-20
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
d. Sites Archived
Archiving represents a site-wide decision that no further interest exists at the site under
the federal Superfund program based on available information. It is a comprehensive
decision indicating there are no further Superfund site assessment, remedial, removal,
enforcement, cost recovery, or oversight activities being planned or conducted at the site.
Regions may perform re-evaluation work at a site while it is archived if site conditions
change and/or new information becomes available. Sites re-evaluated and determined to
need substantial site characterization and/or cleanup work under the federal Superfund
program must be returned to the CERCLIS inventory. Regions may also record general
enforcement related activities (e.g. issuance of comfort letter or prospective purchaser
agreements) at archived sites. For more information on archiving sites in CERCLIS
please refer to EPA's Refining CERCLIS website at:
Backlogs: The Archive site backlog consists of the potential archive candidate sites
described below.
An archive decision is recorded in CERCLIS at the site level. To receive credit for an
archive decision, the Archive Indicator (Archive IND) must be checked, and the Archive
Date entered on the Site Status and Description/Operable Units screen. A note must be
prepared and placed in the site file explaining that no further federal Superfund interest
exists at the site based on available information. Since archiving is a comprehensive
decision, the note must represent the interests of the appropriate regional business units
(e.g., site assessment, removal, etc.), including the regional RCRA program for archive
designations based on site deferral to RCRA. Regions should also consult with state
and/or tribal partners prior to making an archive designation to ensure any issues related
to archiving are considered and handled appropriately. The date of the note is the Archive
Date and entering this date automatically generates the Archive Indicator in CERCLIS.
Although the underlying basis for archiving a CERCLIS site is whether or not federal
Superfund interest exists, several categories of sites are used to generate lists of potential
archive candidate sites. Based on review of sites in these categories, regions should
update the Archive IND and Archive Date field as appropriate in a timely fashion. These
categories are:
Sites that have completed only the site assessment process and have been given
either a 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;
FY12SPIM V-21 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Sites removed from the proposed NPL or final NPL (e.g., as a result of a lawsuit)
that have no further federal Superfund activity anticipated;
- Child sites addressed as part of a parent non-NPL site that has been properly
archived;
Sites that have been entered into the CERCLIS inventory via entry of a site
discovery and/or site initiation date which have not had any work started and,
based on review, do not warrant any type of additional Superfund activity. An
abbreviated preliminary assessment (PA) should be completed for these sites prior
to designating archive status;
Sites that have completed Other Cleanup Activities by a non-EPA party and have
no other federal Superfund activity anticipated.
As appropriate, sites can be returned to the CERCLIS inventory by deleting the date in
the Archive Date field. The Archive Indicator will automatically be deleted. A note
explaining why the site was returned to the CERCLIS inventory must be prepared and
placed in the site file.
The Archive Indicator field in CERCLIS is used as a filter on Superfund reports and data
sets to delineate whether a site is still in, or has been removed from, the CERCLIS
inventory. Planning dates for archiving sites are not available. It is important to note that
an archive decision is not the same as a NFRAP decision. A NFRAP decision is recorded
as an Action Qualifier, is made only at the conclusion of a site assessment action, and
does not take into account any other Superfund programmatic activity that may be going
on at a site such as removals or cost recovery. Archived site is a program measure for
both non-Federal and Federal Facilities.
The CERCLIS application will prevent adding certain assessment, removal, remedial,
and enforcement actions at archived sites. The CERCLIS-Archive Quick Reference
Guide lists the prohibited actions. Prohibited actions can be added to a site by either: 1)
returning the site to CERCLIS (e.g., substantial site characterization and/or cleanup is
needed); or 2) requesting a database revision through HQ (e.g., entry of historical data).
The restriction will not prevent users from entering action-related data such as
start/completion dates, leads, qualifiers, etc., at existing actions. CERCLIS will also
prevent the archival of NPL sites (Proposed, Final, and Deleted) and sites having a start
and no completion date at an archive-prohibited action.
Archive designations should be made in a timely fashion to accurately portray the status
of sites to all users of Superfund Program information. The site assessment program area
within the CERCLIS reports module contains reports to help EPA regions maintain the
integrity of archived data. The Potential Archive Site Inventory Report lists sites that may
be eligible for archival. The Archived-To-Be-Reviewed Site Inventory Report lists sites
that may warrant data corrections/updates or return to the active CERCLIS site inventory.
The CERCLIS application now captures archive designations by automatically
generating an archive action and completion date when the Archive Date field is
populated. In addition, a site unarchived action and completion date is generated when
the archive date or indicator is deselected (i.e., a decision is made to unarchive a site).
March 20, 2012 V-22 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Multiple Archive Site/Site Unarchived actions may be created at a site if the archive
indicator is selected, deselected, and then selected again. Each time the archive indicator
is selected/deselected at a site, a new Archive Site or Site Unarchived action will be
created.
The archive status of a child site should match the archive status of its parent site.
e. Preliminary Assessments (PA) at Non-Federal Facility Sites
Definition:
A Preliminary Assessment (Action Name = Preliminary Assessment) is often the first
phase of the NPL assessment process following site discovery. The PA is used to
determine what steps, if any, need to occur next at the site. Federal, state, and local
government files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. An on- or off-site reconnaissance also may be
conducted, although it is not required. 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 Preliminary Assessment (PA). The October, 1999
Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides
information on conducting APAs and includes a checklist to help site assessors determine
whether an APA report is appropriate for a given site. The checklist or an equivalent
document can serve as documentation that the APA was completed. The APA checklist
or equivalent report must address the requirements set forth in the National Contingency
Plan (NCP) for conducting remedial preliminary assessments.
Once a site has been entered into the CERCLIS site inventory for remedial assessment,
an APA may be performed if the site/release:
- is regulated under a statutory exclusion (e.g., petroleum);
- is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substances in its unaltered form);
- can be addressed as part of another site already in CERCLIS;
- will be deferred to another program (e.g., RCRA, NRC, EPA removal) based on
existing policy considerations (follow-up confirmation of the deferral is required);
- requires no further remedial assessment; or
- will require a Superfund site inspection.
Backlogs: The Preliminary Assessment backlog consists of sites with a Non-NPL Status
of either PA start needed or PA ongoing.
FY12SPIM V-23 March 20,2012
-------
OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
PA Starts - A PA (Action Name = Preliminary Assessment) is started when the region
begins collecting data and performing other tasks related to development of the PA
report; or when the region signs a letter, form, memo, or issues a Technical Direction
Document (TDD) to the EPA contractor or state/tribal government (where applicable),
requesting performance of a PA at a specific site or group of sites; or when EPA receives
written confirmation from a state/tribal government that the state/tribal government will
conduct the PA; and CERCLIS contains the actual PA start date (Actual Start) and an
action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR). PA start
dates are required and are used by HQ as a program measure.
APA Starts - An Abbreviated PA is started when the region begins collecting data and
performing other tasks related to development of the PA report; or when the region signs
a letter, form, memo, or issues a Technical Direction Document (TDD) to the EPA
contractor or state/tribal government (where applicable), requesting performance of a PA
at a specific site or group of sites; or when EPA receives written confirmation from a
state/tribal government that the state/tribal government will conduct the PA.
PA Completions - A Preliminary Assessment (Action Name = Preliminary Assessment) is
completed when:
A PA Report has been developed by EPA; or received by the region from the
federal contractor or state/tribal government; and the appropriate regional official
signs a letter, form, or memo approving the PA report. The PA actual completion
date is the date the PA report is approved; and
CERCLIS contains the actual PA completion date (Actual Complete), a valid lead
(Lead), and a decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the PA. Please refer
to Exhibit V.3 for a list of valid qualifiers for this action and a description of each
qualifier.
APA Completions - An Abbreviated Preliminary Assessment is completed when an APA
checklist or equivalent report has been completed by EPA; or received by the region from
the federal contractor or state/tribal government; and the appropriate regional official
signs a letter, form, or memo approving the APA report. The APA actual completion date
is the date the APA report is approved. APA reports are tracked in CERCLIS by entering
a PA action and selecting APA as a critical indicator on the PA action SCAP Information
screen.
Changes in Definition:
None.
March 20, 2012 V-24 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
Regions should attempt to complete PAs at non-Federal Facility sites listed in CERCLIS
within one year of the site discovery completion date.
Integrated removal assessment and remedial preliminary assessment reports are tracked
in CERCLIS be entering a PA action and selecting INTEGRATED RV/RMDL as a
critical indicator on the PA action SCAP Information screen. APA reports are tracked in
CERCLIS by entering a PA action and selecting APA as a critical indicator on the PA
action SCAP Information screen. PA starts and completions (Actual Start and Complete)
are reported site-specifically in CERCLIS. Preliminary Assessment completions at non-
Federal Facility sites is a program measure.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
' Activity
Action Name =
Preliminary
Assessment (PA)
Preliminary
Assessment (PA)
Activity
Type
Program
Measure
Program
Measure
SPIM
Lead
F,EP,
S, TR
F,EP,
S, TR
Documentation Required
Starts:
Letter, form, memo;
Technical Direction Document (TDD);
Written confirmation from a state/tribal
government that the state/tribal
government will conduct the PA.
Completions:
PA report;
Letter, form, or memo approving the PA
report;
Site decision Form 9100-3 in CERCLIS or
equivalent document.
Documentation
Approval/Date
Requirements
Starts:
Signed by region.
Date TDD is issued.
Date EPA receives
confirmation.
Completions:
Signed by the appropriate
regional official.
f. Federal Facility Preliminary Assessment Reviews
Please refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a
description of this activity.
g. Site Inspections (SI) at Non-Federal Facility Sites
Definition:
The SI (Action Name = Site Inspection) involves the collection of field data from a
suspected hazardous waste site to confirm or deny the presence of contamination and to
FY 12 SPIM
V-25
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
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.
Backlogs: The Site Inspection backlog consists of sites with a Non-NPL Status of either
SI start needed or SI ongoing.
Definition of Accomplishment:
SI Starts - A SI (Action Name = Site Inspection) start date at a non-Federal Facility site is
defined as the date when EPA or the state/tribal government signs a letter, memo or form
approving the site-specific SI work plan, or a Technical Direction Document (TDD) is
issued to the contractor at a site (refer to OSWER Publication #9345.1-03FS for further
guidance on defining SI starts) and CERCLIS contains the actual SI start date (Actual
Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal
(TR). SI start dates are required.
,57 Completions - A SI (Action Name = Site Inspection) is completed when:
- A SI Report has been generated by EPA; or received by the region from the
federal contractor or state/tribal government; and the appropriate regional official
signs a letter, form, or memo approving the SI report. The SI actual completion
date is the date the SI report is approved; and
CERCLIS contains the actual SI completion date (Actual Complete), a valid lead
(Lead), and a decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the SI. Please refer to
Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for Sis. Actual start and completion dates are required for
Sis. SI starts (Actual Start) and completions (Actual Complete) are reported site-
specifically in CERCLIS. Site Inspection starts and completions at non-Federal Facility
sites are program measures.
March 20, 2012 V-26 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Integrated removal assessment and remedial site inspection reports are tracked in
CERCLIS by entering a SI action and selecting INTEGRATED RV/RMDL as a critical
indicator on the SI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
' Activity
Action Name =
(SI)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
C TT?
Documentation Required
*
Start:
Letter, memo, or form approving the site-specific
SI work plan,
Technical Direction Document (TDD).
Completion:
SI Report and signed letter, form, or memo
approving the SI report. Site Decision Form
9100-3 in CERCLIS or an equivalent document.
Documentation
Approval/Date
Requirements
Start:
Signed by EPA or the
state/tribal government.
Issued to contractor.
Completion:
Signed by appropriate
regional official.
h. Site Reassessment
Definition:
A Site Reassessment represents the gathering and evaluation of new information on a site
previously assessed under the federal Superfund Program to determine whether further
Superfund attention is needed. A Site Reassessment serves as a supplement to previous
assessment work, and not as a replacement for traditional assessment activities (e.g.,
Preliminary Assessment, Site Inspection). The scope of work for a Site Reassessment
activity is flexible, but will usually represent a component of a traditional site assessment
action. The intent of the Site Reassessment action is to document the expenditure of
Superfund resources on older sites where EPA has received new information or learned
that site conditions have changed. This action is also used to record further assessment
decisions made after reviewing this new site information. A brief summary of work
performed as part of the Site Reassessment action and the related site decision as a result
of this work must be documented by completing the Site Decision Form 9100-3 in
CERCLIS, or an equivalent document. Correction of site disposition decisions (i.e.,
action qualifiers) based solely on file reviews should be documented using the historical
lockout feature in CERCLIS and not as a new Site Reassessment action.
FY 12 SPIM
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March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
Site Reassessment Starts - A Site Reassessment (Action Name = Site Reassessment) start
is defined as the date when EPA or state/tribal government signs a letter, memo or form
approving the site-specific Site Reassessment work plan or a TDD is issued to the
contractor at a site and CERCLIS contains the actual Site Reassessment start date (Actual
Start) and an action lead (Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or
Tribal (TR).
Site Reassessments Completions - A Site Reassessment (Action Name = Site
Reassessment) is complete when:
A Site Reassessment report has been developed by EPA, or received by the region
from the federal contractor, or the state/tribal government, and the appropriate
regional official signs a letter, form, or memo approving the Site Reassessment
report. The Site Reassessment actual completion date is the date the Site
Reassessment report is approved, and
CERCLIS contains the actual Site Reassessment completion date (Actual
Complete), a valid lead (Lead), and a valid decision on whether further activities
are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the Site
Reassessment. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a
description of each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for Site Reassessment. Actual start and completion dates
are required for Site Reassessment. Site Reassessment starts (Actual Start) and
completions (Actual Complete) are reported site-specifically in CERCLIS. Site
Reassessment starts and completions are program measures for non-Federal Facilities.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
March 20, 2012 V-28 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
SPIM Action/
Activity
Action Name = Site
Reassessment (OO)
• Activity
Type
Program
Measure
SPIM •
Lead
F,EP,
S, TR
Documentation Required
Start:
Letter, memo, or form approving the
site-specific work plan or a TDD is
issued.
Completion:
Site Reassessment report;
Letter, form, or memo approving the
report;
Site Decision Form 9100-03, or an
equivalent document.
Documentation Approval/
Date Requirements
Start:
Signed by the EPA or
state/tribal government.
Completion:
Signed by appropriate
regional official.
i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites
Definition:
The ESI (Action Name = Expanded Site Inspection) collects additional data beyond that
collected in the SI to evaluate the site for HRS scoring. ESIs are reserved for more
complex sites that cannot be adequately characterized using standard SI methodologies.
Installation of groundwater monitoring wells is typical of activities performed under the
ESI.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and expanded site
inspection combines requirements of a both types of assessments into a single report.
Regions should employ FAS techniques wherever practical during ESI activities.
Backlogs: The Expanded Site Inspection backlog consists of sites where the Non-NPL
Status is either ESI start needed or ESI ongoing.
Definition of Accomplishment:
ESI Starts - An ESI (Action Name = Expanded Site Inspection) start is defined as the date
when EPA or state/tribal government signs a letter, memo or form approving the site
specific ESI work plan or a Technical Direction Document is issued to the contractor at a
site and CERCLIS contains the actual ESI start date (Actual Start) and an action lead
(Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR).
ESI Completions - An ESI (Action Name = Expanded Site Inspection) is complete when:
An ESI Report has been developed by EPA; or received by the region from the
federal contractor; or the state/tribal government; and the appropriate regional
official signs a letter, form, or memo approving the ESI report. The ESI actual
completion date is the date the ESI report is approved; and
- CERCLIS contains the actual ESI completion date (Actual Complete), a valid
lead (Lead), and a valid decision on whether further activities are necessary in the
Qualifier field; and
FY 12 SPIM
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March 20, 2012
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OSWER Directive 9200.3-14-1G-W
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the ESI. Please refer
to Exhibit V.3 for a list of valid qualifiers for this action and a description of each
qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planning dates are not required for ESIs. Actual start and completion dates are required
for ESIs. ESI starts (Actual Start) and completions (Actual Complete) are reported site-
specifically in CERCLIS. ESI starts and completions are program measures for non-
Federal Facilities.
Integrated removal assessment and expanded site inspection reports are tracked in
CERCLIS by entering an ESI action and selecting INTEGRATED RV/RMDL as a
critical indicator on the ESI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/Activity
Action Name = Expanded
Site Inspection (ES)
Activity
Type
Program
Measure
SPIM
Lead
F,EP,
S, TR
Documentation Required
Start:
Letter, memo, or form approving
the site specific work plan or
TDD.
Completion:
ESI report;
Letter, form, or memo approving
the ESI report;
Site Decision Form 9100-3 in
CERCLIS or an equivalent
document.
Documentation Approval/
Date Requirements
Start:
Signed by the EPA or
state/tribal government.
Issued to the contractor at a
site.
Completion:
Signed by appropriate
regional official.
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
j. Federal Facility SI Reviews
Please refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a
description of this activity
k. Federal Facility ESI Reviews
Please refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a
description of this activity.
1. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-
Federal Facility Sites
Definition:
The integrated ESI/RI (Action Name = ESI/RI) is an assessment consisting of an ESI and
a RI. The ESI/RI is used to expedite remedial response by gathering site characterization
data common to both ESI and RI activities in one step, thereby expediting the later
collection of data when comprehensive RI activities are performed. The goal of ESI/RIs
is to save time and costs characterizing sites when compared to the traditional, sequential
ESI-NPL Listing-RI process. ESI/RIs facilitate but do not replace RIs, and are
recommended at sites where conditions indicate that the HRS score will be above 28.5
and a remedial response will be needed. The RI portion of an ESI/RI is intended to be a
site-wide activity. ESI/RIs actions should be entered into CERCLIS at operable unit 00.
ESI/RIs may not always be feasible given known site conditions and activities completed
to date. In some cases, it may be more prudent to conduct a separate ESI and RI. The
definitions for Remedial Investigation/Feasibility Study (RI/FS) Completion and RI
Completion (see definitions in Chapter VII) are different from the definition for ESI/RI
Completion. The definition of an ESI/RI Completion is the same as that of an ESI
Completion. If an ESI/RI action is recorded in CERCLIS, a stand-alone ESI event
(Action Name = Expanded Site Inspection) should not be recorded at that site.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and integrated ESI/RI
combines requirements of a both types of assessments into a single report.
Backlogs: The ESI/RI backlog consists of sites with a Non-NPL Status of either
Integrated ESI/RI start needed or Integrated ESI/RI ongoing.
Definition of Accomplishment:
ESI/RI Starts - ESI/RI (Action Name = ESI/RI) start date is defined as the date when
EPA approves the site-specific ESI/RI work plan and CERCLIS contains the actual
ESI/RI start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House
(EP); State (S); or Tribal (TR).
ESI/RI Completions - An ESI/RI (Action Name =ESI/RI) is complete when:
- An ESI/RI Report has been reviewed and accepted by the region and the
appropriate regional official signs a letter, form, or memo approving the ESI/RI
FY 12 SPIM V-31 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
report. The ESI/RI actual completion date is the date the ESI/RI report is
approved; and
- The following has been recorded in CERCLIS: the actual ESI/RI completion date
(Actual Complete); a valid lead (Lead); and a decision on whether further
activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of the ESI/RI. Please
refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each
qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for ESI/RIs. Actual start and
completion dates are required for ESI/RIs. ESI actions (Action Name = Expanded Site
Inspection) should not be recorded separately in CERCLIS if they are conducted as part
of an ESI/RI. ESI/RI starts and completions at non-Federal Facility sites are program
measures.
An integrated removal assessment and ESI/RI report is tracked in CERCLIS by entering
an ESI/RI action and selecting INTEGRATED RV/RMDL as a critical indicator on the
ESI/RI action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered by prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
' Activity
ESI/RI • SS
.- Activity
Type
Measure
SPIM'
Lead
F FP S
TR
Documentation Required
Start:
Site-specific ESI/RI work plan.
Completion:
Letter, form, or memo approving
the ESI/RI report;
Site Decision Form 9100-3, or an
equivalent document.
Documentation Approval/
Date Requirements
Start:
Approved by EPA.
Completion:
Signed by appropriate regional
official.
March 20, 2012
V-32
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
m. State Deferral of Non-Federal Facility Sites
Definition:
State Deferral (Action Name = State Deferral) is an administrative mechanism enabling
states and tribes, under their own laws, to respond at sites in the CERCLIS inventory that
EPA would otherwise not soon address. Under the State Deferral program, EPA
anticipates that responses may be quick and efficient, yet still be protective of the
environment and of communities' rights to participate in the decision-making process.
Refer to the guidance on Deferral ofNPL Listing Determinations While States Oversee
Response Actions (OSWER Directive 9375.6-11, May 1995) for additional information on
this program.
Backlogs: The State Deferral backlog consists of CERCLIS sites with a Non-NPL Status
of Deferral of NPL listing decision while states oversee response.
Definition of Accomplishment:
State Deferral Starts - The state deferral (Action Name = State Deferral) process start is
defined as the date when the regional Superfund program director and the state program
director sign a document deferring the site to the state under the terms established in the
deferral guidance. A State Deferral action must be recorded in CERCLIS with an action
lead (Lead) of State Deferral (SD). State deferrals are applicable only to non-Federal
Facility sites that are not on the NPL.
State Deferral Completions The state deferral (Action Name = State Deferral) completion
date is defined as either: 1) the signature date of a formal regional document confirming
that the deferral has been completed successfully, or terminating the deferral agreement;
or 2) 90 days after the date EPA receives state certification that the deferral has been
completed. The outcome (Qualifier) of the state deferral must be entered with the
completion date.
Valid decisions (Qualifiers) must be recorded in CERCLIS upon completion of the state
deferral. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a
description of each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Six SubActions can be entered for the State Deferral action to generically capture the
different cleanup phases a site may be undergoing. These SubActions include:
1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site
Investigation)
2. Remedy Selection (SubAction Name = Remedy Selection);
3. Design (SubAction Name = Design);
4. Construction (SubAction Name = Construction);
FY12SPIM V-33 March 20,2012
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OSWER Directive 9200.3-14-1G-W
5. Post-Construction Maintenance (SubAction Name = Post Construction
Maintenance); and
6. Short Term Cleanup (SubAction Name = Short Term Cleanup)
SubAction start and completion dates and SubAction lead codes are available for
documenting the start and completion of the different cleanup phases being conducted at
non-NPL sites by non-EPA parties.
Planned start and completion dates are not required for State Deferral actions. Actual start
and completion dates are required. Sites successfully completing the deferral process are
eligible for archiving (removal) from the CERCLIS inventory. State deferral starts and
completions are program measures.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
• Activity,
Action Name —
State Deferral
(AQ)
. Activity
Type
Program
Measure
SPIM
Lead
SD
Documentation Required
Start:
Document deferring the site to the state.
Completion:
Formal regional document confirming that
the deferral has been completed successfully,
or terminating the deferral agreement; or
state certification that the deferral has been
completed.
Documentation Approval/
Date Requirements
Start:
Signed by regional Superfund
program director and state
program director.
Completion:
Signature
Received by EPA.
n. Hazard Ranking System Package (HRS)
Definition:
The HRS Package (Action Name = HRS Package) documents a numeric score of the
relative severity of a hazardous substance release or potential release based on: 1) the
relative potential of substances to cause hazardous situations; 2) the likelihood and rate at
which the substances may affect human and environmental receptors; and 3) the severity
and magnitude of potential effects. The HRS Package also includes references and
documentation in support of the score. The score is computed using the revised Hazard
Ranking System (HRS). Regions are responsible for preparing HRS packages for both
Federal and non-Federal Facility sites. Regions submit a draft version of the HRS
March 20, 2012
V-34
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
package to HQ for quality assurance review. Regions and HQ work together to address
issues and agree on a final version of the HRS package. Based on results of the
completed HRS package and other factors, regions determine what next steps, if any, are
appropriate for a site (e.g., NPL listing, NFRAP, etc.)
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where
warranted by site conditions. An integrated removal assessment and HRS Package
combines requirements of both types of assessments into a single report.
Backlogs: The HRS backlog consists of sites having Non-NPL Status of either HRS start
needed or HRS ongoing.
Definition of Accomplishment:
HRS Package Starts - An HRS Package (Action Name = HRS Package) start is defined
as the date when EPA signs a memo, form, or letter requesting development of a HRS
Package for a specific site and CERCLIS contains the actual HRS Package start date
(Actual Start) and a valid action lead of Fund-Financed (F); EPA-In House (EP); State
(S); or Tribal (TR). HRS Package start dates are required for both Federal and non-
Federal Facility sites, and are used to identify the status of sites in the site assessment
pipeline and to measure activity durations. Due to the pre-decisional nature of HRS
packages, regions may postpone entry of HRS start dates until after the HRS package has
gone through HQ quality assurance review or after the site has been proposed to the NPL.
HRS Package Completions - An HRS Package (Action Name = HRS Package) is
complete when:
- An HRS Package has completed HQ quality assurance review and HQ and the
region agree to a final version, or an HRS package has completed regional quality
control review and the HRS package will not be submitted to HQ for quality
assurance review; and
The following has been recorded in CERCLIS: the approval date for the final
version of the HQ QA reviewed (if submitted to HQ) or regional QC reviewed (if
not submitted to HQ) HRS Package date or the NPL Proposal publication date as
the actual HRS Package completion date (Actual Complete), a lead (Lead), and a
decision on whether further activities are necessary in the Qualifier field. Since
HRS packages are pre-decisional, entry of HRS Package completion dates in
CERCLIS may be delayed until after the site is proposed to the NPL, if
applicable; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
Note: Submission of HRS Packages to HQfor technical assistance does not represent an HRS Package
completion.
FY12SPIM V-35 March 20,2012
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OSWER Directive 9200.3-14-1G-W
A valid decision must be recorded in CERCLIS upon completion of the HRS Package.
Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of
each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planned start and completion dates are not required for HRS Packages. Actual start and
completion dates are required for HRS Packages. HRS Package starts and completions at
both Federal and non-Federal Facilities are program measures.
Integrated removal assessment and HRS Package reports are tracked in CERCLIS by
entering an HRS Package action and selecting INTEGRATED RV/RMDL as a critical
indicator on the HRS Package action SCAP Information screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the site is proposed to the NPL. (Generally, the quarterly pull occurs on
the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth
business day following the end of FYQ4.)
SPIM Action/ '
Activity
Action Name =
WKo racKage
(HR)
Activity
Type
Program
Measure
:'SPIM '
Lead
F,EP,
S, TR
Documentation Required
-
Start:
Letter, form, or memo requesting site
specific development of a HRS Package.
Completion:
Site Decision Form 9100-3, or an
equivalent document.
Documentation Approval/
Date Requirements
Start:
EPA signature.
Completion:
Signed by appropriate
regional official.
o. NPL Listing
Definition:
The NPL is a list of national priorities among the known or threatened releases of
hazardous substances, pollutants, or contaminants throughout the United States and trust
territories. There are three mechanisms for placing sites on the NPL for possible remedial
action:
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
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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
* EPA determines that the release poses a significant threat to public health; and
» EPA anticipates that it will be more cost-effective to use its remedial authority
than to use its removal authority to respond to the release.
Backlogs: In general, the backlog for proposing sites to the NPL consists of sites having a
Non-NPL Status of HRS Package Completed - Further Evaluation Needed.
Definition of Accomplishment:
Proposed NPL Listing - The process of proposing a site for placement on the NPL is
complete (Actual Complete date) when a Proposed Rule proposing the site to the NPL
(Action Name = Proposal to NPL) is published in the Federal Register.
Removal of Proposed NPL Listing - The process of removing a site from the list of
proposed NPL sites starts (Actual Start date) when a proposal to remove the site is
published in the Federal Register and is complete (Actual Complete date) when final
notice of the removal is published in the Federal Register (Action Name = Removed
from the Proposed NPL).
Final NPL Listing - The listing process for a site is complete (Actual Complete date)
when a Final Rule adding the site to the NPL (Action Name = Final Listing on NPL) is
published in the Federal Register.
Withdrawn from the Final NPL - The process of withdrawing a site is complete (Actual
Complete date) when a Final Rule withdrawing the site (Action Name - Withdrawn from
the NPL) is published in the Federal Register.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
HQ will update the following CERCLIS data when Proposed and/or Final NPL rules are
published in the Federal Register,
- CERCLIS Site Name;
- Federal Register Site Name (for historical record keeping purposes should the
CERCLIS site name change);
NPL listing action (Proposal to NPL, Removed from Proposed NPL, Final Listing
on NPL, and Withdrawn from the NPL;
FY12SPIM V-37 March 20,2012
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OSWER Directive 9200.3-14-1G-W
- NPL listing action actual completion date and action lead of Fund-financed (F);
- The NPL Status of Proposed for NPL (P), Removed from list of proposed NPL
sites (R), Currently on Final NPL (F), and Withdrawn from NPL (W);
- Federal Docket Management System (FDMS) number, if not already assigned;
- The FAD Date will be added to the site and any associated child sites using the
date of NPL proposal (this automatically checks the FAD box);
- The 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, volume, and page; and
- The Federal Facility status.
NOTE: Further information on Deletion and Partial Deletion from the NPL can be found in Chapter
VII of this Manual. NPL Listing is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/Activity
Activity
Type
SPIM
Lead
Documentation Required
Documentation Approval/
Date Requirements
Action name = Proposal to
NPL(NP)
Proposed Rule proposing the
site to the NPL.
Removed from the
Proposed NPL (MR)
Program
Measure
Start:
Proposal to remove the site.
Complete:
Final notice of the removal.
Published in the Federal
Register.
Final Listing on the NPL
(NF)
Final Rule adding the site to
the NPL.
Withdrawn from the NPL
(TW)
Final Rule withdrawing the
site.
p. Other Cleanup Activity (OCA)
Definition:
This action 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
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
party. However, EPA may gather information about activities at an 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 the Superfund site
assessment process and are considered to be NPL-caliber (i.e., existing information
indicates the site would 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.
Definition of Accomplishment:
OCA Starts - An OCA (Action Name = 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.
Valid leads for Other Cleanup Activity are: Potentially Responsible Party (PRP) Lead
Under State (SR), No Fund Money (SN), Tribal (TR), and Federal Facility (FF).
OCA Completions - An OCA (Action Name = Other Cleanup Activity) completion date
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); or 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). The date the documentation is received or
determination is made is entered into CERCLIS as the actual completion date of the
OCA.
The decision is documented by completing the Site Decision Form 9100-3 in CERCLIS,
or an equivalent document. The decision document must be printed, signed by the
appropriate regional official, and placed in the site file.
Valid decisions to be recorded in CERCLIS upon completion of the OCA include:
For sites that require further remedial site assessment:
(H) - High - Higher priority for further assessment; or
(L) - Low - Lower priority for further assessment; or
- (F) - Referred to the removal program with further remedial assessment needed;
FY12SPIM V-39 March 20,2012
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OSWER Directive 9200.3-14-1G-W
For sites that do not require further remedial site assessment:
- (N) - No further remedial action planned; or
- (D) - Deferred to RCRA (Subtitle C); or
- (DN) - Deferred to NRC; or
- (A) - Site is being addressed as part of an NPL site. A site having an event
qualifier of Collapsed should have an NPL Status indicator (Site NPL Status) of A
and a valid value in the Site Parent ID field; or
(B) - Addressed as part of another non-NPL site; or
(W) - Referred to the removal program with no further remedial assessment
needed.
Changes in Definition:
None.
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. 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.
OCA action start and completion 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 completion date exists); and
• State Remedial Study/Cleanup Completed - (value calculated when OCA start and
completion dates exist).
For existing OCA actions that do not meet the current SPIM definition, an Action
Anomaly Code shall be recorded at the OCA action as follows:
• Other Start Anomaly (OS) - use if only a start date has been recorded; or
Other Start and Completion Anomaly (OA) - use if both a start and completion
date have been recorded.
The following six Sub Actions can be entered under the Other Cleanup Activity Action to
generically capture the different cleanup phases a site may be undergoing.
1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site
Investigation)
2. Remedy Selection (SubAction Name = Remedy Selection);
3. Design (SubAction Name = Design);
March 20, 2012 V-40 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
4. Construction (SubAction Name = Construction);
5. Post-Construction Maintenance (SubAction Name = Post Construction
Maintenance); and
6. Short Term Cleanup (SubAction Name = Short Term Cleanup).
SubAction start and completion dates and SubAction lead codes are available for
documenting the start and completion of the different cleanup phases being conducted at
non-NPL sites by non-EPA parties.
The following action qualifiers are available for these Sub Actions:
- (H) - High - Higher priority; and
- (L) - Low - Lower priority; and
(Blank) - No qualifier specified.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of FYQ4.)
SPIM Action/
' • Activity -.
Action name -
Other Cleanup
Activity (VA)
Activity,
' Type ' •
Program
Measure
SPIM
Lead
SR, SN,
TO, FF,
Documentation Required
Start:
Documentation between
EPA and the non-EPA party
leading the cleanup.
Documentation Approval/Date
Requirements
Start:
EPA refers the site to a state, tribal, or
federal environmental cleanup program or
acknowledges the site is being cleaned up by
a non-EPA party.
Completion:
Date EPA receives information that
remedial-type work has been or will not be
completed.
V.A. 11 Tribal Inventory Information
a. Native American Interest
The Native American Interest checkbox is available on the Add Site screen and Site
Status and Description/Operable Units screen. 'Yes' should be selected from the drop
down for all tribal sites and indicates that the site is or may be of interest to one or more
Native American entities whose members or land is directly affected by the release.
b. Associating Site to an American Indian Tribe/Alaskan Native Entity
The Select/Associate Tribe screen in CERCLIS is used to identify the specific Indian
entity (e.g., American Indian tribe or Alaskan native corporation) associated with the site.
FY 12 SPIM
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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 CERCLIS, when an
activity occurs at the site where the Indian entity is the lead or signs an agreement, or at
any other time that an Indian entity shows interest in the activities at the site.
On Tribal Property
The On Tribal Property field is used on the Select/Associate Tribe screen to indicate
whether the release is on the tribe's property. This includes Indian country and any other
land owned by an American Indian tribe or an Alaskan native Corporation.
Tribal Action Lead Codes
There are two tribal lead codes available for actions on the project schedule: Tribal Lead,
Fund Financed (TR) and Special Account Financed Action - Tribal Govt. Action leads
are defined on the Project Schedule screen and are specific to an action on the schedule.
March 20, 2012 V-42 FY 12 SPIM
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Superfund Program Implementation Manual FY 12
Chapter VI: Removal Program
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Chapter VI: Removal Program
Table of Contents
VI.A Protect Human Health and the Environment VI-1
VI.A.l Removal Actions VI-1
VI.A.2 Removal Initiation VI-1
VI.A.3 Overview of Removal Actions Target and Measures VI-1
a. Removal Starts VI-2
b. Removal Completions VI-4
List of Exhibits
Exhibit VI. 1. Removal Program Activities VI-1
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CHAPTER VI: REMOVAL PROGRAM
VIA PROTECT HUMAN HEALTH AND THE ENVIRONMENT
Protection of human health and the environment remains the highest priority for the
Superfund Program. EPA will continue to address the worst sites first while balancing the need
to complete response actions at sites. The Agency will ensure that available resources are
disbursed in a fiscally sound manner. Maximizing Potentially Responsible Party (PRP)
involvement remains a high priority.
VI.A.1 Removal Actions
The goal of EPA's emergency response and removal program is to provide quick
response to immediate threats to public health and the environment from releases of hazardous
substances, pollutants or contaminants whenever and wherever they occur.
VI.A.2 Removal Initiation
Removal Initiation is the process by which a potential hazardous waste site is entered into
the Comprehensive Environmental Response, Compensation and Information System
(CERCLIS) inventory for Removal response activities. All sites considered removal only sites
should have a Removal Initiation flag and date documented in CERCLIS. Entry of the site
removal initiation date initiates the removal process and distinguishes it from the National
Priority List (NPL) assessment process. The removal initiation flag and date should be added
when a site is entered in CERCLIS. If the site needs to go through the NPL assessment process,
then it requires a Site Discovery action and date (see Chapter V, titled Site Assessment/NPL
Listing for further information on sites needing assessment work).
VI.A.3 Overview of Removal Actions Target and Measures
The following pages contain, in pipeline order, the definitions of removal program targets
and measures. Exhibit VI. 1 displays the reporting hierarchy of removal activities defined in this
chapter.
EXHIBIT VI. 1. REMOVAL PROGRAM ACTIVITIES
• . Activity
Removal Starts
Removal Completions
External Program
Reporting
ACS,
Strategic Plan
Internal Program
Reporting
Headquarters (HQ)
Target
Notes: For each activity, the definitions and reporting requirements in this chapter specify applicability with respect
to NPL status, activity lead, and actual start and completion 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)11-FY15 Strategic Plan.
Target = SCAP target and reporting measure.
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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.
a. Removal Starts
Definition:
Removal actions are responses performed at NPL and non-NPL sites that eliminate or
reduce threats to public health or the environment from the release, or potential release,
of hazardous substances or pollutants or contaminants 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. This measure
tracks each removal action. The appropriate use of Special Account funds for removal
actions is provided in the Guidance, (^thej^lgi^
Definition of Accomplishment:
A site is addressed by a removal action when the EPA, Remedial Action Contract (RAC),
Emergency and Rapid Response Services (ERRS), state, tribal government, or PRP, or
their contractors, have mobilized for work on the removal action specified in the Action
Memorandum.
Fund-financed (Including F-, TR-, or S-lead) actions - EPA, state, tribal
government, or their contractors have begun work at a site for the removal
(emergency, time-critical, or non-time critical) as documented by a Pollution
Report (POLREP). The date of on-site work is reported in CERCLIS as the
removal (Action Name = Removal Action) actual start date (Actual Start).
- PRP- financed from a Special Account (Including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal
Government (ST-lead) actions) - EPA, state, tribal government or their
contractors have begun work at a site for the PRP-financed removal (emergency,
time-critical, or non-time critical) as documented by a Pollution Report
(POLREP). The date of on-site work is reported in CERCLIS as the removal
(Action Name = Removal Action) actual start date (Actual Start).
PRP-financed (Including RP- and MR- lead) actions under the terms of an
Administrative Order on Consent (AOC), Unilateral Administrative Order
(UAO), Consent Decree (CD), or judgment - The PRPs or their contractors
have begun work on-site for the removal (emergency, time critical, or non-time
critical) as documented in a POLREP AND the PRPs provide written notice of
intent to comply with a UAO, or an enforcement instrument has been signed by
EPA and the PRPs, or a judgment has been signed by a federal judge. The date of
on-site work is reported in CERCLIS as the removal (Action Name = PRP
Removal) actual start date (Actual Start). The following information must be
entered into CERCLIS for the enforcement instrument:
* The date the AOC (Action Name = Admin Order on Consent) was signed
by the PRPs and the designated regional official (Actual Complete), and
the Response Acts Pd by Parties of PRP Removal; or
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* The date (Actual Complete) the PRPs provide notice of intent to comply
(Action Name = PRP Notify EPA of Intent to Comply) with a UAO for a
RP-lead removal signed (Actual Complete) by the designated regional
official (Action Name = Unilateral Admin Order), and the Response Acts
Pd by Parties of PRP Removal; or
* The date the Regional Administrator signs the memorandum transmitting
the CD (Action Name = Consent Decree) to DOJ or HQ and the Response
Acts Pd by Parties of PRP Removal; or
* The date a judgment (Action Name = Judicial/Civil Judgment) was signed
by the federal judge (Actual Complete), and the Response Acts Pd by
Parties of PRP Removal.
PRP-financed (PS-lead actions) under terms of a State Order or decree - The
PRPs or their contractors have begun work on-site for the removal (emergency,
time critical, or non-time critical) as documented in a POLREP, and the state
enforcement instrument has been signed by the appropriate state official. The date
of on-site work is reported in CERCLIS as the removal (Action Name = PRP
Removal) actual start date (Actual Start).
PRP-Lead (RP- lead actions) emergency removals without an enforceable
instrument - The PRP or their contractors have begun work on-site in response to
an emergency incident, and EPA provides on-site technical oversight and/or is
part of an incident command system/unified command (as documented in a
POLREP). The date of on-site work is reported in CERCLIS as the removal
(Action Name = PRP Emergency Removal) actual start date (Actual Start).
For both Fund- and PRP-financed removals, the following additional information
must be entered into CERCLIS:
* The Critical Indicator classification of the removal: 1) Emergency; 2)
Time Critical; and 3) Non-Time Critical;
» The media addressed through the removal (Media Type);
» The Media Name; and
* The Response Action being conducted (Selected Response Actions).
An endangerment determination should be documented when an Action Memo, Removal
Action Decision Document or an enforcement instrument is prepared. Regions identify
which of the documents contain the endangerment determination when they enter the
actual completion date (Actual Complete) for the corresponding action into CERCLIS.
Changes in Definition:
None.
Planning/Reporting Requirements:
Program policy remains enforcement first. HQ encourages the regions, in order to be able
to bill for oversight costs, to use enforceable instruments for PRP-Lead time critical and
non-time critical removals.
Fund-financed removals, PRP-financed removals under the terms of an enforceable
instrument, PRP-financed emergency removals without an enforceable instrument, and
PRP-financed time-critical and non-time critical removals without an enforceable
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instrument will be tracked separately for management purposes. Removals are funded by
the removal Site Allowance. Removal start totals will not include Coast Guard leads.
Coast Guard lead removals are recorded non-site-specifically in CERCLIS through the
program management screen.
b. Removal Completions
Definition
Removal actions are responses performed at NPL or non-NPL sites that eliminate or
reduce threats to public health or the environment from the release, or potential release,
of hazardous substances or pollutants or contaminants that may present 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. This measure
tracks each removal completion at a site.
DISCLAIMER: Regions will receive credit in the management of the Superfund program
for completion of a removal action even though the removal action itself may not be
complete for cost recovery statute of limitations purposes. Agency policy for statute of
limitations purposes provides that a removal is not complete until EPA has made a final
decision on whether any additional cleanup activity is required (and, if it is required, until
EPA has both made a final decision on such additional activity and has completed the
design for that activity). The date found in the removal action, actual complete column of
a CERCLIS report is a programmatic measure only, and cannot be relied upon to create
any rights, substantive or procedural, enforceable by any party in litigation with the
United States. EPA reserves the right to change such data at any time without public
notice.
Definition of Accomplishment:
Following are the conditions under which a removal is considered complete:
Fund-financed (Including F-, TR-, or S-lead) removal is considered complete
when the actions specified in the Action Memorandum are met, OR when the
contractor has demobilized and left the site (as documented in the POLREP) and
recorded the removal (Action Name = Removal Action) actual completion date
(Actual Complete) in CERCLIS.
PRP-financed (Including RP- and MR- lead) removal under the terms of an
AOC, UAO, CD, or judgment is considered complete when the region has
certified that the PRPs have fully met the terms of an AOC, UAO, CD, or
judgment and have completed the actions specified in the Action Memorandum
(as documented in the Final POLREP, Letter of Completion, or some other
equivalent document) and recorded the removal (Action Name = PRP Removal)
actual completion date (Actual Complete) in CERCLIS.
PRP-financed (PS-lead actions) removal under terms of a State Order or
decree is considered complete when the state has certified the PRPs have fully
met the terms of the instrument AND have completed the actions specified in the
Action Memorandum (as documented in the POLREP) and recorded the removal
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(Action Name = PRP Removal) actual completion date (Actual Complete) in
CERCLIS.
- PRP-Lead (RP- lead actions) emergency removal without an enforceable
instrument is considered complete when the On-Scene Coordinator (OSC), in
consultation with the unified command/incident command system if applicable,
has determined that the emergency is stabilized (as documented in a POLREP)
and recorded the removal (Action Name = PRP Emergency Removal) actual
completion date (Actual Complete) in CERCLIS.
Although expected to be rare, there may be circumstances when voluntary
removals are completed for time-critical and non time-critical removal actions. In
those cases, regions are required to consult with the Office of Emergency
Management (OEM) and the Office of Site Remediation Enforcement (OSRE),
and the removals should be reported as voluntary removal actions.
For either Fund- or PRP-financed removals, an action qualifier must be recorded
to identify whether the action resulted in the site being Cleaned Up or Stabilized.
Action qualifiers are defined as follows:
* Cleaned Up: All threats have been addressed as defined in the Action
Memo, and the region determines that it has addressed all threats posed by
the site (will not be returning for subsequent response activity). Also, all
removal obligations and related work have been completed.
* Stabilized: All threats identified in the Action Memo have been addressed.
The region may take additional removal actions as new threats are
identified/investigatory information is available. Example: Leaking drums
and contaminated soil in the area of the drums are excavated and disposed
of in an approved off-site facility. Site is stabilized. This qualifier is also
used for early actions at sites where EPA is planning further work under
the remedial program.
Exceptions:
Temporary demobilization and temporary storage on-site are not considered completions,
unless temporary storage is the only action specified in the Action Memorandum to
mitigate threats to public health, welfare, and the environment. Likewise, temporary off-
site storage of hazardous substances at a Treatment, Storage, and Disposal (TSD) facility
other than the facility of ultimate disposal is a continuation of the action, not a
completion, unless temporary off-site storage at a TSD is the only action specified in the
Action Memorandum. In addition, a removal would not be considered complete if:
The Action Memorandum requires the EPA contractor to monitor the hazardous
substances stored on-site or additional contractor expenditures are anticipated; or
- Hazardous substances are being stored at an off-site facility other than the
ultimate TSD facility required in the Action Memorandum.
A removal would be considered complete if:
* The scope of work for the action does not specify final off-site disposal of
hazardous substances;
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* The substances have been stabilized and are stored on-site due to
circumstances such as the unavailability of a final treatment/disposal
remedy; and
* No additional Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) removal authority funds are anticipated to be
expended on this action. In this instance, no CERCLA removal authority
funds will be expended for remedial-term site operations and maintenance
(O&M). Any remedial-term site O&M (greater than six months) should be
performed by the PRP or another agency (e.g., the state); or
* Hazardous substances are being stored off-site at the location of final
disposal, and no additional contractor expenditures are anticipated for this
action.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Upon completion of a removal, an action qualifier must be recorded to identify whether
the removal resulted in the site being Cleaned Up or Stabilized. This is both a
Government Performance and Results Act (GPRA) annual performance goal and GPRA
measure. Removal completion totals will not include Coast Guard lead actions. Coast
Guard lead removals are recorded non-site-specifically in CERCLIS through the program
management screen. The Removal Program is also requiring the data elements listed
below to be entered into CERCLIS. If these fields are left blank, the removal will not
count towards the GPRA annual performance goal.
• Removal Action Name
• Removal Lead
• Removal Action Critical Indicator
• Action Qualifier
• Start Date
• Completion Date
• Media Name
• Media Type
• NPL/Non-NPL
• Site Type
• Volume
• Contaminant
• Contaminant of Concern
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Superfund Program Implementation Manual FY 12
Chapter VII: Remedial Program
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Chapter VII: Remedial Program
Table of Contents
VILA Remedial Program Targets and Measures VII-1
VII.A.l Remedial Program Targets and Measures VII-1
VII.A.2 Remedial Program Definitions VII-3
a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund
Alternative) VII-3
b. Feasibility Study (FS) (NPL & Superfund Alternative) VII-6
c. Combined RI/FS (NPL & Superfund Alternative) VII-10
d. Treatability Studies (NPL & Superfund Alternative) VII-13
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund
Alternative) VII-14
f. Engineering Evaluation/Cost Analysis (EE/CA) VII-15
g. Decision Documents (NPL & Superfund Alternative) VII-16
h. Final Remedy Selected VII-20
i. Remedial Design (RD) Start (NPL & Superfund Alternative) VII-22
j. RD Completion (NPL & Superfund Alternative) VII-24
k. Remedial Action Start (NPL & Superfund Alternative) VII-25
I. RA Contract Award (NPL & Superfund Alternative) VII-31
m. Start ofOn-Site Construction (NPL & Superfund Alternative) VII-32
n. Operational and Functional (NPL & Superfund Alternative) VII-35
o. Final Inspection by EPA (NPL & Superfund Alternative) VII-36
p. Remedial Action Completion (NPL & Superfund Alternative) VII-3 7
q. Construction Completion (NPL & Superfund Alternative) VII-39
r. Long-Term Response Action (LTRA andPRP LR) (NPL & Superfund
Alternative) VII-40
s. Operation and Maintenance (O&M) (NPL & Superfund Alternative) VII-42
t. Cleanup Goals Achieved (NPL & Superfund Alternative) VII-44
u. Ground Water Monitoring (NPL & Superfund Alternative) VII-45
v. NPL Site Completions VII-46
w. Five Year Reviews VII-47
x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative) VII-52
y. Partial NPL Deletion VII-53
z. Final NPL Deletion VII-55
aa. Protective for People Under Current Conditions (PFP) VII-56
bb. Ready for Anticipated Use (RAU) VII-58
cc. Cross-Program Revitalization Measures (CPRM) Indicators VII-60
dd. Human Exposure Under Control VII-62
ee. Migration of Contaminated Ground Water Under Control VII-67
ff Populations Protected VII-70
gg. Cleanup Volume VII-71
hh. Support Agency Assistance VII-72
ii. Technical Assistance VII-73
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OSWER Directive 9200.3-14-1G-W
List of Exhibits
Exhibit VII. 1. Remedial Program Activities VII-1
Exhibit VII.2. Human Exposure Evaluation Flowchart VII-66
Exhibit VII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet.. VII-69
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CHAPTER VII:
REMEDIAL PROGRAM
VII. A REMEDIAL PROGRAM TARGETS AND MEASURES
VILA.l 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 need for 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 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 VII. 1 displays the
internal and external reporting hierarchy for the full list of remedial activities defined in this
chapter.
EXHIBIT VII.1. REMEDIAL PROGRAM ACTIVITIES
• Activity,
Remedial Action
Construction Completion
Migration of Contaminated Ground Water Under Control
Human Exposure Under Control
Sitewide Ready for Anticipated Use (SWRAU)
RI/FS (RI, FS, Combined RI/FS)
Decision Document (Record of Decision (ROD), ROD
Amendment, ESD, Action Memo for NTCRA)
Remedial Design
Five Year Review (FYR)
Final NPL Deletion
Start of Public Comment Period (Proposed Plan to Public)
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
Measure
FY 12 SPIM
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• . Activity
Final Remedy Selected
Engineering Evaluation/Cost Analysis (EE/CA)
Operational and Functional (O&F)
Long-Term Response Action (LTRA&PRPLR)
Operation and Maintenance (O&M)
Ground Water Monitoring
Site Completion
Partial NPL Deletion
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 Volumes
Treatability Study
Support Agency Assistance
Technical Assistance
External Program
Reporting
Cross Program
Revitalization
Measure (CPRM)
CPRM
Internal Program
Reporting
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 lead, and actual start and completion 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)11-FY15 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 sites with a
Superfund Alternative Approach (SAA) settlement. Additional details on the SAA category of
sites can be found in Chapter IX, titled Enforcement). Superfund Alternative sites should be
identified in the Comprehensive Environmental Response, Compensation and Liability
March 20, 2012
VII-2
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Information System (CERCLIS) using the Special Initiative Indicator of "Site with SA
Agreement per Office of Enforcement and Compliance Assurance (OECA) Policy" in order to
ensure accurate reporting.
Furthermore, specific activities described in this chapter may be funded through Special
Account resources. Additional guidance on the appropriate use of Special Account funds at each
of these activities is provided in the following documents:
* Gmdam^
• Qmsd!^^
VII.A.2 Remedial Program Definitions
PART I. REMEDY SELECTION
a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund
Alternative)
Definition:
The purpose of the Remedial Investigation (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.
Definition of Accomplishment:
RI Start
Obligation of funds for forward planning, community relations and/or other support
activities do not constitute a RI start.
Fund-financed (Including F-, TR - and S-lead actions) - Credit for a Fund-financed RI
(Action Name = Remedial Investigation) start at an NPL or Superfund Alternative site is
received when funds are obligated and the actual start date (Actual Start) has been
recorded in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI has been
signed by the EPA Contracting Officer (CO); or
An Interagency Agreement (IA) has been signed by the other federal agency (e.g.,
U.S. Army Corps of Engineers (USAGE)); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI.
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If a subsequent RI is initiated without a new obligation of funds, the start date as recorded
in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed RI (Action Name = Remedial
Investigation) start at an NPL or Superfund Alternative site is received when funds are
obligated and the actual start date (Actual Start) of the RI has been recorded in
CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI has been
signed by the EPA Contracting Officer; or
An IA has been signed by the other federal agency (e.g., USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI.
If a subsequent RI is initiated without a new obligation of funds, the start date as recorded
in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.
PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - A
PRP- financed RI (Action Name = PRP RI) under federal enforcement at an NPL or
Superfund Alternative site starts when one of the following enforcement actions occurs:
An Administrative Order on Consent (AOC), in which the Potentially
Responsible Parties (PRPs) agree to conduct the RI, is signed by the Regional
Administrator or delegate. The RI start date (Actual Start) is the date the AOC is
signed. This is reported in CERCLIS as the AOC (Action Name = Administrative
Order on Consent) completion date (Actual Complete); or
The date (Actual Complete) the PRPs provide notice of intent to comply
(SubAction Name = PRP Notify EPA of Intent to Comply) with a Unilateral
Administrative Order (UAO) for a RP-lead RI signed (Actual Complete) by the
designated regional official (Action Name = Unilateral Admin Order) and the
Response Act Pd by Parties of "PRP RI"; or
A Consent Decree (CD), in which the PRPs agree to conduct the RI, is referred by
the region to Department of Justice (DOJ) or HQ. The RI start date (Actual Start)
is the date the Regional Administrator signs the memo transmitting the CD to HQ
or DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent
Decree) actual start date (Actual Start).
PRP-financed under state enforcement (PS-lead actions) - A PRP-financed RI (Action
Name = PRP RI) under state enforcement at a NPL or Superfund Alternative site starts
when a state order or comparable enforcement document (Action Name = State Order or
State Decree), in which the PRPs agree to conduct the RI, is signed by the last
appropriate state official or party (Actual Complete) and the site is covered by one of the
following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
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Superfund Memorandum of Agreement (SMOA) signed by the appropriate state
and regional official containing a schedule for RI work at the site; or
A general SMOA signed by the appropriate state and regional officials covering
remedial work to be undertaken with schedules defined before work commences;
or
Other state/EPA agreement signed by the appropriate state and regional official.
If a subsequent PRP-financed RI under federal or state enforcement is initiated without a
new or amended AOC, CD, state order, or other comparable state enforcement document,
the start date for the RI as recorded in CERCLIS is documented by a letter, form, or
memo from EPA or the state approving the work plan for the subsequent RI.
If an AOC, state order, or other comparable state enforcement document is amended for
the subsequent RI, the start date is the date the last state official or Regional
Administrator/delegate signs the amendment. If a federal CD is amended, the start date is
the date on which the memo transmitting the CD to HQ or DOJ is signed by the Regional
Administrator.
In-house (EP-lead action) - Credit for an in-house RI (Action Name = Remedial
Investigation) start at a NPL or Superfund Alternative site is received on the date that the
region conducts the initial RI scoping meeting. The start (Actual Start) is documented by
a memo to file containing the minutes from the meeting.
RI Completion
Credit for RI (Action Name = Remedial Investigation or PRP RI) completion at an NPL
or Superfund Alternative site is received when the final RI report has been approved by
the appropriate regional official and the actual completion date (Actual Complete) has
been recorded in CERCLIS.
Changes in Definition:
Definition and documentation regarding RI completion was added.
Special Planning/Reporting Requirements:
The RI may be conducted alone, as part of a site-wide integrated Expanded Site
Investigation/Remedial Investigation (ESI/RI) assessment, or as a combined RI/FS. The
RI action should only be added to CERCLIS when the RI is conducted as a stand-alone
activity.
The RI actual start and complete dates are reported site-specifically in CERCLIS. For
PRP-fmanced RIs, both the RI start (Actual Start) and the CD start (Actual Start) or
AOC, state order, or state decree or notice of intent to comply with a UAO completion
dates (Actual Complete) must be entered into CERCLIS; the RI start and enforcement
dates should be the same date. Funds for RIs and RI oversight are found in the pipeline
operations Site Allowance. RI start is an internal program target and measure.
FY 12 SPIM VII-5 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4).
SPIM Action/
Activity
SPIM
Lead
Documentation Required
Documentation Approval/Date
Requirements
Action name =
Remedial
Investigation
(RI)
F, TR, S,
SA, SS,
ST
Start
Contract modification or work
assignment/task order; or An IA; or
Cooperative Agreement.
Complete
RI Report
Start
Signed by EPA Contracting Officer; or Signed
by other federal agency; Signed by Regional
Administrator or designee.
Complete
Signed by appropriate regional official
Action name =
PRP RI (NA)
RP,MR
Start
AOC; or
Notice of intent to comply with
UAO; or Memo transmitting CD to
DOJorHQ
Complete
RI Report
Start
Signed by Regional Administrator or delegate;
Complete
Signed by appropriate regional official
Action name =
PRP RI (NA)
PS
Start
State enforcement cooperative
agreement; or SMOA; or other
state/EPA agreement
Complete
RI Report
Start
Signed by all appropriate state and regional
officials
Complete
Signed by appropriate regional official
Action name =
Remedial
Investigation
(RI)
EP
Start
Memo to file documenting scoping
meeting
Complete
RI Report
Start
Signed by appropriate regional official
Complete
Signed by appropriate regional official
b. Feasibility Study (FS) (NPL & Superfund Alternative)
Definition:
The primary objective of a FS is to ensure that appropriate remedial alternatives are
developed and evaluated such that an appropriate remedy may be selected.
March 20, 2012
VII-6
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
FS Start
Fund-financed (Including F, TR- and S lead actions) - Credit for a Fund-financed FS
(Action Name = Feasibility Study) start at an NPL or Superfund Alternative site is
received when funds are obligated and the actual start date (Actual Start) is entered into
CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the FS has been
signed by the EPA CO; or
An IA has been signed by the other federal agency (e.g., USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or his
designee to conduct a FS. If a first or subsequent FS is initiated without a new
obligation of funds, the start date as recorded in CERCLIS is defined as the date
of EPA's written approval of the work plan for the FS.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed FS (Action Name = Feasibility Study)
start at a NPL or Superfund Alternative site is received when funds are obligated and the
actual start date (Actual Start) is entered into CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the FS has been
signed by the EPA Contracting Officer; or
- An IA has been signed by the other federal agency (e.g., USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a FS.
If a first or subsequent FS is initiated without a new obligation of funds, the start date as
recorded in CERCLIS is defined as the date of EPA's written approval of the work plan
for the FS.
PRP-financed under federal enforcement (Including RP- and MR-lead actions) - A
PRP- financed FS (Action Name = PRP FS) under federal enforcement at a NPL or
Superfund Alternative site starts when one of the following enforcement actions occurs:
An AOC that addresses FS activities is signed by the Regional Administrator or
delegate. The FS start date (Actual Start) is the date the AOC is signed. This is
recorded in CERCLIS as the AOC (Action Name = Administrative Order on
Consent) actual completion date (Actual Complete); or
The date (Actual Complete) the PRPs provide notice of intent to comply
(Sub Action Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-
lead FS signed (Actual Complete) by the designated regional official (Action
Name = Unilateral Admin Order) and the Response Acts Pd by Parties of "PRP
FS"; or
The Regional Administrator signs the memorandum transmitting the CD to DOJ
or HQ that addresses FS activities is referred by the region to DOJ or HQ. The FS
FY 12 SPIM VII-7 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
start date (Actual Start) is the date (Actual Start) the Regional Administrator signs
the memorandum transmitting the CD (Action Name = Consent Decree) to DOJ
orHQ.
PRP-financed under state enforcement (PS- lead actions) - A PRP-financed FS (Action
Name = PRP FS) under state enforcement at a NPL or Superfund Alternative site starts
when a state order or comparable enforcement document (Action Name = State Order or
State Decree), in which the PRPs agree to conduct the FS, is signed by the last
appropriate state official or party (Actual Complete), and the site is covered by one of the
following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
SMOA signed by the appropriate state and regional official containing a schedule
for FS work at the site; or
Other state/EPA agreement signed by the appropriate state and regional official. If
a first or subsequent FS is initiated without a new or amended AOC, CD, state
order, or other comparable state enforcement document, the start date of the FS is
documented by a letter, form, or memo from EPA or the state approving the work
plan for the subsequent FS.
If an AOC, state order, or other comparable state enforcement document is amended for
the first or subsequent FS, the actual start date is the date the last state official or the
Regional Administrator/delegate signs the amendment. If a federal CD is amended, the
start date is the date the Regional Administrator signs the memo transmitting the CD to
HQ or DOJ.
In-house (EP-lead action) - Credit for an in-house FS (Action Name = Feasibility Study)
start at a NPL or Superfund Alternative site is received on the date that the region
conducts the initial FS scoping meeting. The start date (Actual Start) is documented by a
memo to file containing the minutes from the meeting.
FS Completion
Completion (Actual Complete) for FS (Action Name = Feasibility Study or PRP FS) at
an NPL or Superfund Alternative site occurs upon signature of the resulting remedy
decision document (e.g., Record of Decision (ROD) or ROD Amendment).
Changes in Definition:
Definition and documentation regarding FS completion was added.
Special Planning/Reporting Requirements:
The FS may be conducted alone or as part of a combined RI/FS. The FS action should
only be added to CERCLIS when the FS is conducted as a stand-alone activity.
The FS actual start and complete dates are entered into CERCLIS site-specifically. For a
PRP-financed FS, both the FS start date (Actual Start) and the CD start date (Actual
Start), or, AOC, state order or state decree or the notice of intent to comply with a UAO
actual completion date (Actual Complete) must be entered into CERCLIS; the RI start
March 20, 2012 VII-8 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
and enforcement dates should be the same date. Funds for FS and FS oversight are
contained in the pipeline operations Site Allowance. Obligation of funds for forward
planning, community relations and/or other support activities does not constitute an FS
start. FS Start is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
Activity
SPIM Lead
Documentation Required
Documentation Approval/Date
Requirements
Start
Action name =
Feasibility Study (FS)
F, TR, S,
SA, SS, ST
Contract modification or work
assignment/task order; or IA; or
Cooperative Agreement
Complete
Decision document
Start
Signed by the EPA CO; Signed by other
federal agency; Signed by the Regional
Administrator or his designee.
Complete
Signed by appropriate regional official
Action name = PRP
FS(NK)
RP,MR
Start
AOC; or Notice of intent to comply
with a UAO; or Memo transmitting
CDtoDOJorHQ.
Complete
Decision document
Start
Signed by Regional Administrator or
delegate
Complete
Signed by appropriate regional official
Action name = PRP
FS(NK)
PS
Start
State order, or comparable
enforcement document state
enforcement Cooperative
Agreement; SMOA; or Other
state/EPA agreement.
Complete
Decision document
Start
Signed by all appropriate state officials
or parties Signed by Regional
Administrator Signed by appropriate
state and regional official Signed by the
appropriate state and regional official.
Complete
Signed by appropriate regional official
Action name =
Feasibility Study (FS)
EP
Start
Memo to file documenting scoping
meeting
Complete
Decision document
Start
Signed by appropriate regional official
Complete
Signed by appropriate regional official
FY 12 SPIM
VII-9
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
c. Combined RI/FS (NPL & Superfund Alternative)
Definition:
The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the
extent necessary to select a remedy.
Definition of Accomplishment:
CombinedRI/FS Start
Fund-financed (Including F , TR- and S lead actions) - Credit for a Fund-financed
RI/FS (Action Name = Combined RI/FS) start at a NPL or Superfund Alternative site is
received when funds are obligated and the actual RI/FS start date (Actual Start) is
reported in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI/FS has been
signed by the EPA CO; or
An IA has been signed by the other federal agency (e.g., USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date
is defined as the date of EPA's written approval of the work plan for the RI/FS.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - Credit for a special account-financed RI/FS (Action Name = Combined RI/FS)
start at a NPL or Superfund Alternative site is received when funds are obligated and the
actual RI/FS start date (Actual Start) is reported in CERCLIS. Funds are obligated when:
The contract modification or work assignment/task order for the RI/FS has been
signed by the EPA CO; or
- An IA has been signed by the other federal agency (e.g., USAGE); or
A Cooperative Agreement has been signed by the Regional Administrator or
designee to conduct a RI/FS.
If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date
is defined as the date of EPA's written approval of the work plan for the RI/FS.
PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - A
PRP-fmanced RI/FS (Action Name = PRP RI/FS) under federal enforcement at a NPL or
Superfund Alternative site starts when one of the following enforcement actions occurs:
An Administrative Order on Consent (AOC), in which the PRPs agree to conduct
the RI/FS, is signed by the Regional Administrator or delegate. The RI/FS start
date (Action Name = PRP RI/FS) is the date the AOC is signed. This is recorded
in CERCLIS as the AOC (Action Name = Administrative Order on Consent)
completion date (Actual Complete); or
March 20, 2012 VII-10 FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
- The date (Actual Complete) the PRPs provide notice of intent to comply
(Sub Action Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-
lead RI/FS signed (Actual Complete) by the designated regional official (Action
Name = Unilateral Admin Order), and the Response Acts Pd by Parties of "PRP
RI/FS"; or
- A Consent Decree (CD), in which the PRPs agree to conduct the RI/FS, is
referred by the region to DOJ or HQ. The RI/FS start date (Actual Start) is the
date the Regional Administrator signs the memo transmitting the CD to HQ or
DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent Decree)
actual start date (Actual Start).
PRP-financed under state enforcement (PS-lead actions) - A PRP-fmanced RI/FS
(Action Name = PRP RI/FS) under state enforcement at a NPL or Superfund Alternative
site starts when a state order or comparable enforcement document (Action Name = State
Order or State Decree), in which the PRPs agree to conduct the RI/FS, is signed by the
last appropriate state official or party (Actual Complete) and the site is covered by one of
the following:
State enforcement Cooperative Agreement signed by the Regional Administrator;
or
SMOA signed by the appropriate state and regional official containing a schedule
for RI/FS work at the site; or
- Other state/EPA agreement signed by the appropriate state and regional officials.
If a first or subsequent RI/FS is initiated without a new or amended AOC, CD, state
order, or other comparable state enforcement document, the start date of the RI/FS is
documented by a letter, form, or memo from EPA or the state approving the work plan
for the subsequent RI/FS.
If an AOC, state order, or other comparable state enforcement document is amended for
the first or subsequent RI/FS, the start date is the date on which the last state official or
Regional Administrator/delegate signs the amendment. If a CD is amended, the start date
is the date the Regional Administrator signs the memorandum transmitting the CD to
DOJ or HQ.
In-house (EP-lead action) - Credit for an in-house RI/FS (Action Name = Combined
RI/FS) start at a NPL or Superfund Alternative site is received when the region has the
initial RI/FS scoping meeting and the date is entered into CERCLIS. The start (Actual
Start) is documented by a memo to file containing the minutes from the meeting.
Combined RI/FS Completion
Completion (Actual Complete) for Combined RI/FS (Action Name = Combined RI/FS or
PRP RI/FS) at an NPL or Superfund Alternative site occurs upon signature of the
resulting remedy decision document (e.g., ROD or ROD Amendment).
Changes in Definition:
Definition and documentation regarding completion of a Combined RI/FS was added.
FY12SPIM VII-11 March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
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. Obligation of funds for forward planning, community relations and/or other
support activities do not constitute an RI/FS start.
The combined RI/FS actual start and complete dates are entered into CERCLIS site-
specifically. For a PRP-fmanced RI/FS, the RI/FS start date (Actual Start) and the CD
start date (Actual Start), or, AOC, state order, or state decree or notice of intent to comply
with a UAO actual completion date (Actual Complete) must be entered into CERCLIS;
the RI start and enforcement dates should be the same date. Funds for RI/FS and RI/FS
oversight are contained in the pipeline operations Site Allowance. Combined RI/FS start
is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM
Action/
Activity
SPIM
Lead
Documentation Required
Documentation Approval/Date
Requirements
Action name
= Combined
RI/FS (CO)
F,TR,
S, SA,
SS, ST
Start
Contract modification or work
assignment/task order; or IA; or
Cooperative Agreement
Complete
Decision document
Start
Signed by EPA CO; Signed by other federal
agency; Signed by the Regional Administrator
or designee.
Complete
Appropriate regional official.
Start
Start
Action name
= PRP RI/FS
(BD)
RP, MR
Administrative Order on Consent (AOC);
or Notice of intent to comply with a UAO
for a RP-lead RI/FS and the Response acts
Pd; or Memo transmitting Consent Decree
(CD)toHQorDOJ.
Complete
Decision document
Signed by Regional Administrator or
delegate, Signed by designated regional
official and the Response acts Pd signed by
parties of APRP RI/FS@, Signed by Regional
Administrator transmitting the Consent
Decree.
Complete
Appropriate regional official.
Action name
= PRP RI/FS
(BD)
Start
Start
PS
State order or comparable enforcement
document state enforcement Cooperative
Agreement; SMOA; or Other state/EPA
Signed by all appropriate state officials and
parties Signed by Regional Administrator,
Signed by the appropriate state and regional
March 20, 2012
VII-12
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
SPIM
Action/
Activity
SPIM
Lead
Documentation Required
Documentation Approval/Date
Requirements
agreement.
Complete
Decision document
official, Signed by the appropriate state and
regional officials.
Complete
Appropriate regional official.
Start
Start
Action name
= Combined
RI/FS (CO)
EP
Memo containing the minutes from initial
RI/FS scoping meeting.
Complete
Decision document
Appropriate regional official.
Complete
Appropriate regional official.
d. Treatability Studies (NPL & Superfund Alternative)
Definition:
Treatability studies are laboratory or field tests used to determine whether available
technologies will effectively decontaminate a given matrix in order to develop feasible
remedial alternatives.
Definition of Accomplishment:
Fund-financed (Including F-, EP-, S- or TR- lead) - The start date is the date of EPA's
written approval, as reflected in CERCLIS, of the treatability study work plan. The
completion is the written approval of the report on the results of the treatability study.
PRP-financed (Including RP-, MR- or PS- lead) - The treatability study starts when
EPA approves, in writing, the treatability study work plan submitted by the PRP. The
completion is the approval of the report on the results of the treatability study.
PRP- financed from a Special Account (Including Special Account Financed Action
performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead)
actions) - The treatability study starts when EPA approves, in writing, the treatability
study work plan. The completion is the approval of the report on the results of the
treatability study.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Treatability study (Action Name = Treatability Study) planned and actual start and
completion dates are not required in CERCLIS. Treatability studies are funded as part of
an ESI/RI, RI/FS, or Remedial Design (RD). Dollars are not budgeted, planned, or
FY 12 SPIM
VII-13
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
obligated separately. Treatability studies may be tracked at the regional level but this
activity is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
Activity
Action name -
Treatability Study
/T^CX
(,15>;
SPIM Lead
F, S, TR, EP RP,
MR, PS, SA, SS,
QT
Documentation Required
Start: EPA's written approval of
treatability study work plan.
Complete: Written approval of report
on results of treatability study.
Documentation Approval/
Date Requirements
Start: Not specified.
Complete: Not specified.
e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund
Alternative)
Definition:
The FS or RI/FS report is released to the public when the contamination at the site has
been characterized and alternatives for remediation have been evaluated.
Definition of Accomplishment:
The Start of Public Comment Period (Proposed Plan to Public) is accomplished at a NPL
or Superfund Alternative site either 1) on the date the appropriate regional official signs a
letter transmitting RI/FS reports and the proposed plan to the site repository for public
review, or 2) when the first page of the approved proposed plan, which lists the dates the
public comment period starts and ends, is included in the site file. This date must be
recorded in CERCLIS as the actual start date (Actual Start) of the SubAction, Public
Comment Period (Action Name = Feasibility Study or Combined RI/FS or PRP FS or
PRP RI/FS and SubAction Name = Public Comment Period).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Accomplishments are based on the first proposed plan released to the public for each FS
or RI/FS, regardless of lead. Sites with SAA settlements should be identified in
CERCLIS using the appropriate special initiatives flag. This is an internal program
measure.
March 20, 2012
VII-14
FY 12 SPIM
-------
OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
Action name = Feasibility Study (FS) or
Combined RI/FS (CO) or PRP RI/FS
(BD) Sub Action Name = Public
Comment Period (PB)
SPIMLead
F, S, TR,
SA, SS, ST,
EP RP, MR,
PS,
Documentation Required
Letter transmitting RI/FS
reports and proposed plan first
page of approved proposed
plan.
Documentation
Approval/Date
Requirements
Signed by appropriate
regional official Not
specified.
f. Engineering Evaluation/Cost Analysis (EE/CA)
Definition:
The Engineering Evaluation/Cost Analysis (EE/CA) identifies objectives for a non-time
critical (NTC) response action, and includes an analysis of cost, effectiveness, and the
ability to implement the various alternatives that may be used to satisfy these objectives.
Definition of Accomplishment:
The actual start date of an EE/CA is the date that the appropriate regional official signs
the EE/CA Approval Memorandum. This information should be recorded in CERCLIS as
the actual start date (Actual Start) of the EE/CA (Action Name = Engineering Eval/Cost
Analysis).
The actual completion date of an EE/CA is the date that the appropriate regional official
signs the Action Memorandum. This information should be recorded as the actual
completion date (Actual Complete) of the EE/CA (Action Name = Engineering Eval/Cost
Analysis).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
EE/CAs are reported site-specifically in CERCLIS. Funds for EE/CAs are contained in
the pipeline operations Site Allowance. This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY 12 SPIM
VII-15
March 20, 2012
-------
OSWER Directive 9200.3-14-1G-W
SPIM Action/
Activity
Action name =
Engineering
Eval/Cost
Analysis (EE)
SPIM
Lead
F, S, TR,
SA, SS,
ST, EP,
RP,PS,
MR, CG
Documentation Required
Start: EE/CA Approval
Memorandum.
Complete: Action Memorandum.
Documentation Approval/Date
Requirements
Start: Signed bv appropriate
regional official.
Complete: Signed bv appropriate
regional official.
g. Decision Documents (NPL & Superfund Alternative)
Definition:
A "Decision Document" is developed to document decisions or changes to decisions (at
NPL, non-NPL, and Superfund Alternative sites) to:
Perform an emergency, time-critical, orNTC removal; or
Perform a remedial action.
Definition of Accomplishment:
Removal Decision Documents (Emergency, Time Critical, or NTC) - The date the On-
Scene Coordinator (OSC), Assistant Administrator for OSWER (AA OSWER), or
designated regional official signs the first or original Action Memorandum for each
removal. Regions will not receive credit for subsequent Action Memos, (e.g., ceiling
increases) at the same removal. The date of the signature is recorded in CERCLIS as the
actual completion date (Actual Complete) of the Sub Action "Approval of Action Memo"
or "Removal Action Decision Document." To receive credit for the Action Memo, the
region must enter the action, actual completion date, media addressed, media name, and
response technology.
Remedial Action Decision Documents (ROD, ROD Amendment, ESD, or Other) - A
response action decision document is documented in a Record of Decision (ROD), ROD
Amendment, Explanation of Significant Differences (ESD), or through other remedy
changes such as a letter to the file. After a ROD is signed, new information may be
generated that could affect the remedy selected. Three types of changes may occur: ROD
Amendment, Explanation of Significant Differences, and Other Remedy Change.
Guidance on the appropriate use of ROD Amendments, ESDs and Other Remedy
Changes is available in A Guide to Preparing Superfund Proposed Plans, Records of
Decision, and Other Remedy Selection Decision Documents (OSWER 9200.1-23.P, July
1999).
The Superfund Enterprise Management System (SEMS) Document Management System
(SDMS) number for each of these documents needs to be sent to the following e-mail
group within five days after signing: OSWER Office of Superfund Remediation and
Technology Innovation (OSRTI) HQ 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).
March 20, 2012
VII-16
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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. The completion
date for the ROD is the date the designated regional official or the AA OSWER signs the
ROD at a NPL or Superfund Alternative site. This date is reported in CERCLIS as the
ROD (Action Name = Record of Decision) completion date (Actual Complete). To
receive credit for a completed ROD, the region must enter the action, appropriate lead,
and actual completion date. EPA HQ is now responsible for data entry of the following
elements: media addressed, media name, selected alternative, response technology,
remedy cost data, and institutional control information.
State-lead RODs under CERCLA that result from an F, S, TR, or EP-lead FS or RI/FS, or
a PS or MR-lead PRP RI/FS, or PRP FS where EPA concurs on the ROD should have a
lead of 'SC'. Accomplishments are reported as the date of the latest signature, from EPA
or the state, on the ROD at NPL or Superfund Alternative sites.
For state-lead RODs without EPA concurrence, the ROD should have a lead of'SW. The
ROD will not be included in accomplishment reporting; however, the ROD date should
be recorded in CERCLIS as the date the state signs the ROD.
ROD Amendment: When a post-ROD remedy change involves a fundamental or
appreciable change or changes in the scope, performance, and/or cost, or a number of
significant changes together have the effect of a fundamental change, the change in
remedy should be documented in a ROD Amendment. When such fundamental changes
or amendments are made to a remedy, the ROD process (revised proposed plan, public
comment period, public meeting, responsiveness summary, and amended ROD) should
be repeated. The amended ROD must be placed in the Administrative Record (AR) and a
copy must be e-mailed to the HQ address provided above.
A fundamental change to the ROD should be recorded as a ROD amendment SubAction
in CERCLIS (Action Name = Record of Decision and SubAction Name = ROD
Amendment). The date the designated regional official or the AA OSWER signs the
amended ROD at a NPL or Superfund Alternative site should be recorded in CERCLIS as
the actual completion date. To receive credit for a completed ROD amendment, the
region must enter the action, appropriate lead, and actual completion date. EPA HQ is
now responsible for data entry of the following elements: media addressed, media name,
selected alternative, response technology, remedy cost data, and institutional control
information. ROD Amendments are tracked as an internal reporting measure.
Explanations of Significant Differences: When a post-ROD remedy change involves a
portion of the remedy and does not fundamentally alter the overall cleanup approach it
may be documented as an Explanation of Significant Differences (ESD). A copy of the
ESD is placed into the Administrative Record (AR), and a copy needs to be e-mailed to
the HQ address provided above. The ESD is made available to the public for review. A
formal public comment period, public meeting, and responsiveness summary are not
required. While the ESD is being prepared and made available to the public, response
activities should continue.
FY12SPIM VII-17 March 20,2012
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OSWER Directive 9200.3-14-1G-W
An BSD is not a new ROD and should not be coded as such in CERCLIS. It should be
entered as a SubAction to the ROD (Action Name = Record of Decision and SubAction
Name = Explanation of Significant Dif). The date the BSD at a NPL or Superfund
Alternative site is signed by the designated regional official or the AA OSWER is
reported as the actual completion date. To receive credit for a completed BSD, the region
must enter the action, appropriate lead, and actual completion date. EPA HQ will enter
response action and cost data if they are changed by the BSD. ESDs are tracked as an
internal reporting measure.
Other Remedy Changes: Non-significant remedy changes fall within the normal scope of
changes occurring during the Remedial Design/Remedial Action (RD/RA) or limited RA.
These changes may result from value engineering. This may cause minor changes in the
type/cost of materials, equipment facilities, services, and supplies. When such changes do
not significantly affect the scope, performance, or cost of the remedy, they are considered
minor or non-significant.
Other Remedy Changes should be documented in a Note to File or Memorandum to File,
titled "Other Remedy Change." Copies of these documents shall be placed into the
Administrative Record (AR), and need to be e-mailed to the HQ address provided above.
Since the document is placed into the AR, it is available for public review. A formal
public comment period, public meeting and responsiveness summary are not needed. An
Other Remedy Change is not a new ROD and should not be coded as such in CERCLIS.
It should be entered as a SubAction to the ROD (Action Name = Record of Decision and
SubAction Name = Other Remedy Change). Other Remedy Change data are entered into
CERCLIS at the time the document is signed. The date the Other Remedy Change at a
NPL or Superfund Alternative site is signed by the designated regional official or the AA
OSWER is reported as the actual completion date. Response action and cost data only
need to be entered when they change. Other Remedy Changes are tracked as an internal
reporting measure.
RODs Requiring No Physical Construction: At some NPL sites, EPA may determine,
through the Remedial Investigation/Feasibility Study (RI/FS) (or other means), that no
physical construction is necessary to protect human health and the environment. Such a
determination may be documented in no action/no further action RODs, including RODs
that require only monitoring, and Limited Action RODs requiring monitored natural
attenuation or institutional controls only. To receive credit for a completed ROD in these
instances, the region must enter the action, appropriate lead, and actual completion date.
EPA HQ will enter response action and cost data, as appropriate.
Changes in Definition:
Clarified the data elements that the region and HQ are each responsible for entering, with
respect to the selected remedy in a decision document.
Special Planning/Reporting Requirements:
To receive credit for an Action Memo, the region must enter the following data into
CERCLIS:
March 20, 2012 VII-18 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- the media addressed through the action (Media Type and Media Name), and
- the Selected Response Actions.
To receive credit for a ROD, ROD amendment, BSD or Other Remedy Changes the
region must enter the following data into CERCLIS:
Action/Sub Action Name,
Action Lead, and
Actual Completion Date.
For a ROD, ROD amendment, BSD, or Other Remedy Change, EPA HQ is now
responsible for entering the following data into CERCLIS:
- the name of the selected alternative (Alternative Name),
- the media addressed in the ROD (Media Type and Media Name),
the Selected Response Actions (which may include No Action, No Further
Action, Monitoring, or Institutional Controls in addition to active remediation). If
institutional controls are anticipated at the site, institutional control objectives
need to be defined and entered into CERCLIS, and
associated cost data that are listed in the decision document that may be any or all
of the following costs (Capital Cost (must always be entered even if 0), Annual
Operations and Maintenance (O&M) Cost, Total O&M Cost, Present Worth Cost,
O&M Duration, and Discount Rate)
CERCLIS will system generate the RI/FS or FS actual completion date if one does not
already exist and a predecessor relationship was established between the RI/FS and the
ROD. This is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
Action name = Removal, PRP
Removal
Sub Action name =Approval of
Action Memo (AM) or Removal
Action Decision Document (RF)
Action name = Record of Decision
(RO)
Action name = Record of Decision
(RO)
SPIMLead
F, FE, S, TR,
SA, SS, ST,
EP, RP, MR,
PS
F, FE, S, TR,
SA, SS, ST,
EP, RP, MR,
PS
F, FE, S, TR,
SA, SS, ST,
Documentation
Required
Action Memo or other
Removal Decision
Document
ROD
Amended ROD
Documentation Approval/Date
Requirements
Signed by designated regional
official.
Signed by designated regional
official or the AA OSWER.
Signed by designated regional
official or AA OSWER at an NPL
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
SPIM Action/Activity
Sub Action Name = ROD
Amendment (JQ)
Action name = Record of Decision
(RO): Sub Action Name =
Explanation of Significant Diff
(EH)
Action name = Record of Decision
(RO) Sub Action Name = Other
Remedy Change (OT)
SPIM Lead
EP, RP, MR,
PS
F, FE, S, TR,
SA, SS, ST,
EP, RP, MR,
PS
F, FE, S, TR,
SA, SS, ST,
EP, RP, MR,
PS
Documentation
Required
BSD
Other Remedy Change
Documentation Approval/Date
Requirements
or Superfund Alternative site.
Signed by regional official or the
AA OSWER.
Signed by designated regional
official or the AA OSWER.
h. Final Remedy Selected
Definition:
This measure will track the Final Remedy Selected measure at NPL sites. Final Remedy
Selected decisions will also be tracked in CERCLIS for non-NPL sites and reported
separately. A Final Remedy Selected decision occurs when a final decision has taken
place at a site (i.e. the final remedy has been selected at the last operable unit (OU) for a
site). This can include the signature of the final ROD, ROD Amendment, or Removal
Action Memorandum at a site. In general, an Explanation of Significant Difference
(BSD) will not constitute a Final Remedy Selected since ESDs generally document a
non-fundamental change to a remedy. Also, a partial deletion from the NPL cannot be
used to document Final Remedy Selected.
Definition of Accomplishment:
Credit under CERCLA for a Final Remedy Selected will be given when:
Site has a Final ROD or ROD Amendment, there are no existing planned ROD,
ROD Amendment, Removal Action Memorandum, RI/FS or EE/CA actions, and
the action is designated as the Final Remedy. This is reported in CERCLIS as a
ROD (Action Name = Record of Decision) or ROD Amendment (SubAction
Name = ROD Amendment) with the date the designated regional official or the
AA OSWER signs the ROD (Actual Complete) and the action has been
designated a Final Remedy (Qualifier = R); or
Site has a Removal Action Memorandum and no existing planned ROD, RI/FS, or
planned action memorandum and the action is designated as the Final Remedy.
This is reported in CERCLIS as an Action Memorandum (Action Name =
Engineering Eval/Cost Analysis and SubAction Name = Approval of Action
Memo) with the date the memorandum was signed (Actual Complete) and the
action is designated a Final Remedy (Qualifier = R).
Changes in Definition:
None.
March 20, 2012
VII-20
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
CERCLIS will automatically look for planned RODs, ROD Amendments, Removal
Action Memoranda, RI/FSs and EE/CAs when a user assigns the Final Remedy Selected
qualifier at a ROD, ROD Amendment or Action Memorandum. CERCLIS will not assign
the Final Remedy for a deleted site if a Final Remedy determination has already been
made at the site. As part of the development of the baseline for this measure, HQ worked
with the regions to evaluate Construction Completion sites to determine whether they
constituted a Final Remedy Selected (as of 2003). There were a limited number of sites
where additional remedy selection was envisioned and a Final Remedy Selected
determination was not made. As of 2005, no further changes to the baseline number were
to be made.
Once a site is designated as Final Remedy Selected at the end of year pull, that site
cannot get credit for a change in status if it is subsequently determined that additional
changes to the remedy are needed in the future. However, the database can track that
decision document that constitutes the most up to date document reflecting the actual
final remedy selected action, as opposed to the decision document for which credit for
Final Remedy Selected accomplishment was recorded.
This is an internal program measure.
Data Quality:
Data Entry Timeliness Requirement
The Final Remedy Selected decision will be marked by the region as a qualifier
associated with a specific response measure decision document and operable unit. This
qualifier may be selected for a planned action that is expected to be the Final Remedy for
the site. The measure only includes sites for which the Final Remedy Selected qualifier is
assigned to a completed action (one for which the user enters the actual completion date).
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the activity occurs. Once a site is designated as a Final Remedy Selected
site, that designation cannot be removed from the site (although CERCLIS may track
what the new decision is that will be the Final Remedy document) and the site cannot get
credit for another Final Remedy Selected accomplishment in another year. (Generally,
the quarterly pull occurs on the fifth business day following the end of each quarter or the
10th business day following the end of the fourth fiscal quarter.)
Accuracy Requirement
The final remedy determination is tracked to the signature date of the decision document
that designates the remedy for the final OU at the site. The measure tracks the fiscal year
in which the final remedy determination was made and associates the measure to the
remedy decision document/action. The Final Remedy Selected measure at a site is locked
to the year in which the Final Remedy was originally selected/designated. The system
prevents users from changing the original fiscal year in which a final remedy selected
determination was made, once the fiscal year has passed. If a new decision/action is made
at the site that supersedes the original Final Remedy Selected determination, the system
FY12SPIM VII-21 March 20,2012
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OSWER Directive 9200.3-14-1G-W
prompts users to "move" the Final Remedy Selected qualifier to the new measure/action
which becomes the new Final Remedy at the site. In these cases, the region must
document the reason that the remedy changed. If the Fiscal year of the original Final
Remedy Selected action has passed, the measure counts the site in the original fiscal year
of the determination. The site is not counted twice if the Final Remedy Selected qualifier
is moved. Further, measures cannot be removed from CERCLIS after the end of year
accomplishment pull from CERCLIS is determined.
PART II. REMEDIAL IMPLEMENTATION
i. Remedial Design (RD) Start (NPL & Superfund Alternative)
Definition:
The RD converts the remedy selected in the ROD into a final design document for the
RA. The obligation of funds for design assistance or technical assistance does not
constitute a RD start.
Pre-design activities will not be counted as an RD start.
Definition of Accomplishment:
Fund-Financed (Including F-, EP-, TR-, and S-lead actions) - A Fund-financed RD
(Action Name = Remedial Design) at a NPL or Superfund Alternative site is started
(Actual Start) when funds are obligated. An obligation is made when:
The EPA CO signs the contract modification or work assignment/task order for
the RD; or
A Cooperative Agreement is signed by the Regional Administrator or his
designee; or
- An IA is signed by the other federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there
is not a new obligation of funds for a subsequent RD, the start of RD is defined as the
written approval of the work plan to conduct these activities. If there is a new obligation
of funds, the start of RD is defined as the date funds are obligated. When an RD has been
prepared by other parties (e.g., water lines where the city already prepared plans and
specifications) or plans developed for a similar remedy will be used, the RD actual start
date is the same as the RA actual start date.
PRP-financed RD from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead) the State (SS-Lead), or Tribal Governments (ST-
lead) actions) - A PRP-financed RD from a Special Account (Action Name = Remedial
Design) at an NPL or Superfund Alternative site is started (Actual Start) when funds are
obligated. An obligation is made when:
The EPA CO signs the contract modification or work assignment/task order for
the RD; or
March 20, 2012 VII-22 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- A Cooperative Agreement is signed by the Regional Administrator or his
designee; or
- An IA is signed by the other federal agency.
In those instances where design assistance is conducted prior to ROD signature, and there
is not a new obligation of funds for a subsequent RD, the start of RD is defined as the
written approval of the work plan to conduct these activities. If there is a new obligation
of funds, the start of RD is defined as the date funds are obligated. When an RD has been
prepared by other parties (e.g., water lines where the city already prepared plans and
specifications) or plans developed for a similar remedy will be used, the RD actual start
date is the same as the RA actual start date.
PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - The
start (Actual Start) of an RP-lead RD (Action Name = PRP RD) at a NPL or Superfund
Alternative site is credited on the date the earlier of the following actions takes place:
The enforcement document under which the RD is to be conducted becomes
effective;
- For an Administrative Order on Consent (AOC), this is the date of signature of
the AOC for RD by the Regional Administrator or his delegate, or the date of
signature of an amendment to an existing AOC to include RD;
For a Unilateral Administrative Order (UAO), this is the date of the PRP's written
notice of intent to comply with the UAO;
For a CD, this is the date the Regional Administrator signs the memorandum
transmitting the CD to DOJ or HQ; or
An official written notice to proceed is issued by EPA to the PRP.
PRP-financed under state enforcement (PS-lead actions) - Credit will be given (Actual
Start) for a PS-lead RD (Action Name = PRP RD) at a NPL or Superfund Alternative site
based on the issuance or effective date of a state order or other comparable state
enforcement document for RD (or combined RD/RA). If the RD is covered by a pre-
existing state order, credit will be based on the notice to proceed date.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the RD (Action Name = Remedial Design or PRP
RD) must be entered into CERCLIS. Accomplishments are reported site-specifically.
Funds for RDs are in the pipeline operations Site Allowance. This is an internal program
target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
FY12SPIM VII-23 March 20,2012
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OSWER Directive 9200.3-14-1G-W
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM
Action/
Activity
SPIM
Lead
Documentation Required
Documentation Approval/Date
Requirements
Action name
= Remedial
Design (RD)
F,EP,
TR, S,
SA, SS,
ST
Contract modification or work assignment/task order
for the RD, Cooperative Agreement or IA.
Signed by the EPA CO; or Signed
by the Regional Administrator or
his designee; or An IA signed by
the other federal agency.
Action name
= PRPRD
(BE)
RP,MR
Official written notice from the EPA to the PRP or the
enforcement document under which the RD is to be
conducted becomes effective (this can be either the
AOC, or an amendment to an existing AOC to include
RD); or The PRP's written notice of intent to comply
with the UAO; or Memo transmitting the CD to DOJ or
HQ).
Official written notice from the
EPA AOC signed by the Regional
Administrator or his delegate for
the RD PRP's written notice
Signed by Regional
Administrator.
Action name
= PRPRD
(BE)
PS
State order or other comparable state enforcement
document.
Signature and date on the
enforcement document.
j. RD Completion (NPL & Superfund Alternative)
Definition:
The RD converts the remedy selected in the ROD into a final design document for RA.
Definition of Accomplishment:
The RD at an NPL or Superfund Alternative site is complete when:
Fund-financed (Including F-, EP-, TR-, and S-lead actions) - EPA concurs, in writing,
with the final design document.
PRP-financed under federal enforcement (Including MR- and RP-lead actions) - EPA
concurs, in writing, with the final design document.
PRP-financed under state enforcement (PS-lead actions) - the state concurs with the
final design document.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) of the RD (Action Name = Remedial
Design or PRP RD) must be entered into CERCLIS. Accomplishments are reported site-
specifically. This is an internal program target and measure. The regions should update
the technical and cost data previously entered by HQ for the ROD if there are any
March 20, 2012
VII-24
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
changes that result from the RD. This can be accessed through the Selected Remedy
Summary screen.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
Action name = Remedial
Design (RD)
Action name = PRP RD
(BE)
Action name = PRP RD
(BE)
SPIM Lead
F, EP, TR, S,
SA, SS, ST
RP,MR
PS
Documentation Required
Written EPA approval of the final
design document.
Written EPA approval of the final
design document.
State approval of final design
document.
Documentation Approval/Date
Requirements
Not specified
Not specified.
Not Specified
k. Remedial Action Start (NPL & Superfund Alternative)
Definition:
Remedial Action - A remedial action (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, ESD). Fund-financed remedial actions 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 Superfund Alternative sites.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision document where the only action selected is
Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional
Controls. A Limited RA is distinguished from Remedial Action because the remedy
typically requires no remedial design and is distinguished from a No Action/No Further
Action ROD because the remedy includes at least some remedial action component. In
the case of monitored natural attenuation, natural processes are used to attain cleanup
goals, and the Limited RA may only consist of adding monitoring wells and a
determination that the action is complete. 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 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 remedy, the Limited
FY 12 SPIM
VII-25
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
RA consists of implementing the institutional controls outlined in the decision document.
To identify an RA as a Limited RA in CERCLIS, a region should attach the Limited RA
Critical Indicator to the RA action code (Action Name = Remedial Action or PRP RA).
Institutional Control Remedial Action - An institutional control remedial action is an
anomaly-coded action used solely to fund the institutional control implementation (or
oversight) component of a selected remedy where the remedial action for the selected
remedy has already been completed. This action is distinguished from a limited remedial
action, in which the selected remedy is monitored natural attenuation, monitored natural
recovery, and/or institutional controls only. Because this action is associated with an
existing completed remedial action, the Other Start and Completion anomaly code
(RAA_CODE = "OA") should be used. Where the selected remedy includes physical
construction as well as institutional controls, and the remedial action is not yet started or
is underway, implementation of the institutional controls should be included in the
remedial action and the anomaly code should not be used.
DISCLAIMER: The Remedial Action start is a program management accomplishment
that does not signify "initiation of physical on-site construction" for purposes of
calculating a cost recovery statute of limitations. The date found in the remedial action
actual start column of a CERCLIS report is a programmatic measure only, and cannot be
relied upon to create any rights, substantive or procedural, enforceable by any party in
litigation with the United States. EPA reserves the right to change such data at any time
without public notice.
Definition of Accomplishment:
The start date (Actual Start) of the RA, Limited RA, or Institutional Control Action
(Action Name = Remedial Action or PRP RA), as defined below, is entered into
CERCLIS to record the start accomplishment.
Fund-financed (Including F-, EP-, TR-, and S-lead actions)
Remedial Action and Institutional Control Remedial Action (Action Name = Remedial
Action)
- A RA start at a NPL site is the date a contract modification for the RA is signed
by the EPA CO or the IA is signed by the other federal agency or a Cooperative
Agreement is awarded, and funds are obligated.
A RA start at a NPL site, which is a subsequent RA start under an existing IA, is
the date the amendment to the IA to include the new work is approved.
Limited Remedial Action (Action Name = Remedial Action)
- A Limited RA start at a NPL site is the date a ROD selecting a limited remedial
action is signed.
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OSWER Directive 9200.3-14-1G-W
PRP- financed RA from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Governments (ST-
lead) actions)
Remedial Action and Institutional Control Remedial Action (Action Name = Remedial
Action)
- A RA start at a NPL or Superfund Alternative site is the date a contract
modification for the RA is signed by the EPA CO or the IA is signed by the other
federal agency or a Cooperative Agreement is awarded, and funds are obligated
A RA start at a NPL or Superfund Alternative site, which is a subsequent RA start
under an existing I A, is the date the amendment to the IA to include the new work
is approved.
Limited Remedial Action (Action Name = Remedial Action)
A Limited RA start at a NPL or Superfund Alternative site is the date a ROD
selecting a limited remedial action is signed.
PRP-financed under federal enforcement (MR- lead actions)
Remedial Action (Action Name = PRP RA)
An RA start at a NPL or Superfund Alternative site is the date either one of the following
occurs and has been recorded in CERCLIS:
If work is performed by the PRPs under the same enforcement instrument (e.g.,
CD, UAO) as the RD, the RA start is the date EPA approves, in writing, the PRP
RD document (RD completion); or
Where the Fund performed the RD or the RD was done under a settlement/order
for RD only and the PRPs are doing the RA under the terms of a separate CD or
judgment for RA only, the RA start date is whichever one of the following occurs
first:
» The date the Regional Administrator signs the memorandum transmitting
the CD (Action Name = Consent Decree) to DOJ or HQ;
» The date the judgment (Action Name = Judicial/Civil Judgment) is signed
by the federal judge; or
» The date EPA approves, in writing, the final design document for the RD.
Institutional Control Remedial Action (Action Name = PRP RA)
An RA start at an NPL or Superfund Alternative site is the date the earlier of the
following actions takes place:
» The date of signature of the AOC for RA by the Regional Administrator or
his delegate, or the date of signature of an amendment to an existing AOC
to include the RA;
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OSWER Directive 9200.3-14-1G-W
» The date the Regional Administrator signs the memorandum transmitting
the CD to DOJ or HQ; or
» An official written notice to proceed is issued by EPA to the PRP.
Limited Remedial Action (Action Name = PRP RA)
- A Limited RA start at an NPL or Superfund Alternative site, under the terms of a
CD or judgment for RA only, is the date either one of the following occurs and is
recorded in CERCLIS:
» The CD (Action Name = Consent Decree) is transmitted by the Regional
Administrator to HQ or the DOJ; or
» The date the judgment (Action Name = Judicial/Civil Judgment) is signed
by the federal judge.
PRP-flnanced under federal enforcement (RP- lead actions)
Remedial Action (Action Name = PRP RA)
An RA start at an NPL or Superfund Alternative site is the date either one of the
following occurs and has been recorded in CERCLIS:
» If work is performed by the PRPs under the same enforcement instrument
(e.g., CD, UAO) as the RD, the RA start is the date EPA approves, in
writing, the PRP RD document; or
» Where the Fund performed the RD or the RD was done under a
settlement/order for RD and the PRPs are doing the RA under the terms of
a separate CD, UAO (RP-lead RA only) or judgment for RA only, the RA
start date (Actual Start) is whichever one of the following occurs first:
The date of the PRP's written notice of intent to comply with the
UAO for the RP-lead RA (Action Name = Unilateral Admin Order
and Sub Action Name = PRPs Ntfy EPA, Intent to Comply);
The date the Regional Administrator signs the memorandum
transmitting the CD (Action Name = Consent Decree);
The date the judgment (Action Name = Judicial/Civil Judgment) is
signed by the federal judge; or
The date EPA approves, in writing, the final design document for
theRD.
Institutional Control Remedial Action (Action Name = PRP RA)
- An RA start at an NPL or Superfund Alternative site is the date the earlier of the
following actions takes place:
» The date of signature of the AOC for RA by the Regional Administrator or
his delegate, or the date of signature of an amendment to an existing AOC
to include the RA;
» The date the Regional Administrator signs the memorandum transmitting
the CD to DOJ or HQ; or
» An official written notice to proceed is issued by EPA to the PRP.
Limited Remedial Action (Action Name = PRP RA)
March 20, 2012 VII-28 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- A Limited RA start at an NPL or Superfund Alternative site, under the terms of a
CD, UAO or judgment for RA only, is that date either one of the following occurs
and is recorded in CERCLIS:
» The date of the PRP's written notice of intent to comply with the UAO
(Action Name = Unilateral Admin Order and SubAction Name = PRPs
Ntfy EPA, Intent to Comply);
» The date the Regional Administrator signs the memorandum transmitting
the CD to DOJ or HQ; or
» The date the judgment (Action Name = Judicial/Civil Judgment) is signed
by the federal judge.
PRP-financed under state enforcement (PS-lead actions)
Remedial Action (Action Name = PRP RA)
- If the PRP is doing work under a state order or comparable enforcement
document, and the NPL or Superfund Alternative site is covered by a state
enforcement cooperative agreement or State Memorandum of Agreement
(SMOA) with a schedule for remedial action work at the site, and EPA approved
the ROD, the RA start is the date the state approves, in writing, the PRP RD
document.
Institutional Control Remedial Action (Action Name = PRP RA)
The RA start at an NPL or Superfund Alternative site is the issuance or effective
date of a state order or other comparable state enforcement document for the RA.
If the RA is covered by a preexisting order, the RA start date is the notice to
proceed date.
Limited Remedial Action (Action Name = PRP RA)
- If the PRP is doing work under a state order or comparable enforcement
document, and the NPL or Superfund Alternative site is covered by a state
enforcement cooperative agreement or State Memorandum of Agreement
(SMOA) with a schedule for remedial action work at the site, and EPA approved
the ROD, the Limited RA start is the issuance or effective date of the enforcement
instrument.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program target and measure. The actual start date (Actual Start) of the
RA (Action Name = Remedial Action or PRP RA), the Limited RA Critical Indicator,
and, for PRP-lead RAs, the appropriate enforcement information must be entered into
CERCLIS. The regions should update the technical and cost data previously entered by
HQ for the ROD if there are any changes that result from the RA. Fund-financed RAs are
planned on a site-and action-specific basis and are in the RA Site Allowance. Oversight
of RP-lead RAs is funded through the pipeline operations Site Allowance.
FY12SPIM VII-29 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
. Activity -
SPIM
Lead
Documentation Required
Documentation Approval/
Date Requirements
Action name =
Remedial Action
(RA)
F,EP,
TR, S,
SA, SS,
ST
Contract modification for the RA or IA.
RA signed by the EPA CO; or
IA signed by the other federal
agency.
Action name =
PRP RA (BF)
MR
Written approval by the EPA of the PRP RD
document; Memo transmitting the CD to DOJ or
HQ; The judgment, or written approval from the
EPA of the final design document for the RD.
The date of written approval;
Signed by the Regional
Administrator;
Signed by the federal judge
Action name =
PRP RA (BF)
RP
Written approval from EPA of the PRP RD
document; PRP's written notice of intent to comply
with UAO; Memo transmitting the CD and judgment
EPA written approval of the final design document.
The date of written approval;
The date of written notice;
Memo signed by the Regional
Administrator; judgment
signed by the federal judge
100% design approval by EPA
Action name =
PRP RA (BF)
PS
Written approval from the state of the PRP RD
document.
The date of written approval.
Action name =
Remedial Action
(RA):
Limited Remedial
Action
F, TR,
S, SA,
SS, ST
Signed ROD.
ROD signature date
Action name =
PRP RA (BF):
Limited Remedial
Action
RP
PRP's written notice of intent to comply with UAO;
Memo transmitting the CD to DOJ or HQ;
Judgment.
The date of written notice.
Signed by the Regional
Administrator; Signed by the
federal judge.
Action name =
PRP RA (BF):
Limited Remedial
Action
MR
CD transmitted by the Regional Administrator to
HQ or the DOJ; or
Judgment.
The date of CD transmittal
memo; Signed by the federal
judge.
Action name =
PRP RA (BF):
Limited Remedial
Action
PS
Enforcement instrument.
The date of issuance or
effective date.
Action name =
Remedial Action
F,EP,
TR, S,
Contract modification for the RA or IA.
RA signed by the EPA CO; or
IA signed by the other federal
March 20, 2012
VII-30
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
SPIM Action/
• • Activity
SPIM
Lekd
Documentation Required
Documentation Approval/
Date Requirements
(RA): Institutional
Control Remedial
Action
Anomaly Code
"OA" is to be used
SA, SS,
ST
agency.
Action name =
PRP RA (BF):
Institutional
Control Remedial
Action
Anomaly Code
"OA" is to be used
MR
Official written notice from the EPA to the PRP or
the enforcement document under which the RD is to
be conducted becomes effective (this can be either
the AOC, or an amendment to an existing AOC to
include RD; or the PRP's written notice of intent to
comply with the UAO; or Memo transmitting the
CDtoDOJorHQ).
Official written notice from
the EPA; AOC signed by the
Regional Administrator or his
delegate for the RD;
PRP's written notice;
Signed by Regional
Administrator.
Action name =
PRP RA (BF):
Institutional
Control Remedial
Action
Anomaly Code
"OA" is to be used
RP
Official written notice from the EPA to the PRP or
the enforcement document under which the RD is to
be conducted becomes effective (this can be either
the AOC, or an amendment to an existing AOC to
include RD; or the PRP's written notice of intent to
comply with the UAO; or Memo transmitting the
CDtoDOJorHQ).
Official written notice from
the EPA; AOC signed by the
Regional Administrator or his
delegate for the RD;
PRP's written notice;
Signed by Regional
Administrator.
Action name =
PRP RA (BF):
Institutional
Control Remedial
Action
Anomaly Code
"OA" is to be used
PS
State order or other comparable state enforcement
document.
Signature and date on the
enforcement document.
1. RA Contract Award (NPL & Superfund Alternative)
Definition:
Award of RA contract is the date a contract for construction of the remedy is awarded.
Definition of Accomplishment:
Fund-financed (Including F-, TR-, and S-lead actions) and PRP-financed RA from a
Special Account (including Special Account Financed Action performed by EPA (SA-
lead), the State (SS-Lead), or Tribal Governments (ST-lead) actions) - Date (recorded in
CERCLIS as an Actual Complete) when the EPA, state or other federal agency (e.g.
USAGE) awards (signs) a contract to initiate a Fund-financed RA.
If a Response Action Contracts (RAC) contractor is assigned RA responsibility, the
award of RA contract at a final NPL site is defined as the date the RA subcontract is
signed by the contractor. If an Emergency and Rapid Response Services (ERRS)
FY 12 SPIM
VII-31
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
contractor will be performing the RA, award of RA contract is defined as the date (Actual
Complete) the contract modification for the RA is signed by the EPA CO.
PRP-financed under federal enforcement (Including MR-, RP-, and PS-lead actions) -
Date (recorded in CERCLIS as an Actual Complete) when the PRP awards a contract to
initiate the RA at a NPL or Superfund Alternative site, as documented in a memorandum
to the site file.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The actual completion date (Actual Complete) must be placed in CERCLIS with the RA
Sub Action, Award of RA Contract (Action Name = Remedial Action or PRP RA and the
Sub Action Name = Award of Contract). This activity may be tracked by HQ for program
management purposes, but it is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
Activity,
Action name =
Remedial
Action(RA)
Action name =
PRP RA (BF)
SPIM
Lead
F, TR, S,
SA, SS,
ST
MR, RP,
PS
Documentation
Required
Contract, subcontract, or
contract modification.
Memo documenting PRP
awarded contract.
Documentation Approval/Date Requirements
EPA, state or USAGE signed contract. RA subcontract
signed by the RAC contractor or the contract
modification for the RA signed by the EPA CO.
The date of memo to the site file.
m. Start of On-Site Construction (NPL & Superfund Alternative)
Definition:
This measure counts the initiation of on-site construction for all remedial actions at NPL
or Superfund Alternative sites.
Definition of Accomplishment:
On-Site Construction for a Remedial Action begins when the EPA, RAC contractor,
USAGE, state or PRP, or their contractors have begun on-site construction work at a site
for the remedial action selected in the ROD or other decision document.
Fund-financed (Including F-, TR-, and S- lead actions) - EPA, the state or their
contractors have begun work for on-site construction of the remedy at a site on the
NPL. A memo to file documenting that the contractor has mobilized and began
March 20, 2012
VII-32
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
substantial and continuous physical on-site remedial action is required. This date
is entered into CERCLIS as the RA On-Site Construction SubAction (Action
Name = Remedial Action and SubAction Name = RA On-Site Construction Start)
actual completion date (Actual Complete).
PRP- financed from a Special Account (including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal
Governments (ST-lead) actions) - EPA, the state or their contractors have begun
work for on-site construction of the remedy at a NPL or Superfund Alternative
site. A memo to file documenting that the contractor has mobilized and began
substantial and continuous physical on-site remedial action is required. This date
is entered into CERCLIS as the RA On-Site Construction SubAction (Action
Name = Remedial Action and SubAction Name = RA On-Site Construction Start)
actual completion date (Actual Complete).
PRP-financed under federal enforcement (Including RP- and MR- lead
actions) - The PRPs or their contractors have begun work at a NPL or Superfund
Alternative site for on-site construction of the remedy. The date of on-site
construction must be documented in a memorandum to the site file stating when
the contractor began substantial and continuous physical on-site remedial action.
A copy of a report of start up from the contracting party is also acceptable. The
date of on-site construction must be entered into CERCLIS as the RA On-Site
Construction SubAction (Action Name = PRP RA and SubAction Name = RA
On-Site Construction Start) actual completion date (Actual Complete).
In addition, to receive credit under this measure, the PRPs must be in compliance
with a UAO, or an enforcement instrument signed by EPA and the PRPs, or a
judgment signed by a federal judge. The following information must be entered
into CERCLIS for the enforcement instrument:
» The date (Actual Complete) the PRPs provide notice of intent to comply
(Action Name = PRP Notify EPA of Intent to Comply) with a UAO for
the RP-lead RA signed (Actual Complete) by the designated regional
official (Action Name = Unilateral Admin Order), and the Response Acts
Pd by Parties of "PRP RA" or
» The date the CD (Action Name = Consent Decree) was signed by the
PRPs, the designated regional official, and the federal judge (Actual
Complete), and the Response Acts Pd by Parties of "PRP RA"; or
» The date a judgment (Action Name = Judicial/Civil Judgment) was signed
by the federal judge (Actual Complete), and the Response Acts Pd by
Parties of "PRP RA".
PRP-financed under state enforcement (PS-lead actions) - The PRPs or their
contractors have begun work at a NPL or Superfund Alternative site for on-site
construction of the remedy. The date of on-site construction must be documented
in a memorandum to the site file stating when the contractor began substantial and
FY12SPIM VII-33 March 20,2012
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OSWER Directive 9200.3-14-1G-W
continuous physical on-site remedial action. A copy of a report of start up from
the contracting party is also acceptable. The date of on-site construction must be
entered into CERCLIS as the RA On-Site Construction SubAction (Action Name
= PRP RA and SubAction Name = RA On-Site Construction Start) actual
completion date (Actual Complete). In addition, to receive credit under this
measure, the PRPs must be working under a state enforcement instrument.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
RA starts will be tracked separately for management purposes. The date of RA on-site
construction (SubAction Name = RA On-site Construction Start) will be used for
purposes of establishing the Statute of Limitation (SOL) determination. It is also used as
the trigger date for a statutory Five Year Review (FYR), if applicable. The Five Year
Review planned completion date is set for five years after the RA On-Site Construction
Start planned start date. The Five Year Review planned completion date will be grayed
out and uneditable once the actual start date for the RA On-Site Construction Start is
entered. This activity may be tracked by HQ for program management purposes, but it is
not a program target or measure.
Data Entry Timeliness Requirements:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
Action name = Remedial
Action (RA): SubAction name
= RA On-Site Construction
(RG)
Action name = PRP RA (BF):
SubAction name = RA On-Site
Construction (RG)
Action name = PRP RA (BF):
SubAction name = RA On-Site
Construction (RG)
Action name = Unilateral
Admin Order (UA) Consent
Decree (CD) Judicial/Civil
Judgment (JG)
SPIM
Lead
F, TR,
S, SA,
SS, ST
RP, MR
PS
MR,RP
Documentation Required
Memo
Memo or a copy of a report of start up
from the contracting party
Memo or a copy of a report of start up
from the contracting party, state
enforcement instrument
PRP's written notice of intent to
comply with UAO; or Memo
transmitting the CD to DOJ or HQ; or
Judgment signed by the federal judge.
Documentation Approval/
Date Requirements
The date of memo to the site
file.
Memo to site file.
Memo to site file.
The date of PRP's written
notice. Signed by the Regional
Administrator Signed by the
federal judge.
March 20, 2012
VII-34
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
n. Operational and Functional (NPL & Superfund Alternative)
Definition:
Operational & Functional (O&F) activities are generally conducted after physical
construction of the remedy is complete to ensure that it is functioning properly and
operating as designed. A remedy is determined to be O&F either one year after
construction is complete, or when EPA and the state concur that the remedy is
functioning properly and is performing as designed (whichever is earlier). EPA may grant
extensions to the one-year period, as appropriate. O&F activities occur during the last
year of Remedial Action, and generally guide the schedule for transferring O&M
responsibilities to states for fund-financed remedies.
O&F determinations are typically only made for those remedies that have an O&M, long
term response action (LTRA), or PRP long term response action (PRP LR) component.
Monitored natural attenuation remedies have a simplified O&F determination. EPA is
responsible for the O&F determination (with concurrence from the appropriate parties);
therefore all O&F SubActions are given a Fund-financed lead code. Upon O&F
completion, the remedy moves into LTRA, PRP LR, or O&M.
Definition of Accomplishment:
O&F activities are completed when the appropriate parties (e.g., EPA, state and/or PRP)
concur that the remedy is operational and functional, and the completion (Actual
Completion Date) of the O&F period (Action Name = Remedial Action or PRP RA and
SubAction Name = Operational and Functional) is documented by a letter from EPA to
the appropriate parties. The O&F completion date should directly correspond to the start
date for the LTRA, PRP LR or O&M action that follows. Planned and actual start dates
are not required for the O&F SubAction.
The RA Report is only used to document RA completion, and should not be used to
document O&F determinations due to potential delays in preparing RA reports. O&F
completions should be documented by a letter from EPA to the appropriate parties,
independent from the RA report. This will ensure timely transfer of O&M responsibilities
to states at fund-financed remedies.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The completion (Actual Complete) of O&F (SubAction Name = Operational and
Functional) are reported site and OU specifically in CERCLIS. Completion of this
activity may be tracked by HQ for program management purposes, but it is not a program
target or measure. As a SubAction, O&F does not receive funding.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
FY12SPIM VII-35 March 20,2012
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OSWER Directive 9200.3-14-1G-W
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
'SPEW
Lead
Documentation
Required
Documentation Approval/Date Requirements
Action Name = Remedial
Action or PRP RA
Sub Action Name =
Operational and Functional
(VM)
Letter to the
interested parties.
Signed by the designated regional official within one
year of remedy construction, unless an extension has
been granted
o. Final Inspection by EPA (NPL & Superfund Alternative)
Definition:
Final Inspection by EPA refers to the contract final inspection, conducted to determine
whether construction of the remedy has been completed in accordance with the contract
design and specifications.
Definition of Accomplishment:
The final contract inspection (Action Name = Remedial Action or PRP RA and
SubAction Name = Final Inspection by EPA) is complete (Actual 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).
Changes in Definition:
This SubAction is being defined in the SPIM for the first time.
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. Planned and actual start dates are
not required for this SubAction. Additional information on RA inspections may be found
in Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May
2011). This activity may be tracked by HQ for program management purposes, but it is
not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
March 20, 2012
VII-36
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
SPIM Action/Activity
Action Name = Remedial Action
or PRP RA
Sub Action Name = Final
Inspection by EPA (PQ)
SPIM:
Lead
F
Documentation Required
EPA's written approval of the Final
Inspection Report
Documentation Approval/Date
Requirements
Signed by the designated
regional official
p. Remedial Action Completion (NPL & Superfund Alternative)
Definition:
Remedial Action - A remedial action (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). Fund-financed remedial actions 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 Superfund Alternative sites.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision document where the only action selected is
Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional
Controls. A Limited RA is distinguished from Remedial Action because the remedy
typically requires no remedial design and is distinguished from a No Action/No Further
Action ROD because the remedy includes at least some remedial action component. In
the case of monitored natural attenuation, natural processes are used to attain cleanup
goals, and the Limited RA may only consist of adding monitoring wells and a
determination that the action is complete. 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 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 remedy, the Limited
RA consists of ensuring the institutional controls are in place. To identify an RA as a
Limited RA in CERCLIS, a region should attach the Limited RA Critical Indicator to the
RA action code (Action Name = Remedial Action or PRP RA).
Institutional Control Remedial Action - An institutional control remedial action is an
anomaly-coded action used solely to fund the institutional control implementation (or
oversight) component of a selected remedy where the remedial action for the selected
remedy has already been completed. This action is distinguished from a limited remedial
action, in which the selected remedy is monitored natural attenuation, monitored natural
recovery, and/or institutional controls only. Because this action is associated with an
existing completed remedial action, the Other Start and Completion anomaly code
(RAA_CODE = "OA") should be used. Where the selected remedy includes physical
construction as well as institutional controls, and the remedial action has not yet started
FY 12 SPIM
VII-37
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
or is underway, implementation of the institutional controls should be included in the
remedial action and the anomaly code should not be used.
Definition of Accomplishment:
The completion date (Actual Completion) of the RA, Limited RA, or Institutional Control
Action (Action Name = Remedial action or PRP RA), as defined below, is entered into
CERCLIS to record the completion accomplishment.
Remedial Action and Limited Remedial Action
- A Fund-financed RA completion at a NPL site or a PRP-lead RA completion at a
NPL or Superfund Alternative site is the date the designated regional official
approves the Remedial Action Report.
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).
Institutional Control Remedial Action
A Fund-financed RA completion at a NPL site or a PRP-lead RA completion at a
NPL or Superfund Alternative site is the date that the appropriate institutional
control vehicle designated in the ROD (e.g. deed restriction, well drilling
restriction, groundwater use restriction) is fully implemented and documented.
Changes in Definition:
Minor edits made in order to improve consistency with the revised guidance Close Out
Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The
revised guidance no longer distinguishes between Interim and Final RA Reports,
therefore the qualifier is no longer utilized.
Special Planning/Reporting Requirements:
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.
Beginning in FY 2011, the Superfund program began reporting "Remedial Action Project
Completions" externally as a key program measure with an annual target. The measure
includes Fund, PRP (including Special Account-funded) and Federal Facility RA
completions at final and deleted NPL sites. The new measure is intended to augment the
existing site-wide 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.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
March 20, 2012 VII-38 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
,th
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10 business day
following the end of FYQ4.)
SPIM Action/Activity
Action name = Remedial Action (RA)
orPRPRA(BF)
Action name = Remedial Action (RA)
orPRP RA (BF): Limited Remedial
Action
Action name = Remedial Action (RA)
or PRP RA (BF): Institutional
Control Remedial Action
Anomaly Code "OA" is to be used
SPIM Lead
F, EP, TR, S,
SA, SS, ST,
MR, RP, PS
F, EP, TR, S,
SA, SS, ST,
MR, RP, PS
F, EP, TR, S,
SA, SS, ST,
MR, RP, PS
Documentation Required
Remedial Action Report.
Remedial Action Report.
Documentation of the 1C
vehicle designated in the
Record of Decision
Documentation
Approval/Date
Requirements
Written approval from the
designated regional
official
Written approval from the
designated regional
official
Signature on the
institutional control
documentation
q. Construction Completion (NPL & Superfund Alternative)
Definition:
Construction at an NPL or PRP-lead Superfund Alternative site is considered complete
when physical construction is complete for the entire site as a result of one or more
removal and/or remedial actions, and a Preliminary Close Out Report (PCOR) has been
signed by the designated regional official and concurred with by HQ. The report must
address construction activities for the entire site. There is only one Construction
Completion accomplishment per site. For more detailed information on the specific
requirements for Construction Completion, see Close_JJ]M_^^
~
Definition of Accomplishment:
The Construction Completion designation requires that the remedy is documented in a
final ROD, physical construction of the remedy is complete, a pre-final inspection has
been conducted and only minor punch list items remain, and the designated regional
official has signed the PCOR.
Construction Completion is achieved when the region enters the signature date (Actual
Complete) of the PCOR into CERCLIS (Action Name = Prelim Close-Out Rep Prepared)
and HQ selects the appropriate special initiative indicator in CERCLIS (Indicator Name =
Construction Completion or Indicator Name = SAA Construction Completion). This
action constitutes HQ concurrence with the construction completion documentation. EPA
is responsible for documenting Construction Completion; therefore all PCOR actions are
given a Fund-financed lead code.
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
If a site meets both the Construction Completion and Site Completion criteria
simultaneously, then a PCOR is not needed. In this situation, a Final Close Out Report
(FCOR) may be prepared in order to satisfy documentation requirements for both
milestones. The same CERCLIS rules apply for the signature date (Actual Complete) of
the FCOR (Action Name = Close Out Report) and HQ selection of the special initiative
indicator.
In some rare instances, NPL sites may be addressed entirely under removal
authority. In such instances, the site is likely to achieve CC and site completion at
the same time. The Remedial Project Manager (RPM) (or OSC) should document
in the final Pollution Report (POLREP) that the contractor has completed all
removal actions and demobilized from the site. The RPM (or OSC) should then
prepare an FCOR to document construction completion (and simultaneous site
completion).
Changes in Definition:
Definition was updated to reflect recent revisions to Q05lLj2MJ^
Special Planning and Reporting Requirements:
Regions will not receive credit for Construction Completion until the actual completion
date of the Preliminary or Final Close-Out Report is entered into CERCLIS, the
necessary documentation is submitted to HQ, and HQ selects the appropriate special
initiative indicator in CERCLIS. For NPL sites, regions identify sites to meet the goal
prior to the start of the FY. Regions may receive credit under this measure and the NPL
Site Completion measure as a result of the same remedial action or removal action. Sites
with Superfund Alternative Agreements do not count toward meeting annual
Construction Completion goals. Construction Completion is a key program target and
measure; the program reports accomplishments to external parties.
The planned completion date for a Policy Five Year Review is set for five years after the
PCOR or FCOR planned completion date. The Five Year Review planned completion
date will be grayed out once the actual completion date of the PCOR or FCOR is entered.
PART III. POST CONSTRUCTION COMPLETION
r. Long-Term Response Action (LTRA and PRP LR) (NPL & Superfund
Alternative)
Definition:
LTRA refers to the Fund-fmanced(or PRP-financed from a Special Account), operation
of ground water and surface water restoration measures, including monitored natural
attenuation for the first 10 years of operation following the O&F determination or until
cleanup levels are achieved, whichever is earlier.
March 20, 2012 VII-40 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
PRP LR (PRP long-term response) is a specific type of O&M for ground water and
surface-water restoration remedies (including monitored natural attenuation). The 10-year
time period described above does not apply to PRP LR.
Note that LIRA and PRP LR do not apply to other remedies that simply require a long
time to achieve cleanup goals, such as bioremediation or soil vapor extraction. LIRA and
PRP LR also do not apply to ground water or surface water containment measures,
ground water monitoring, or ground water or surface water measures initiated for the
primary purpose of providing a drinking water supply.
Definition of Accomplishment:
LIRA and PRP LR Start:
Fund-financed LTRA (Including F- and S- lead actions), PRP-financed from a Special
Account (Including Special Account Financed Action performed by EPA (SA-lead),
the State (SS-lead), or Tribal Government (ST-lead) actions) or PRP LR (Including
RP-, MR-, PS-, and SR- lead actions) Start: LTRA at a NPL site or PRP LR at a NPL or
Superfund Alternative site (Action Name = Long Term Response or PRP LR) begins
(Actual Start Date) on the date the remedy is determined to be O&F. Note that RA
completion (the parent action to the O&F SubAction) may occur later than LTRA start
because the RA Report is generally submitted to the region for approval up to 90 days
after the O&F determination.
LTRA and PRP LR Completion:
Fund-financed LTRA or PRP-financed from a Special Account Completion: LTRA at
a NPL site is complete (Actual Complete Date) 10 years after it begins or when cleanup
goals are achieved as documented by valid monitoring data (e.g., routine O&M report),
whichever is earlier. LTRA transitions to O&M if cleanup goals have not been achieved
within the 10-year period.
PRP LR Completion: PRP LR at a NPL or Superfund Alternative site is complete
(Actual Complete Date) when cleanup goals are achieved, as documented by valid
monitoring data (e.g., routine O&M report).
Changes in Definition:
Minor edits made in order to improve consistency with the revised guidance Close_Oui
The
revised guidance no longer distinguishes between Interim and Final RA Reports;
therefore a Final RA Report is not needed to document achievement of restoration goals.
Special Planning/Reporting Requirements:
LTRA and PRP LR are planned on a site-specific basis (Action Name = Long-term
Response or PRP LR) in CERCLIS and are used for resource allocation purposes only.
Funds for LTRA are issued site-specifically in the RA 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.
FY12SPIM VII-41 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
Activity
SPIM
Lead
Documentation Required
Documentation Approval/Date;
Requirements
Action name =
Long Term
Response (LR)
F, S, TR,
SA, SS,
ST
Start
Letter documenting O&F completion
Complete
Letter to the state confirming LTRA transfer;
or Report containing valid monitoring data
that demonstrate cleanup goals achieved
Start
Signed by the designated regional
official.
Complete
Signed by the appropriate regional
official. Date should not exceed 10
years from LTRA start.
Action name =
PRP LR (ME)
RP,MR,
PS, SR
Start
Letter documenting O&F completion
Complete
Report containing valid monitoring data that
demonstrate cleanup goals achieved
Start
Written approval from the
designated regional official.
Complete
Signed by the appropriate regional
official.
s. Operation and Maintenance (O&M) (NPL & Superfund Alternative)
Definition:
O&M are the activities required to maintain the effectiveness or the integrity of the
remedy, and, in the case of Fund-financed or PRP-financed from a special account
measures to restore ground- or surface- waters, continued operation of such measures
beyond the LTRA period until cleanup goals are achieved. Except for Fund-financed or
PRP-financed from a special account ground- or surface- water restoration actions
covered under section 300.435(f)(4) of the 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).
Depending on the remedy that was implemented at the site/OU, O&M may not be
required, may only be required for a defined timeframe, or may be required to be
performed indefinitely. Examples of remedies where O&M may have an indefinite period
of performance are sites where waste is contained on-site and the integrity of the cap
must be maintained or sites where institutional controls must be maintained. In some
instances, O&M may be complete when the ground- or surface- water restoration goals
are met. The state or PRP is fully responsible for O&M.
Ground water and surface water restoration measures, including monitored natural
attenuation conducted by the PRPs, are technically defined as O&M. However, to better
March 20, 2012
VII-42
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
track these types of restoration remedies, regions should use PRP LR to indicate that
these activities are being performed at the site.
Definition of Accomplishment:
The start of O&M (Action Name = Operations and Maintenance) depends upon the
remedial action objectives of a given remedy. For containment remedies, O&M starts
(Actual Start Date) on the date the remedy is declared O&F, and it signifies the state or
PRPs have assumed responsibility for all activities necessary to operate and/or maintain
the long-term effectiveness or integrity of the actions selected in the ROD. Note that RA
completion (the parent action to the O&F SubAction) may occur later than O&M start
because the RA Report is generally submitted to the region for approval up to 90 days
after the O&F determination.
For groundwater or surface water restoration remedies, which are subject to a 10-year
LIRA (either Fund-financed or PRP-financed through a Special Account), O&M (Action
Name = Operation and Maintenance) starts (Actual Start Date) upon completion of
LIRA.
Where appropriate, the completion of O&M is defined as the date (Actual Complete) the
performance standards or conditions specified in the Superfund State Contract (SSC),
Cooperative Agreement, or Consent Decree have been met with respect to O&M. If
O&M must be conducted indefinitely, regions should not enter an actual completion date.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Completion of O&M is an internal program measure. O&M is planned site-specifically
(Action Name = Operation and Maintenance) in CERCLIS. 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 CERCLIS.
Where O&M must be conducted indefinitely, regions should not enter a planned or actual
completion date for the O&M action.
If the only O&M activities being conducted by the PRPs at the site are ground water or
surface water restoration, including monitored natural attenuation, regions should use the
'PRP LR Action instead of the 'Operations and Maintenance' Action. In this situation,
regions should not enter both Actions.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY12SPIM ¥11-43 March 20,2012
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OSWER Directive 9200.3-14-1G-W
SPIM Action/
'Activity
SPIM Lead
Documentation Required
Documentation Approval/Date
Requirements
Action Name =
Operations and
Maintenance (OM)
RP,PS,
MR, SA,
SS, ST, SR,
SN
Start:
Letter documenting O&F
completion; or Letter to the state
confirming LTRA transfer
Complete:
Documentation the performance
standards in the SSC, cooperative
agreement or consent decree have
been met
Start:
Signed by the designated regional
official. Signed by the appropriate
regional official (date should be 10 years
after LTRA began).
Complete:
Written approval by the designated
regional official.
t. Cleanup Goals Achieved (NPL & Superfund Alternative)
Definition:
This measure is used to indicate when cleanup goals are achieved for ground water and
surface water restoration remedies, including monitored natural attenuation. It tracks
achievement of cleanup goals for these remedies because they were not achieved at
Remedial Action completion.
Definition of Accomplishment:
Cleanup goals are achieved when valid monitoring data are obtained that clearly
demonstrate restoration goals have been achieved (e.g., routine O&M report).
Changes in Definition:
Minor edits made in order to improve consistency with the revised guidance Close Out
Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The
revised guidance no longer distinguishes between Interim and Final RA Reports;
therefore a Final RA Report is not needed to document achievement of restoration goals.
Special Planning/Reporting Requirements:
Cleanup Goals Achieved is planned on a site-specific basis (Action Name = LTRA or
PRP LR or Operations & Maintenance and SubAction Name = Cleanup Goals Achieved)
in CERCLIS. This activity may be tracked by HQ for program management purposes, but
it is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
March 20, 2012
VII-44
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
SPIM Action/Activity
Action Name = LTRA (LR) or
PRP LR (ME) or O&M (OM)
Sub Action = Cleanup Goals
Achieved (OQ)
.SPIM
Lead
F
Documentation Required
Report containing valid monitoring data
that demonstrate cleanup goals achieved
Documentation Approval/
Date Requirements
Signed by the appropriate
regional official.
u. Ground Water Monitoring (NPL & Superfund Alternative)
Definition:
This measure addresses ground water monitoring at non-NPL, NPL, or Superfund
Alternative sites that is specifically intended to ensure that assumptions that form the
basis of a No Action ROD for ground water are correct. If the ROD specifies that ground
water monitoring is the only activity that will be implemented, then it is a No action or
No Further Action ROD. For this type of activity, regions should enter a ground water
monitoring activity (Action Name = Grndwtr Monitor (Post-ROD)) into CERCLIS.
This measure is not intended to track routine ground water monitoring activities that
occur during site characterization or to verify performance of a ground water remedy
(e.g., extraction and treatment to restore an aquifer). Nor should this action be used to
track monitoring activities associated with monitored natural attenuation or monitored
natural recovery remedies.
Definition of Accomplishment:
Credit is given for the start (Actual Start) of a Ground Water Monitoring (Post-ROD)
activity (Action Name = Grndwtr Monitor (Post-ROD)) when:
Fund-financed (Including F-, TR-, and S- lead actions) - Fund-financed ground
water monitoring starts on the date of a memo to the file documenting the first
sample was taken or a new well was installed.
PRP-financed from a Special Account (Including Special Account Financed
Action performed by EPA (SA-lead), the State (SS-lead), or Tribal Government
(ST-lead) actions) - PRP-fmanced from a Special Account ground water
monitoring starts on the date of a memo to the file documenting the first sample
was taken or a new well was installed.
PRP-financed under federal enforcement (Including MR- and RP- lead
actions) - PRP-fmanced ground water monitoring under federal enforcement
starts on the date of a memo to the file documenting the first sample was taken or
a new well was installed.
PRP-financed under state enforcement (PS-lead actions) - PRP-fmanced ground
water monitoring under state enforcement starts when a state order or comparable
state enforcement document is signed by the last state official.
FY 12 SPIM
VII-45
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
The completion date (Actual Completion) of the Ground Water Monitoring (Post-ROD)
Action (Action Name = Grndwtr Monitor (Post-ROD)), as defined below, is entered into
CERCLIS to record the complete accomplishment.
- A Ground Water Monitoring (Post-ROD) completion under all leads is the date
EPA determines, through a Final Close-Out Report (FCOR), Five-Year Review
report, or memorandum signed by the appropriate regional official, that ground
water monitoring is no longer necessary. A Remedial Action Report is not
appropriate because this activity only occurs in situations where no remedial
action is necessary.
Changes in Definition:
None.
Special Planning and Reporting Requirements
Ground water monitoring and oversight of ground water monitoring is covered under the
pipeline operations Site Allowance. This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/
Activity
Action name -
Grndwtr Monitor
(Post-ROD) (GM)
Action Name =
Grndwtr Monitor
(Post-ROD) (GM)
Action name -
Grndwtr Monitor
(Post-ROD) (GM)
SPIM Lead
F, TR, S, SA,
ST, SS MR,
RP
PS
F, TR, S,
MR, RP, PS
Documentation Required
Start
Memo to file.
Start
State order or comparable state
enforcement document.
Complete
Final Superfund Close-Out Report,
Five Year Review report, or
memorandum.
Documentation Approval/Date
Requirements
Start
The date of memo to file
documenting first sample or new
well. Memo to site file.
Start
Signed by last state official.
Complete
Signed by the Regional
Administrator, with HQ concurrence;
Not Specified;
Signed by appropriate regional
official.
v. NPL Site Completions
Definition:
An NPL site must meet all of the following criteria to be eligible for site completion:
March 20, 2012
VII-46
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- 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 institutional controls 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).
Definition of Accomplishment:
A NPL Site Completion occurs when the Final Close-out Report (FCOR) has been signed
by the Regional Administrator and concurred with by HQ. The region must enter the
completion date (Actual Complete) of the Final Close-Out Report (Action Name = Close-
Out Report) into CERCLIS. EPA is responsible for documenting site completion;
therefore all FCOR actions are given a Fund-financed lead code.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the NPL Site Construction
Completion measure as a result of the same Final Closeout Report. This is an internal
program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
"'SPEW Action/Activity
Action name = Close-Out
Report (CQ)
•SPEW '
Lead
F
Documentation
Required
Final Close-out Report
(FCOR).
Documentation Approval/Date
Requirements
Signed by the Regional Administrator with
HQ concurrence.
w. Five Year Reviews
Definition:
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. Where remedial actions are still
under construction, a Five Year Review determines whether immediate threats have been
FY12SPIM VII-47 March 20,2012
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OSWER Directive 9200.3-14-1G-W
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-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, and at NPL removal only sites where cleanup levels do not allow unlimited use
and unrestricted exposure. EPA may also conduct Five Year Reviews at their discretion
for other sites. 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 Year Reviews can be found in the Camjwehensive^^
Definition of Accomplishment:
Five Year Review Starts:
Fund-financed (Including F-, TR-, S- or EP-lead actions) - EPA or the state
begins any of the tasks discussed in the 2001 Five Year Review Guidance. This
action may be documented by a memo to the file or EPA approval of a work plan
for the Five Year Review. Note: EP-lead Five Year Reviews should have no
associated funding.
PRP-financed (Including RP- or PS-lead actions) - EPA approves the Five Year
Review work plan submitted by the PRPs under the terms of an enforcement
instrument. These lead codes indicate who finances and may perform some of the
work. The Five Year Review is still required to be approved and signed by EPA.
PRP-financed from a Special Account (Special Account Financed Action
performed by EPA (SA lead) - A PRP-financed Five Year Review from a Special
Account is started when EPA approves the Five Year Review work plan.
The actual start date (Actual Start) for the Five Year Review (Action Name = Five Year
Review) is not required to be entered into CERCLIS.
Five Year Review Completions:
Planned Completion Date:
The Five Year Review planned completion date and the Report Due (SubAction Name =
FYR Report Due) date are system generated based on Five Year Review type entered at
the time of ROD completion or when the Five Year Review action is entered through the
project schedule. The triggers for the first Five Year Review at a site are described below
for each type of review. For private sites, CERCLIS generates a planned completion date
for subsequent FYRs (i.e., second, third and beyond) that is five years from the actual
completion date of the previous review (see Chapter VIII, titled Federal Facility Program,
for additional information on triggers for FYRs at Federal Facility sites).
March 20, 2012 ¥11-48 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Statutory Reviews:
The Five Year Review and FYR Report Due planned completion date fields are typically
populated five years from the earliest RA On-Site Construction Start SubAction planned
completion date among the OUs included in the FYR action. RA On-Site Construction
Start SubAction is the standard trigger for a statutory FYR. For remedies where On-Site
Construction Start may not occur, 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 itself.
Both the Five Year Review planned completion date and the FYR Report Due planned
completion date will be updated by the system based on the changes to the planned or
actual completion dates for the triggering RA On-Site Construction Start SubAction (or,
if applicable, the non-standard trigger action). The Five Year Review planned completion
date will be editable. The FYR Report Due planned completion date will be grayed out
and uneditable and will be locked once the actual completion date for the RA On-Site
Construction Start SubAction (or, if applicable, the non-standard trigger action) is
entered.
Policy Reviews:
The Five Year Review and FYR Report Due planned completion dates are populated for
five years after the PCOR or FCOR planned completion date. Both the Five Year Review
planned completion date and the FYR Report Due planned completion date will be
updated by the system based on changes to the planned or actual completion dates for the
triggering PCOR or FCOR. The Five Year Review planned completion date will be
editable. The FYR Report Due planned completion date will be grayed out and uneditable
and will be locked once the actual completion date of the PCOR or FCOR is entered.
Discretionary Reviews:
The Five Year Review planned completion date is based on the date set by the user at the
time of entry of Five Year Review type.
No Review:
No Five Year Review action will be generated.
Actual Completion Date:
The Five Year Review is complete on the date the designated regional official signs the
Five Year Review report, approving the content of the report (including the
protectiveness determination). The actual completion date (Actual Complete) for the Five
Year Review (Action Name = Five Year Review) must be entered into CERCLIS.
Five Year Review Addendum Completion SubAction
Planned Completion Date:
A Five Year Review Addendum (SubAction name = FYR Addendum) planned
completion date is system generated based on the date entered into the Five Year Review
Protectiveness determination tab in the "Planned Date of Addendum" text box for sites
FY12SPIM VII-49 March 20,2012
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OSWER Directive 9200.3-14-1G-W
that have a "Protectiveness Deferred" OU-specific or sitewide determination. The FYR
Addendum Planned Completion date will be editable.
Actual Completion Date:
A Five Year Review Addendum is complete on the date the designated regional official
signs the Five Year Review addendum stating a new protectiveness determination of all
remedies that have deferred protectiveness determinations in the parent FYR report. The
actual completion date (Actual Complete) for the Five Year Review Addendum
SubAction must be entered into CERCLIS.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The following information is captured in the CERCLIS Five Year Review module:
A Five Year Review addendum SubAction for completed reviews with
protectiveness deferred statements;
The ability to update a trigger on a planned Five Year Review;
The ability to modify the Five Year Review type on a planned review 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 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.
In order to receive credit for a Five Year Review completion the region must enter the
following data into CERCLIS through the SCAP screens:
- applicable OUs
- 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
March 20, 2012 VII-50 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
If the Construction Completion flag has been checked for the site, the user must enter the
following information:
- site protectiveness determination
- site-wide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR addendum SubAction completion, the user must
enter the following information:
The new protectiveness determination for those OUs that were deferred;
Protectiveness statement as it appears in the 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 SubAction.
All Sites must have the following information:
- If future Five Year Reviews are not necessary at the site, indicate that this is the
final Five Year Review at the site by selecting the "no" radio button under the
heading asking whether future FYRs are necessary. If future FYRs are necessary,
select the "yes" radio button and a future Five year Review action will be
generated on the project schedule.
Five Year Review completes must be planned and reported site-specifically (Action
Name = Five Year Review) in CERCLIS. Funds are allocated in the Remedial Action
Site Allowance. This is an internal program target and measure.
Data Entry Timeliness Requirement:
Data regarding Five Year Reviews should be entered within five working days, but no
later than 10 working days.
SPIM Action/Activity' '
Action name = Five Year
Review
Action name = Five Year
Review
SPIM Lead
F, TR, S, EP
MR, RP, PS,
SA
Documentation Required
Start: Memo; or Work plan
Complete: Five Year
Review report
Start: Five Year Review
work plan
Complete: Five Year
Review report
Documentation Approval/Date
Requirements
Date of memo to file documenting tasks;
EPA approval
Signed by regional official.
EPA approval
Signed by regional official.
FY 12 SPIM
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March 20, 2012
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OSWER Directive 9200.3-14-1G-W
x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative)
Definition:
The Sitewide Ready for Anticipated Use (SWRAU) measure reports sites documented as
ready for reuse where, for the entire construction complete final or deleted NPL site or
PRP-lead Superfund Alternative site:
- All cleanup goals in the Record(s) of Decision or other remedy decision
document(s) have been achieved for media that may affect current and reasonably
anticipated future land uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the Record(s) of Decision or other
remedy decision document(s) have been put in place.
In addition, construction complete PRP-lead Superfund Alternative sites can now be
designated as SWRAU once they meet the above criteria. Superfund Alternative sites do
not count toward meeting annual SWRAU targets.
For more information about this measure, please refer to Guidance for Documenting and
Reporting the Superfund Sitewide Ready -for -Reuse Performance Measure (OSWER
9365.0-36) and Gmdnit^^
(OSWER 9200.1-74).
Definition of Accomplishment
A site meets SWRAU when a hard copy checklist has been completed, signed by a
regional approving official, submitted to HQ, the entire site meets the criteria established
in the guidance, and HQ has approved the action in CERCLIS. All acres that are part of
the Superfund site universe must be documented as SWRAU within CERCLIS prior to
the region's submission of a property reuse evaluation checklist. The SWRAU date
entered into CERCLIS should be the signature date on the Checklist of the regional
reviewing official.
This measure is based on current site conditions. Therefore, instances do occasionally occur
when a site which is already SWRAU no longer meet 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 CERCLIS. HQ will then
approve this action in CERCLIS.
Change in Definition:
None.
Special Planning/Reporting Requirements:
This is a key program target and measure; the program reports accomplishments to
external parties. The SWRAU designation is for construction complete Superfund final
and deleted NPL sites and PRP-lead sites with Superfund Alternative Agreements only.
Regions will submit completed Checklists for the SWRAU designation to HQ for
approval before the reported site may be designated as SWRAU. Only construction
March 20, 2012 VII-52 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
complete final and deleted NPL sites may be counted to meet the annual net Government
Performance and Results Act (GPRA) target for the SWRAU measure.
The SWRAU completion date that is entered into CERCLIS should be the exact date that
the regional approving official signs the hard-copy SWRAU Checklist form. The
determination that a site is SWRAU is based on the information available at the time the
determination is made. That determination may revert if site conditions change, or if new
or additional information is discovered regarding the contamination at the site. If the
SWRAU determination does revert, a retraction form should be sent to HQ. These forms
can be obtained from HQ. The site can be re-designated as SWRAU only when the
requirements are once again met. If, at the time of determination or at any other time,
EPA becomes aware of other environmental problems that pose unacceptable risk
relevant to site use or reuse, including risks addressed under other cleanup or public
health authorities, the site should not be reported as SWRAU. Sites with Superfund
Alternative Agreements that no longer meet the SWRAU designation will not be counted
against SWRAU annual net GPRA targets.
A site's CPRM data will only be counted in Superfund totals if the site has the Special
Initiative flag of "CPRM Universe" associated to it at the site level. This flag places the
site in the Superfund universe, therefore ensuring that its CPRM data are being captured.
Data Entry Timeliness Requirements
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
SPIM Action/Activity
Action Name = PFP/RAU
Evaluation Checklist (XC)
Action
Lead
EP
Documentation Required
Property Reuse Evaluation
Documentation Approval/Date
Requirements
Signed by regional division
director or designee.
y. Partial NPL Deletion
Definition:
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portion may be a defined geographic unit of
the site, perhaps as small as a residential unit, or may be a specific medium at the site
(e.g., ground water), depending on the nature or extent of the release(s). The criteria for
partial deletion are the same as for final deletion. EPA must consider, in consultation with
the state, whether the following criteria have been met for that portion of the site:
Responsible or other parties have implemented all appropriate response actions
required;
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- 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.
Definition of Accomplishment:
The partial NPL deletion process begins when a Notice of Intent to Partially Delete
(Action Name = Notice of Intent to Partially Delete) is published in the Federal Register
for the specified portion of a site on the NPL. Notice of Intent to Partially Delete is
completed (Actual Complete) the day the Federal Register is published. If the Direct
Final Process for Partial Deletions is used, the process begins when the Direct Final
Action Notice is published in the Federal Register (Action Name = Notice of Intent to
Partially Delete).
The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete
(Actual Complete) when the Notice of Partial Deletion is published in the Federal
Register for the specified portion of a site on the NPL. If the Direct Final Process for
Partial Deletions is used and the comment period has ended with no adverse comments,
the actual completion (Actual Complete) is the effective date of deletion specified in the
Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or
the Partial NPL Deletion actions. HQ will enter the Actual Complete dates for the Partial
NPL Deletion Action and the Notice of Intent to Partially Delete Action into CERCLIS
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).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL
deletions will be entered by HQ if a portion or portions of the release remain listed on the
NPL following completion of the partial deletion. Partial deletions will only be coded at
specific OUs) when a single OU is subject to the partial deletion and the particular OU is
specified in the Notice of Intent to Partially Delete in the Federal Register.
Partial deletion actions that address multiple OUs or areas that do not directly correspond
to a specific OU will be coded at OUOO (sitewide).
A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion
activity addresses the remaining release listed on the NPL (either as a one-time deletion
activity for the entire site as originally listed, or as the last deletion activity associated
with a site subject to previous partial deletions). This is an internal program measure.
March 20, 2012 VII-54 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
Data regarding Partial Deletions should be entered within five working days, but no later
than 10 working days.
SPIM Action/Activity
Action name = Notice of Intent to
Partially Delete (TV) Completion
Action name = Partial NPL Deletion
(GR) Completion
SPIM
Lead
F
F
Documentation Required
Notice of Intent to Partially Delete
or Direct Final Action Notice.
Notice of Partial Deletion or Direct
Final Action Notice.
Documentation Approval/
Date Requirements
Published in the Federal
Register.
Published in the Federal
Register.
z. Final NPL Deletion
Definition:
With state concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
- Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
The remedial investigation has shown that the release poses no significant threat
to public health or the environment and, therefore, no remedial measures are
necessary.
Definition of Accomplishment:
The deletion process for the entire site begins when a Notice of Intent to Delete (Action
Name = Notice of Intent to Delete) is published in the Federal Register. If the Direct
Final Process for Deletions is used, the process begins when the Direct Final Action
Notice is published in the Federal Register (Action Name = Notice of Intent to Delete).
The deletion process for the entire site (Action Name = Deletion from the NPL) is
complete (Actual Complete) when the Notice of Deletion is published in the Federal
Register. If the Direct Final Process for Deletions is used and the comment period has
ended with no adverse comments, the actual completion (Actual Complete) is the
effective date of deletion specified in the Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Delete (NOID) or the
Deletion from the NPL actions. The completion of the NOID action signifies the start of
the deletion action.
HQ will enter the Actual Complete dates for the Deletion from the NPL Action and the
Notice of Intent to Delete Action into CERCLIS upon publication of the notices in the
Federal Register. For more detailed information, see Close^ChMj^r^^
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The Action, Final Deletion from the NPL, will be used whether deletion is accomplished
through the Notice of Deletion or the Direct Final Action Notice. When the Notice of
Deletion is published or the date of deletion is effective, HQ will change the NPL Status
in CERCLIS to "Deleted from Final NPL." This is an internal program target and
measure.
Data Entry Timeliness Requirement:
Data regarding NPL Deletions should be entered within five working days, but no later
than 10 working days.
SPIM Action/Activity
Action name = Notice of Intent to
Delete (TU) Completion
Action name = Deletion from the
NPL (ND) Completion
SPIM'
Lead
F
F
Documentation Required
Notice of Intent to Delete or Direct
Final Action Notice.
Notice of Deletion or Direct Final
Action Notice.
Documentation Approval/
Date Requirements
Published in the Federal
Register.
Published in the Federal
Register.
PART IV. CROSS PROGRAM REVITALIZATION MEASURES (CPRM)
The 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: Protective for People Under Current Conditions (PFP) and Ready for Anticipated
Use (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:
aa. Protective for People Under Current Conditions (PFP)
Definition:
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
March 20, 2012
VII-56
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
on current site conditions. Reporting on a particular site for this measure should be based
on an understanding of current conditions, presence and toxicity of contamination, routes
of contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g.,
dermal, inhalation, ingestion).
Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are
below health-based levels for current land use conditions. "Under control" means that
adequately protective controls are in place to prevent any unacceptable human exposure
under current land use conditions. Achieving the PFP measure does not involve
consideration of future use conditions or ecological receptors. The PFP measure can be
achieved through temporary solutions based on current conditions and associated
exposures at a given point in time, and does not necessarily require that all cleanup goals
be met at a site or OU.
For the purposes of this measure, the entire site or individual OUs at a site can be counted
so long as the criteria are met for those areas.
For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator. The three designations in the existing Site-Wide Human
Exposure Environmental Indicator that ensure acres meet PFP include:
- Current Human Exposures Under Control;
- Current Human Exposures Under Control and Protective Remedy or Remedies in
Place; or
- Current Human Exposures Under Control and Long-Term Human Health
Protection Achieved.
Note that an OU or entire site may meet PFP if the ground water is contaminated yet no
human exposure pathways exist, and the soil above the plume has been investigated to
ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may
have several OUs with different designations, some of which have met PFP criteria, some
of which have also met RAU criteria, and some of which do not meet either performance
measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
Definition of Accomplishment:
Acres can be claimed as Protective for People Under Current Conditions when all
identified human exposure pathways from contamination at the site or individual
OUs/parcels are under control or possible exposures are below health-based levels for
current land use conditions.
FY12SPIM VII-57 March 20,2012
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OSWER Directive 9200.3-14-1G-W
The Protective for People designation is achieved when EPA completes (Actual
Completion Date) and saves the data on the PFP/RAU Checklist form, or a user revises a
completed form (Action Name = PRP/RAU Evaluation Checklist).
Change in Definition:
None.
Special Planning/Reporting Requirements:
In 2007, a Land Reuse module was added to CERCLIS to track these measures. This
activity may be tracked by HQ for program management purposes, but it is not a program
target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
'SPIM Action/Activity
Action Name = PFP/RAU Evaluation
Checklist (XC)
Action
Lead
EP
Documentation
Required
Checklist Form
Documentation Approval/Date
Requirements
Signed by regional division director
or designee.
bb. Ready for Anticipated Use (RAU)
Definition:
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria:
All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the Sitewide
RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure
will also count toward the RAU measure. In addition, the RAU measure described here
may also include individual OUs and a broader universe of sites (i.e., Superfund
Alternative (SA), non-time critical removal action (NTCRA), certain non-NPL Federal
Facilities, FUDS, etc.) than those included in the Sitewide RAU measure.
The determination that an OU achieves the RAU measure can occur at any particular
point in time and the OUs reported status should be revised if the site's conditions change
or if new or additional information is discovered regarding the contamination or
March 20, 2012
VII-58
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
conditions at the site (e.g., contaminant occurrence, migration, toxicity levels for specific
contaminants, and exposures). If at the time of the determination, or at any other time,
EPA becomes aware of other environmental problems that pose unacceptable risk
relevant to the site or reuse, including risks addressed under other cleanup or public
health authorities, the site should not be reported under the RAU measure.
Documentation that OUs achieve the RAU measure should be changed accordingly if, or
when, information becomes available that would bring into question whether the OUs
continue to meet the RAU definition. Those specific acres associated with the OU in
question should only be re-recorded as meeting the RAU measure if and when acres once
again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
For more information about this measure, please refer to the QMManceJ^^
Definition of Accomplishment:
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria: 1) all cleanup goals have been achieved for
media that may affect current and reasonably anticipated future land uses (or decision
documents confirm uncontaminated acres) for the site or OU such that there is no
unacceptable risk, and 2) all institutional or other controls identified as part of the
response action to help ensure long-term protection have been put in place.
The Total RAU designation at a site or OU is achieved when EPA completes (Actual
Completion Date) and saves the data on the PFP/RAU Checklist form, or the date a user
revises a completed form (Action Name = PRP/RAU Checklist).
Change in Definition:
None.
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY12SPIM VII-59 March 20,2012
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OSWER Directive 9200.3-14-1G-W
SPIM Action/Activity
Action Name = PFP/RAU Evaluation
Checklist (XC)
Action
Lead
EP
Documentation
Required
Checklist Form
Documentation Approval/Date
Requirements
Signed by regional division director
or designee.
cc. 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 Superfund
Alternative sites, acres included in the Universe Indicator should be investigated in a
manner consistent with the Guidance for Conducting Remedial Investigations and
Feasibility Studies Under CERCLA. Similarly, NTCRA sites should be investigated in a
manner consistent with Guidance on Conducting Non-Time-Critical Removal Actions
Under CERCLA. Both remedial and NTCRA sites and acres where initial investigations
indicate that no unacceptable risks exist, and therefore no further action is required,
should be included in the Universe Indicator.
The Universe 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 Remedial
Investigation/Feasibility Study (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 ground water plume where those land
areas are not intended to be assessed consistent with applicable EPA guidance. For
example, if a plume extends under a land area and EPA has no intention of investigating
these acres of land for contamination unrelated to the plume, then those land acres would
not be included in the acreage reported by the Universe measure. By extension, a site
with only ground water contamination would not be captured by the Universe Indicator.
Note that there may also be exceptions in which sites with areas of surface water,
sediments, and/or tidal basins will not automatically be included due to site-specific
circumstances. These types of sites will be dealt with on a case-by-case basis.
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:
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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.
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
FY12SPIM VII-61 March 20,2012
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OSWER Directive 9200.3-14-1G-W
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.
Undetermined: Refers to acres at a site or OU that cannot be identified as one of the six
Types of Use.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
PART V. ENVIRONMENTAL INDICATORS
dd. 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 settlement 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
March 20, 2012 VII-62 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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 Site-Wide Human Exposure status at a site are found in
the Environmental Indicators Guidance Manual, the Long-Term Human Health
Protection Data Quality Objectives document, and on the Superfund Environmental
Indicators Website.
The indicator name has changed from Long-Term Human Health Protection indicator to
Site-Wide Human Exposure Environmental Indicator. As of FY 2008, the Site-Wide
Human Exposure Indicator is required for NPL Proposed and Superfund Alternative sites
in addition to Final and Deleted NPL sites, though only Final and Deleted NPL sites will
count toward annual program targets.
The Human Exposure (HE) evaluation reflects current, site-wide conditions. For sites that
have been categorized as current human exposures under control and long-term human
health protection achieved, it also reflects reasonably anticipated future, site-wide
conditions. As data collection and analysis or response actions occur or environmental
conditions change, it is expected that regions will update HE evaluations and update
CERCLIS to reflect changes in status. This should generally occur within 10 days of a
known change. It is expected that regions will review the status of all HE evaluations at a
minimum annually and confirm that each site has an updated and accurate HE evaluation.
If there is no change in the status of the site, update the "Last Review Date" in CERCLIS
on the HE tab in the Environmental Indicators module within 10 days of the review.
Entering Human Exposure Data on the Exposure Pathway Description Tab of the
HE CERCLIS Module
EPA has committed to providing current human exposure evaluations to the public via its
Superfund Site Profiles available on the internet. As part of this effort, the Agency will
provide descriptions of situations where a site is categorized as "Insufficient Data" or
"Not Under Control." This information will be derived from CERCLIS. Consequently, it
is critical that regions maintain the quality of the Exposure Pathway Descriptions in
CERCLIS.
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OSWER Directive 9200.3-14-1G-W
When making a Human Exposure Not Under Control or Insufficient Data evaluation in
CERCLIS, 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
CERCLIS as final.
To help standardize the descriptions entered into CERCLIS, and to assure that similar
exposure scenarios are described consistently across regions, the templates below should
be used when populating the 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: In addition, EPA (or state, or PRP or federal agency as appropriate)
is currently (insert summary descriptions of actions underway to address human
exposures. (Include any temporary controls that have been put in place to address this
exposure scenario e.g., fish advisory, fencing, signs))
Example 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.
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 site-wide 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.)
March 20, 2012 VII-64 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
The planned activities to collect sufficient information to make a human exposure
evaluation are
(As appropriate add the following: In addition, EPA (or state, or PRP or federal agency as
appropriate) is currently (insert descriptions of actions underway to address human
exposures. (Include any temporary controls that have been put in place to address this
exposure scenario e.g., fish advisory, fencing, signs))
Example Justification:
There is not sufficient information available to determine the site-wide Human Exposure
Control status at X Superfund Site because of a newly identified potential exposure
pathway and/or contaminant(s) (insert a detailed description of the human exposure
pathway of concern, include the contaminants of concern and media).
The activities planned to make the HE evaluation include ( ) (list whatever activity is
necessary to make the evaluation: e.g., data needed, conduct sampling, monitor
basements for vapor intrusion, complete risk assessment, and conduct well surveys).
(As appropriate, add the following: In addition, EPA (or state, or PRP or federal agency
as appropriate) is currently (insert summary of actions underway to address human
exposures. (Include any temporary controls that have been put in place to address this
exposure scenario e.g., fish advisory, fencing, signs))
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 NUC and ID 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, CERCLIS should be updated within 10 days (Program
Management/Environmental Indicators), and should be reviewed and approved by the
regional division director or his/her designee. 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
SPIM Action/Activity
Human Exposure
Evaluation Flowchart
Documentation Required
Checklist Form in CERCLIS Human Exposure
Environmental Indicator Module
Documentation Approval/Date
Requirements
Approved by regional division
director or designee.
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/final_ei_guidance_march_2008.pdf
FY 12 SPIM VII-65 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VII.2. HUMAN EXPOSURE EVALUATION FLOWCHART
!. Is (here sunk-lent known ami reliable infnmiutiun I"
make an evaluation on human exposure at lliis site?
Response' _
No
InsultleKTtl Data lo
Determine Human
Exposure Control Status
(HFIDi
Yes
2 ILne all long-teim human e\pusiiK'-i elated clejmip
goals been met toi the cnlnv site '
Response _
Current Human
}.xposures Lndcr Control
and Long-Term Human
Health Protection
AciiiemllHIIPAi
No
Arc these complete huirkin exposuie patlw.n •>
between contaminated ground wuter. soil, smtace
Wdti'i, sudnnent or "Mt media nnil liumati ruceptors
Mich that t,,\poMire din be icawiwhK t'vpected under
concnt conditions'.'
Response.
YDS
4 \K (lie actual or rtasoujhle expected human
expwuies aswutt'J with the complete p.ithwa\f.
kieniified in Step 3 within aeceplahlc limits undei
unrein conditions?
Response . _
_ . _ . _ . _ . _ _
Yes
5, N the silc
, e sc onsli uctum I'omplde. is the rented)
operating as intended, and die engineciing and
institutional controls (if iei|uiredj. in place and
'''
Resulting Current Human Exposure
Evaluation;
No
Current Ikiman
xposiires Not Under
ConlroI(ilhM')
Current Human
l.xposures L'nder (. oiitrol
Current Human
Lxpostnes LnJer Control
and Proteciivc Remedies
in Place (HtPR)
<< Ate there continuinu exposuies al lite site,' '\nswer "Yes" only if EPA tor a stale or PRPt has exhjitslei! :itl response
actions and legal .mthortties to pK'\cnt unacccptahle human exposmcs, jet exposures continue due to a refusal h\
the proper!) owner!s) to participate m the remedy |e.g . refusal to aciepl a muniupal water supph hnoUip! AND
the region w ishes to exereise its discietion to el;isj>if> thi> site ;is Human Fxposttre 1 "nder ( ontiol, consisient »ilh
the requiienients laid out in the Stipcifund Lm iionmental Indicators (Siudance tON^ I-R l!2H5 1C \Urch 201)8.
pages 4-10 and 4-11)
Response.
March 20, 2012
VII-66
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
As data collection and analysis or response actions occur or environmental conditions
change, it is expected that the region will review the status of all HE evaluations and
update CERCLIS to reflect the change in status. This should generally occur within 10
days. 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. HE
evaluations should be made (and entered) or reviewed at all Proposed, Final, and Deleted
NPL sites and Superfund Alternative sites prior to the end of the fiscal year, September
30. In cases where this is not possible the region should contact the data sponsor for these
measures. HE 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.
Accuracy Requirement:
The Site-Wide Human Exposure Environmental Indicator is designed to allow RPMs to
make first-hand determinations based on their knowledge of current conditions at a site as
well as actions undertaken at a site. Complete certainty regarding the above factors is not
a necessary condition to make a Site-Wide Human Exposure evaluation at a site. In
characterizing a site as "current human exposures not under control", a region is making a
determination that: 1) there are currently completed human exposure pathways and 2)
that those exposure pathways pose an unacceptable risk to humans based on the
magnitude, frequency, duration and route(s) of exposure relative to the exposure
concentrations and chemical intakes. Where a region lacks sufficient information to make
such a determination on whether there are completed pathways or whether a completed
pathway poses an unacceptable risk, a site should be classified as "insufficient data to
determine human exposure control status". A site is placed in one of the three "under
control" categories when a region has determined that there are not currently completed
human exposure pathways or that exposure(s) that may be occurring do not pose an
unacceptable risk to humans based on the magnitude, frequency, duration and route(s) of
exposure relative to the exposure concentrations and chemical intakes. Documents such
as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and Close Out Reports
are typically consulted by RPMs to assist completion of the HE worksheet. To support
the response for each worksheet question, the RPMs should provide the SDMS number in
the SDMS document 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.
ee. Migration of Contaminated Ground Water Under Control
Definition:
The Migration of Contaminated Ground Water Under Control indicator assesses only
whether ground water contamination is below protective, risk-based levels or, if not,
whether the migration of contaminated ground water is stabilized and there is not
FY12SPIM VII-67 March 20,2012
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OSWER Directive 9200.3-14-1G-W
unacceptable discharge to surface water and monitoring will be conducted to confirm that
affected ground water remains in the original area of contamination. This indicator is
limited to sites with known past and/or present ground water contamination. The
indicator applies to for proposed, final, and deleted NPL sites and SAA settlement sites,
but only final and deleted NPL sites count toward annual GPRA targets.
Definition of Accomplishment:
The criteria for determining if ground water migration is controlled are found in
Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit VII.3),
the Environmental Indicators Guidance Manual, the Long-Term Human Health
Protection Data Quality Objectives document, and on the Superfund Environmental
Indicators Website.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The Migration of Contaminated Ground Water Environmental Indicator worksheet must
be completed in CERCLIS and/or reviewed before the end of the fiscal year. If there is a
known change in GM status, CERCLIS should be updated within 10 days (Program
Management/Environmental Indicators). This is a key program target and measure; the
program reports accomplishments to external parties.
Data Entry Timeliness Requirement:
As data collection and analysis or response actions occur or environmental conditions
change, it is expected that the region will review the status of all GM evaluations and
update CERCLIS to reflect the change in status. This should generally occur within 10
days. It is expected that regions will review the status of all GM evaluations at a
minimum annually, and confirm that each site has an updated and accurate GM
evaluation. GM evaluations must be made (and entered) or reviewed at all Proposed,
Final, and Deleted NPL sites and Superfund Alternative sites prior to the end of the fiscal
year in order to be included in the SCAP end of year report pull. 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.
March 20, 2012 VII-68 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VII.3. SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER
CONTROL WORKSHEET
Definition; Is the migration of contaminated ground water being controlled through engineered or natural processes?
Insufficient
Data/No
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Q. Does the site currently have contaminated ground water or did site conditions
warrant EPA's investigation or remediation of ground water contamination in the
past?
No
V 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 releases to ground water
been considered in this evaluation?
List Reference Doeument(s):
Yes
Step 2. Is ground water known or reasonably suspected to be "contaminated" above
appropriately protective risk-based "levels" (applicable promulgated standards, as
well as other appropriate standards, guidelines, or criteria) as a result of a release
from the site?
List Reference Document(s):
No
Contaminated
Ground Water
Migration Under
Control
u Yes
Step 3, Is the migration of contaminated ground water stabilized (such that
contaminated ground water is expected to remain within "existing area of
contaminated ground water") as defined by the monitoring locations designated at the
time of this evaluation?
List Reference Document(s):
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 "contaminated" ground water into surface water be
shown to be "currently acceptable" as defined (i.e., not cause unacceptable impacts
to surface water, sediments, or ecosystems that should not be allowed to continue
until a final remedy decision can be made and implemented)?
List Reference Document(s):
Yes
Step 6. Will ground water monitoring/measurement data (and surface water/
sediment/ecological data as necessary) be collected in the future to verify that
contaminated ground water has remained within the horizontal (or vertical, as
necessary) dimensions of the "existing area" of contaminated ground water?
List Reference Document(s):
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 12 SPIM
VII-69
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Accuracy Requirement:
The Ground Water Migration approach was designed to allow RPMs to make first-hand
determinations based on their knowledge of current conditions at a site as well as actions
undertaken at a site. These determinations must be made with reasonable certainty using
all available documentation on media contamination for current land and ground water
use. Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the surveys.
To support the response for each worksheet question, the RPMs should provide the
SDMS number in the SDMS document 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.
ff. Populations Protected
Definition:
This measure tracks the environmental progress achieved at NPL, Superfund Alternative
and non-NPL sites through the protection of human receptors from immediate threats of
exposure to contaminated media. The following information will be reported under this
measure:
- The number of human receptors protected during removals and remedial actions
that result in:
» Relocation of affected populations; or
» Provision of an alternate water supply.
Definition of Accomplishment:
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 CERCLIS for each action resulting in a
population being relocated or provided an alternative source of drinking water:
Action: action associated with the population relocation or the provision of
alternative drinking water;
Affected Date: date the population was relocated or provided alternative drinking
water;
- Protection Level: level (permanently, temporarily, or returned/reinstated) at which
the population was relocated and or provided alternative drinking water; and
- Number Affected: number of people relocated or provided alternative drinking
water.
March 20, 2012 VII-70 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
The Populations Protected screen can be accessed through the Program
Management/Environmental Indicators screen, or the El icon can be used on the Removal
or Remedial schedule when one of the following actions is selected: Removal; PRP
Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or
Initial Remedial Measure.
Changes in Definition:
None.
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.
An SDMS source document and tracking number should be entered in CERCLIS for this
measure. This activity may be tracked by HQ for program management purposes, but it is
not a program target or measure.
gg. Cleanup Volume
Definition:
This measure tracks the amount of contaminated media that has been treated, stabilized,
contained, or removed through the use of risk management technologies, engineering
techniques, or institutional controls.
Definition of Accomplishment:
Cleanup Volume data are required in association with a removal action (Removal, PRP
Removal, FF Removal) start or complete as defined in the Removal Start and Removal
Completion measures, or a remedial action (Remedial Action, PRP RA, FF RA) start or
complete as defined in the Remedial Action Start and Remedial Action Completion
measures.
The following information must be entered into CERCLIS for each medium addressed by
the completed response action:
Cleanup Date: date contaminated media was addressed
Media Name: media name as documented in the Add/Edit Media screen and
media type
Original Amount: amount of contaminated media addressed
Original Unit: volumetric unit of contaminated media
The Cleanup Volumes screen can be accessed through the Program
Management/Environmental Indicators screen, or the El icon can be used on the Removal
or Remedial schedule when one of the following actions is selected: Removal; PRP
Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or
Initial Remedial Measure.
FY12SPIM VII-71 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Changes in Definition:
None.
Special Planning and 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, Pollution Reports, Remedial Actions Reports and Close Out 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
hh. Support Agency Assistance
Definition:
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.
Definition of Accomplishment:
The start of support agency assistance (Action Name = State Support Agency
Cooperative Agreement) is the signature of the Cooperative Agreement by the Regional
Administrator or his designee. The completion of support agency assistance is the
expiration or termination of the assistance agreement.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Funds for support agency assistance are contained in the pipeline operations,
enforcement, or Federal Facility Site Allowance. Planned and actual start and completion
dates are not required in CERCLIS. Funds may be planned or obligated site or non-site
and OU specifically; however, they must be outlayed site-specifically. This activity may
be tracked at the regional level but it is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
March 20, 2012 VII-72 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
,th
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10 business day
following the end of FYQ4.)
SPIM Action/Activity
Action name - State Support
Agency Cooperative Agreement
(MA)
'SPIM
Lead
F
Documentation Required
Start:
Cooperative Agreement. Complete:
Expiration or termination of the
assistance agreement.
Documentation Approval/
Date Requirements
Start:
Signed by Regional
Administrator or his designee
Complete: Expiration or
termination of the assistance
agreement.
ii. Technical Assistance
Definition:
Technical assistance is support provided by a third party to EPA regions to conduct
response activities. Third parties that may provide assistance include USAGE, U. S. EPA
laboratories, U.S. Fish and Wildlife Service, Superfund Technical Assistance and
Response Team (START), and RAG contractors.
Definition of Accomplishment:
The start of technical assistance (Action Name = Technical Assistance) is the obligation
of funds for technical assistance. The completion is defined as the completion of the
response activities for the stage at which technical assistance was requested.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the pipeline
operations Site Allowance. Planned and actual start and completion dates are not required
in CERCLIS. Funds may be planned or obligated site- or non-site and OU specifically;
however, they must be outlayed site-specifically. This activity may be tracked at the
regional level but it is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY 12 SPIM
VII-73
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
SPIM Action/Activity
Action name - Technical
Assistance (TA)
SPIM Lead
EP, F, S, TR,
RP, PS, MR
Documentation Required
Start: Obligation of funds.
Completion: Completion of
response activities.
Documentation Approval/Date
Requirements
Not specified
March 20, 2012
VII-74
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Chapter VIII: Federal Facility Program
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This Page Intentionally Left Blank
March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER VIII: Federal Facility Program
Table of Contents
VIII. A Federal Facilities Goals and Priorities VIII-3
VIII.A.1 Overview VIII-3
VIII.A.2 Superfund Federal Facility Goals VIII-3
a. Strategic Federal Facility Goals VIII-3
b. Cross-Program Revitalization Measure Implementation VIII-5
c. Cross-Program Revitalization Measures (CPRM) Indicators VIII-5
VIII.A.3 EPA's Federal Facility Superfund Cleanup Principles VIII-8
VIII.A.4 Federal Facility Docket and Site Discovery/Site Assessment VIII-11
a. Overview VIII-11
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process VIII-11
c. Federal Facility Site Assessment Process and Time Frames VIII-13
d. Authority for Conducting Federal Facility Site Assessments - E. O. 12580 VIII-13
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
VIII-14
f. Tracking of Federal Facility Sites in CERCLIS VIII-15
VIII.A.5 BRAC Budget and Financial Guidance VIII-16
a. Resources and Tracking Mechanisms VIII-16
b. Accountability for Resources VIII-16
VIII.A.6 Cleanup Privatization at BRAC NPL Sites VIII-18
VIII.A.7 Military Munitions Response Program VIII-18
VIII.A.8 Stakeholder Involvement VIII-19
VIII.B Federal Facilities Targets and Measures VIII-20
VIII.B.l Overview of Federal Facilities Targets and Measures VIII-20
VIII.B.2 Federal Facilities Site Discovery/Site Assessment Definitions VIII-23
a. Site Discovery VIII-23
b. Federal Facility Preliminary Assessment Reviews VIII-24
c. Federal Facility SI Reviews VIII-26
d. Federal Facility Expanded Site Inspection (ESI) Reviews VIII-28
VIII.B.3 Federal Facilities Accomplishment Definitions VIII-29
a. Base Closure Decisions: Start and Completions VIII-29
b. Non-BRAC Property Actions VIII-31
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) VIII-32
d. Federal Facility Dispute Resolution VIII-33
e. Use of Supplemental Environmental Projects (SEPs) VIII-3 3
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) Starts VIII-34
g. Timespanfrom Final NPL Listing To RI/FS VIII-35
h. Decision Documents VIII-35
i. Final Remedy Selected VIII-36
j. ROD Amendments VIII-37
k. Explanation of Significant Differences (ESD) VIII-38
1. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) VIII-39
FY12SPIM VHI-i March 20,2012
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OSWER Directive 9200.3-14-1G-W
m. Duration of ROD to IA Negotiation Completion VIII-40
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
Starts VIII-40
o. Timespan from ROD Signature to RA Start VIII-41
p. RA or CMI Completions VIII-41
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions
VIII-43
r. Migration of Contaminated Ground Water Under Control VIII-44
s. Human Exposure Under Control Indicator VIII-47
t. Operation and Maintenance (O&M) VIII-50
u. Cleanup Goals Achieved VIII-50
v. NPL Site Construction Completions VIII-51
w. Federal Facility Partial NPL Deletion VIII-52
x. Federal Facility Final NPL Deletion VIII-54
y. Federal Facility Five-Year Reviews VIII-55
VIII.B.4 Community Involvement Definitions VIII-59
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) VIII-
59
b. Technical Assistance Grants (TAGs) VIII-60
VIII.B.5 Cross Program Revitalization Measures (CPRM) VIII-61
a. Sitewide Ready for Anticipated Use VIII-61
b. Protective for People Under Current Conditions (PFP) VIII-62
c. Ready for Anticipated Use (RAU) VIII-64
VIII.B.6 Cleanup Privatization at BRAC NPL Sites VIII-66
List of Exhibits
Exhibit VIII. la. Federal Facilities NPL Sites VIII-21
Exhibit VIII. Ib. Federal Facilities BRAC Sites VIII-22
Exhibit VIII. Ic. Federal Facilities Non-NPL Sites VIII-23
Exhibit VIII.2. Remedial Pipeline Flow Charts VIII-43
Exhibit VIII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet VIII-46
Exhibit VIII.4. Superfund Long-Term Human Health Protection Worksheet VIII-49
March 20, 2012 Vlll-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER VIII: FEDERAL FACILITY PROGRAM
VIII. A FEDERAL FA CILITIES GOALS AND PRIORITIES
VIII. A.I Overview
To manage the Superfund Federal Facilities program, the Federal Facilities Enforcement
Office (FFEO) and the Federal Facilities Restoration and Reuse Office (FFRRO) use the Federal
Facilities Leadership Council (FFLC) to help identify and resolve issues unique to the
management of EPA's Superfund Federal Facility Response Program. The FFLC is comprised of
Superfund and/or the Resource Conservation and Recovery Act (RCRA) program and
enforcement/counsel representatives from all regions, as well as representatives from the Federal
Facilities Headquarters (HQ) offices and other HQ offices that handle Federal Facility issues.
VIII.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 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:
Construction Completions - Regional efforts should be focused on getting to
completion of construction at Federal Facilities. In addition, once the remedies are
in place, regional effort is focused on ensuring they remain protective.
Expediting Property Transfer and Reuse - 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 Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS). One way of facilitating property reuse occurs
when DoD installations are slated for closure or realignment, or have been
identified as excess property through other means. At these Base Realignment and
Closure (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.
FY12SPIM VIII-3 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Environmental Indicators - There are two environmental indicators (El) currently
reported under the Government Performance and Results Act (GPRA) framework
for the Superfund program: Human Exposures Under Control and Groundwater
Migration Under Control. These two measures provide 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 Record(s) of Decision or
other remedy decision document(s) have been put in place.
» The introduction of this measure reflects the Agency's commitment to land
revitalization. The Agency's policies have increasingly addressed the issue of
making Superfund NPL sites protective for current and future uses. In
particular, one of EPA's key responsibilities under Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA) is to
ensure that contaminated property owned by the federal government is
environmentally suitable for transfer or lease.
Involving Citizens, Local Governments, and Tribes in Environmental Decision
Making - The publication of the Final Report of the Federal Facilities
Environmental Restoration Dialogue Committee (FFERDC) in April 1996 was a
watershed event for public involvement in Federal Facility cleanups. As a result
of the Report, federal agencies have established Restoration Advisory Boards
(RABs) at DoD installations and Site Specific Advisory Boards (SSABs) at DOE
facilities. Other federal agencies are also starting to form advisory boards.
Regional staff and management are expected to be especially sensitive to the
requests at NPL facilities and at the BRAC facilities. Because of resource
constraints, EPA regional participation and support for non NPL facilities is
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.O. 12898).
Enforcing the Laws - The public needs to know that it will be protected from
environmental hazards through vigorous enforcement by the EPA and the states
for violations of environmental laws and situations that put people and natural
resources at risk. EPA intends to use its enforcement authorities not only to
compel compliance, but also to promote long term policy objectives such as
greater citizen involvement, pollution prevention, technology development, and
natural resource management.
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 be viewed as living, dynamic documents reflecting not only
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the best judgments by all parties of cleanup priorities and milestones at the time of
agreement, but also the changing circumstances of environmental cleanup.
b. Cross-Program Revitalization Measure Implementation
Federal Facilities and Remedial Programs continue to implement the OSWER-wide
Cross-Program Revitalization Measures effort by tracking the number of actually or
potentially contaminated, or previously contaminated, sites and surface acres that are
"Protective for People Under Current Conditions" (PFP) and "Ready for Anticipated Use"
(RAU).
Sites and surface acres tracked by these measures include investigated land, wetlands,
surface water, and/or sediments for which these programs have a documented oversight
role for any necessary assessment, remedial action, and/or property transfer. The Federal
Facilities and Superfund Programs are using the current Human 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.
In order to meet the RAU measure, sites and acres must: 1) have all cleanup goals
achieved for media that may affect current and reasonably anticipated future land uses
such that there is no unacceptable risk, and 2) have all institutional or other controls
identified as part of the response action as necessary for the site's long-term protection be
properly in place and effective. The Program is also tracking two optional indicators,
Status of Use and Type of Use. These indicators describe how the acres are being used
when the determination is made for the PFP and RAU performance measures.
Acres and sites that meet Cross-Program Revitalization Measures (CPRM) PFP and/or
RAU criteria as well as Status and Type of Use information are documented via a
checklist in CERCLIS. Acres are measured on an operable unit (OU) or property transfer
parcel basis.
c. Cross-Program Revitalization Measures (CPRM) Indicators
Definition:
The CPRM indicators and performance measures establish a similar, consistent set of
measures that can be applied across all OSWER cleanup programs. The Office of
Superfund Remediation and Technology Innovation (OSRTI) and FFRRO implemented
the following three indicators and two performance measures established in the March
2007 CPRM Guidance:
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 BRAC facilities. For sites that are proposed for, listed on,
or deleted from the NPL, or for Superfund Alternative 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,
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Non-Time Critical Removal Action (NTCRA) sites should be investigated in a manner
consistent with Guidance on Conducting Non-Time-Critical Removal Actions Under
CERCLA. Both remedial and NTCRA sites and acres where initial investigations indicate
that no unacceptable risks exist, and therefore no further action is required, should be
included in the Universe Indicator.
The Universe includes those non-NPL Federal Facilities (such as BRAC or formerly
Used Sites Remediation Action Program (FUSRAP) sites) and Formerly Used Defense
Sites (FUDS) where EPA has signed/concurred on a response action (at a minimum,
completed a Remedial Investigation/Feasibility Study (RI/FS), removal action, or other
major cleanup decision document) or a property transfer.
The Universe Indicator and performance measures apply to the following contaminated
or potentially contaminated media - land, wetlands, surface water, and/or sediments -
provided that media is subject to Superfund and Federal Facilities remedial investigation,
oversight, and/or response action. However, the acres captured under the Universe
Indicator do not include land areas overlying a ground water plume where those land
areas are not intended to be assessed consistent with applicable EPA guidance. For
example, if a plume extends under a land area and EPA has no intention of investigating
these acres of land for contamination unrelated to the plume, then those land acres would
not be included in the acreage reported by the Universe measure. By extension, a site
with only ground water contamination would not be captured by the Universe Indicator.
Note that there may also be exceptions in which sites with areas of surface water,
sediments, and/or tidal basins will not automatically be included due to site-specific
circumstances. These types of sites will be dealt with on a case-by-case basis.
Status of Use Optional Indicator: Refers to how the acres of the sites and OUs included
in the Universe Indicator are being used at the point in time when the determination is
made for the PFP and RAU performance measures. The Status of Use Indicator has the
following sub-indicators:
Continued Use: Acres in continued use refers to areas that are being used in the
same general manner as they were when the site became subject to the Superfund
or Federal Facilities Programs.
Reused: Acres at a site identified as in reuse refers to a site or OU where a new
use, or uses, are occurring such that there has been a change in the type of use
(e.g., industrial to commercial), or the property was unused and now supports a
specific use. This means that the developed site or OU is actually used for its
intended purpose by customers, visitors, employees, residents, or fauna, in the
case of ecological reuse.
- Planned Reuse: Acres in planned reuse include sites or OUs where a plan for a
reuse is in place, but reuse has not yet begun. This could include conceptual plans,
a contract with a developer, secured financing, approval by the local government,
or the initiation of site redevelopment.
Unused: Acres identified as unused include sites or OUs not being used in any
identifiable manner. This could be, for example, because site investigation and
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cleanup are ongoing, operations have ceased, the owner is in bankruptcy, or
cleanup is complete, but the site remains vacant.
- Undetermined: Acres at a site or OU that cannot be currently identified as one of
the four Statuses of Use.
The Status of Use Indicator is independent of the status of response action because it
recognizes that sites or OUs could be in various stages of use at various stages of cleanup
and because use and reuse can change.
Type of Use Optional Indicator: The Type of Use Indicator describes how acres at sites
or OUs included in the Universe Indicator are used at the point in time when the PFP or
RAU determination is made. Information on the type of use at a site or OU should be
classified under one of the following six primary categories:
Commercial
Commercial Use: Commercial use refers to use for retail shops, grocery stores,
offices, restaurants, and other businesses.
Public Service
- Public Service Use: Public service use refers to use by a local or state government
agency or a non-profit group to serve citizens' needs. This can include
transportation services such as rail lines and bus depots, libraries and schools,
government offices, public infrastructure such as roads, bridges, utilities, or other
services for the general public.
Agricultural Use:
- Agricultural Use: Agricultural use refers to use for agricultural purposes, such as
farmland for growing crops and pasture for livestock. Agricultural use also can
encompass other activities, such as orchards, agricultural research and
development, and irrigating existing farmland.
Recreational Use:
- Recreational Use: Recreational use refers to use for recreational activities, such as
sports facilities, golf courses, ball fields, open space for hiking/picnicking, and
other opportunities for indoor or outdoor leisure activities.
Ecological Use:
- Ecological Use: Ecological use refers to areas where proactive measures,
including a conservation easement, have been implemented to create, restore,
protect, or enhance a habitat for terrestrial and/or aquatic plants and animals, such
as wildlife sanctuaries, nature preserves, meadows, and wetlands.
Industrial
- Industrial Use: Industrial use refers to traditional light and heavy industrial uses,
such as processing and manufacturing products from raw materials, as well as
fabrication, assembly, treatment, and packaging of finished products. Examples of
industrial uses include factories, power plants, warehouses, waste disposal sites,
landfill operations, and salvage yards.
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Military
- Military Use: Military use refers to use for training, operations, research and
development, weapons testing, range activities, logistical support, and/or
provision of services to support military or national security purposes.
Other Federal
- Other Federal Use: Other federal use refers to use to support the federal
government in federal agency operations, training, research, and/or provision of
services for purposes other than national security or military.
Mixed
- Mixed Use: Mixed use refers to areas at which uses cannot be differentiated on
the basis of acres. For example, a condominium with retail shops on the ground
floor and residential use on the upper floors would fall into this category. When
selecting Mixed Use, the individual types of uses should be identified, if possible.
Residential
- Residential Use: Residential use refers to use for residential purposes, including
single-family homes, town homes, apartment complexes and condominiums, and
child/elder care facilities.
Undetermined
Undetermined: Undetermined refers to acres at a site or OU that cannot be
identified as one of the six Types of Use.
Data Entry Timeliness Requirement
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs at close of
business (COB) on the fifth business day following the end of fiscal year (FY) quarter
(Q)l, FYQ2 and FYQ3, and at COB on the 10th business day following the end of
FYQ4.)
VIILA.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
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established by statute, regulation or guidance, as noted below there are other factors
that affect whether and to what extent cleanups are to occur.
• Emerging pollutants, contaminants and hazardous substances of concern: As
analytical detection methods improve and health risk data are better defined, EPA and
the federal community are detecting chemicals, like perchlorate and TCE, at lower
levels of concern and at a greater number of sites. Thus, we may need to expand the
scope of investigations and cleanup actions, and take other actions to adequately
address these chemicals.
• Other Factors: In addition to human health and environmental risk, other factors that
warrant consideration in setting environmental cleanup priorities and milestones
include, but are not limited to:
- cultural, social, and economic factors, including environmental justice
considerations
- short-term and long-term ecological effects and environmental impacts in general,
including damage to natural resources and lost use
- making land available for other uses
- acceptability of the action to regulators, tribes, and public stakeholders
- statutory requirements and legal agreements
- life cycle costs
permanence and reliability of remedy
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 Office of Solid Waste and Emergency Response issued the Principles
for Greener Cleanups (Principles) in August 2009. The Principles document 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://www.epa.gov/superfund/greenremediation/
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• 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.
• 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.
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• 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.
VIILA.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 Superfund Amendments and
Reauthorization Action (SARA), 1986, and in the National Contingency Plan (NCP). The
Federal Facilities process is different in at least four ways:
1. Federal Facility Docket Process and Federal Facilities Discovery Process: The
process for Federal Facilities involves listing Federal Facility sites on the Docket
(CERCLA/SARA section 120(c)) prior to any listing of the Site Discovery in
CERCLIS.
2. Federal Facilities Site Assessment and Time Frames: The time frame, for
completion of Federal Facilities site assessment activities following Site
Discovery; is that of "a reasonable time schedule" (CERCLA/SARA section
120(d)) as Amended in 1997; and for completion of Hazard Ranking System
(HRS) evaluations the time frame is within 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).
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.
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section 120(c) requires EPA to establish a Docket that contains information reported to
EPA by Federal Facilities that manage hazardous waste or from which a reportable
quantity of hazardous substances, pollutants, or contaminants have been or may be
released. The Docket was established by EPA OSWER in 1988.
The Docket is used to identify Federal Facilities that should be evaluated to determine if
they pose a threat to public health or welfare and the environment; and to provide a
mechanism to make this information available to the public. As new facilities are
reported to EPA by federal agencies, EPA publishes a list of these facilities in the
Federal Register.
The Docket contains information submitted by federal agencies under the following
authorities:
Section 103 of CERCLA requires owners or operators of vessels or facilities to
notify the National Response Center of a release of a reportable quantity of a
hazardous substance (notification of a release or potential release);
Section 3005 of the 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.
Any potential Federal Facility site is generally first added to the Docket1. Following
publication of the site's addition to the Docket in the Federal Register., the site is then
entered in CERCLIS as a Site Discovery. The Site Discovery Date is that of the
publication in the Federal Register. For additional information see the EPA Docket
Reference Manual, Federal Agency Hazardous Waste Compliance Docket, Interim Final,
March 9, 2007; website: http://www.epa.gov/fedfac/documents/docket.htm
1 There may be instances when a facility included in the docket may not be listed in the CERCLIS database.
(Source: Change 5, FY 04/05 SPIM, D-5, January 10, 2005, OSWER Directive 9200.3-14-1G-Q).
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c. Federal Facility Site Assessment Process and Time Frames
CERCLA/SARA, as amended, section 120(d) (1) requires that EPA take steps to assure
that a PA be completed and that evaluation and listing of sites be completed within a
reasonable time frame (CERCLA/SARA, as amended, section 120(d) (3)) for each
Federal Facility included on the published list of Federal Facilities reported pursuant to
section 120(c) of CERCLA/SARA (the "Federal Facilities docket"). The PA is designed
to provide information for EPA to consider when evaluating the site for potential listing
on the NPL. E.O. 12580 delegated the authority to conduct Federal Facility PAs and,
when warranted, Federal Facility Site Inspections (Sis) to the federal agencies.
EPA believes the most reasonable schedule for assessing Federal Facility sites listed on
the Docket would be one consistent with the schedule for assessing non-Federal Facility
sites which are tracked in Superfund's CERCLIS hazardous waste site database. Potential
budgeting issues of a Federal Facility may also be a factor in conducting a PA. Under
Superfund policy (OSWER directive 9200.3-14-1E), EPA attempts to complete a non-
Federal Facility PA within one year of that site's discovery (inclusion in CERCLIS).
However, the need of federal agencies to wait for the next budget cycle to obtain funding
may make the 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 CERCLIS listing. EPA believes this is a reasonable time frame for
making listing decisions at Federal Facility sites as well. On receipt and following
evaluation of a Federal Facility PA and, if warranted, a Federal Facility SI, EPA would
make a determination either of 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 Site Inspection (SI). The President has delegated this authority
through E.O. 12580 to the heads of the respective federal executive departments and
agencies with jurisdiction, custody, or control over their facilities. The NCP provides for
the lead federal agency to perform a PA and, as appropriate, an SI, on all sites on the
Docket and in CERCLIS (see CERCLA/SARA 120(d) and 40 CFR Part 300.420(b)(l)
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and (c) (1)). Section 300.5 of the NCP defines "lead agency" generally as that federal
executive agency with jurisdiction, custody, and control over the facility on which a
release occurs or is from (except in the case of an emergency). Accordingly, each federal
agency typically is the lead agency to conduct a PA or an SI on facilities within its
respective jurisdiction, custody, or control. 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://www.epa.gov/fedfac/documents/docket.htm
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
For Federal Facilities, the site assessment process under CERCLA/SARA begins when
the Federal Facility site has been listed on the Docket. When a Federal Facility submits a
Federal Facility PA report (also see CERCLA 104(h)), and if warranted a Federal Facility
SI report, EPA evaluates the site in accordance with the HRS final rule2 to determine
whether the site poses a threat to human health and the environment.
Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December
14, 1990.
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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 NFRAP under Superfund. A decision not to take further response/remedial
action under the Superfund program is based on a finding that the facility/situation does
not meet the minimum CERCLA eligibility requirements or that there is insufficient risk
to human health or welfare, or the environment to be included or proposed, at this time on
the NPL by the EPA. This decision does not preclude any further action at the facility by
other EPA Programs, by the states or other federal agencies. If there is a clear non-
compliance with other environmental programs, EPA will make a deferral to the
appropriate alternate authorities. Should EPA receive new information and/or issue new
rule making that warrants further EPA involvement, EPA will reactivate the site.
If the results of a Federal Facility SI indicate that the Federal Facility site warrants further
investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to
propose placing the site on the NPL. To make such an NPL decision, EPA may collect
further data to complete the HRS package.
f. Tracking of Federal Facility Sites in CERCLIS
Federal Facility sites can be tracked through the Federal Facility docket screen in
CERCLIS, EPAs official CERCLA/SARA sites database tracking system. It allows
authorized EPA CERCLIS users to enter new Federal Facility Docket sites. CERCLIS
users can access that and other screens to select and track Federal Facility sites in the
CERCLIS universe, and to manage site assessment activities (i.e., Federal Facility
Preliminary Assessment Review and Federal Facility Site Inspection Review actions) at
these sites.
CERCLIS tracks site assessment activities that are being or have been conducted for all
Federal Facilities listed on the Docket pursuant to CERCLA section 120 et al.
For more in depth understanding of the site assessment process for Federal Facilities, see
EPA Federal Facilities Preliminary Assessment Summary Guide, July 21, 2005;
(http ://www.epa.gov/fedfac/pdf/ff_pa guide.pdf);
EPA Federal Facilities Remedial Site Inspection Summary Guide, July 21, 2005;
(http ://www. epa. gov/fedfac/pdf/ff_si_guide.pdf);
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).
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OSWER Directive 9200.3-14-1G-W
VIII.A.5 BRAC Budget and Financial Guidance
a. Resources and Tracking Mechanisms
Pursuant to Congressional mandate, over 800 Department of Defense (DoD) military
bases have undergone realignment or complete closure since 1988. Base realignments
and closures (BRAC) 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.
BRAC I-IV
Under the first four rounds of BRAC (BRAC I - IV), the Military Components identified
107 installations for an accelerated cleanup effort (formerly known as fast track sites).
Thirty-four of these installations were listed on the NPL. 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. DoD continues to provide resources for 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:
b. Accountability for Resources
Regions are allocated full time employee (FTE) and administrative dollars (payroll and
site travel) based on installation-specific negotiations between EPA and DoD. BRAC
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OSWER Directive 9200.3-14-1G-W
resources received from DoD are to be used and allocated according to the Base
Realignment and Closure Memorandum of Understanding (MOU) between EPA and
DoD signed in February 2008, 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, RI/FS, RODs, RD, and RAs) and RCRA documents (e.g., RFI Starts,
CMD Starts, and ISM Starts and Completions); studying and sampling field data;
National Environmental Protection Act (NEPA) review and analysis; assisting DoD or
states with BRAC site issues; and activities supporting EPA personnel participation in the
BRAC program. These activities are outlined in the 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 funds request 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 the 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. The Cincinnati Finance Office
provides quarterly BRAC billing statements (by installation and funds received,
expended and remaining balance) to DoD. 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
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OSWER Directive 9200.3-14-1G-W
personnel and provide HQ and DoD with pertinent program information related to
cleanup and reuse. During early fourth quarter, FFRRO works with Cincinnati Finance in
determining a projected carryover balance for the program. The estimate which is
provided to DoD is used to offset the BRAC budget transfer to EPA for the upcoming
fiscal year. Since we no longer have the liberty of using carryover to cover additional
charges, the regions must be mindful of their BRAC spending.
The program has gone from a high of 143 FTE ($13M) being funded by DoD in 1998, to
a level of 36 FTE ($5M) in 2010. As DoD resources for the BRAC program continue to
dwindle, the regions are asked to keep a current ramp-down plan in place to ensure the
protection of their BRAC personnel.
VIILA.6 Cleanup Privatization at BRAC NPL Sites
EPA recognizes that the privatization of the cleanup at BRAC sites can present an
opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provides
another option to federal and state agencies and local communities to help maximize the impact
of cleanup and redevelopment resources to help move properties back into productive reuse more
quickly.
Privatization refers to a site where: 1) a non-federal party will take title to BRAC
property; 2) the property will be transferred using CERCLA 120(h)(3)(C) early transfer,
covenant deferral authority; and 3) the transferee, rather than the military, will conduct the
cleanup using funding provided by the DoD. The DoD funding to the transferee is provided
through an Environmental Services Cooperative Agreement (ESCA). Other documents that are
typically required for such transfers include an amendment to the existing Federal Facility
Agreement. The amendment provides: that in the event the transferee defaults on the cleanup of
the property or fails to meet the cleanup standards, the military is obligated to return and
complete the cleanup; negotiation of an Administrative Order on Consent (AOC) with the non-
federal entity who is to be responsible for the cleanup; and the issuance of a Finding of
Suitability for Early Transfer (FOSET). Importantly, the AOC provides for continuing EPA and
state oversight and the reimbursement of such oversight costs. (See the April 27, 2006, Interim
Guidance for EPA's Base Realignment and Closure (BRAC) Program, at pages 18-21.) Early
transfer covenant deferral requests seek deferral of the CERCLA 120(h)(3)(A)(ii)(I) deed
covenant that all remedial action has been taken.
VIILA.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 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, ground water, and surface water contamination from MC or other sources (including
explosives and heavy metals, depleted uranium, and at a small number of sites, chemical warfare
March 20, 2012 VIII-18 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
agents (CWA) or chemical warfare materiel (CWM). The MC may derive from a number of
sources. Such sources include: live-fire training or testing, low order detonations of munitions
used in training or testing, open burning and open detonation (OB/OD) treatment/destruction
activities, or munitions burial. Explosives safety (e.g., the potential for the detonation of MEC) is
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 inventory published in
the 2009 Defense Environmental Programs Annual Report to Congress contained 4,482 MRS at
the end of FY 2010. The Handbook on the Management of Munitions Response Actions (May
2005, currently being updated) 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 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 FFRRO issued a memo to the regions on April 7, 2010 to clarify issues with the
DoD Military Munitions Response Program (MMRP). 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.
VIILA.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,
FY12SPIM VIII-19 March 20,2012
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OSWER Directive 9200.3-14-1G-W
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 Restoration Advisory Boards (RAB), offer Technical Assistance Grants at
least yearly, remind the DoD facility to offer their Technical Assistance for Public Participation
(TAPP) program to RAB members, assure that the facility updates its mailing list and provides
frequent community update fact sheets, and approximately every two years, review the
Community Involvement Plan (CIP) to determine the need for an update. For Department of
Energy sites, the above applies, except that the stakeholder groups are called Site-specific
Advisory Boards (SSAB).
VIII.B FEDERAL FA CILITIES TARGETS AND MEASURES
VIILB.l Overview of Federal Facilities Targets and Measures
The following pages contain, in pipeline order, the definitions of Federal Facilities targets
and measures. Exhibit VTII. 1 displays the internal and external reporting hierarchy for the full list
of Federal Facilities activities defined in this chapter.
Regions are responsible for entering data into CERCLIS for Non NPL Federal Facility
sites, especially BRAC Sites where regions are involved. This data includes, where appropriate,
FUDS, PA, SI, removals, decision documents, acres transferred, etc.
March 20, 2012 VIII-20 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII. 1A. FEDERAL FACILITIES NPL SITES
ACTIVITY • .
Federal Facility Agreement (FFA)/Interagency Agreement (IA)
Remedial Site Assessment Completions
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents (RODs, ROD Amendments, ESDs, Action Memos)
Final Remedy Selected
Remedial Design (RD) or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD) Completions
RA or Corrective Measure Implementation (CMI) Starts
RA or Corrective Measure Implementation (CMI) Completions
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
Remedial Action Project Completions
Migration of Contaminated Groundwater Under Control (El)
Human Exposure Under Control (El)
Operation and Maintenance (O&M) Starts
NPL Construction Completions (CC)
Federal Facility Partial NPL Deletion (El)
Federal Facility Final NPL Deletion
Federal Facility Five-Year Reviews (FYR)
Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards
(SSABs)
Technical Assistance Grants
Site-wide Ready for Anticipated Use (SWRAU)
Protective for People Acres
Ready for Anticipated Use Acres
External
Program
Reporting
Annual
Commitment
System (ACS),
Strategic Plan
ACS
ACS
ACS,
Strategic Plan
ACS
ACS,
Strategic Plan
Internal
Program
Reporting
Measure
Target
Target
Target
Measure
Measure
Target
Target
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
For measures in italics: this edition of the SPIM includes a change in definition.
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 Accomplishment Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII.1B. FEDERAL FACILITIES BRAC SITES
. • / • '• ACTIVITY .
Federal Facility Agreement (FFA)/Interagency Agreement (IA)
Federal Facility Dispute Resolution
Use of Supplemental Environmental Projects (SEPs)
RI/FS orRCRA Facility Investigation (RFI) Starts
Decision Documents
Final Remedy Selected
ROD Amendment
Explanation of Significant Difference (BSD)
Remedial Design or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD) Completion
RA or Corrective Measure Implementation (CMI) Starts
RA or Corrective Measure Implementation (CMI) Completion
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
BRAC Construction Completions
Operation and Maintenance (O&M) Starts
Federal Facility Five-Year Reviews
Active Restoration Advisory Boards (RABs)
Technical Assistance Grants (TAGs)
Operating Properly and Successfully (TAGs)
External
Program
Reporting
Internal
Program
Reporting
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 Agency FYl 1-FYl5 Strategic Plan.
Target = SCAP target and reporting measure.
Measure = SCAP reporting measure, but target not required.
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII. 1C. FEDERAL FACILITIES NON-NPL SITES
ACTIVITY
Federal Facility Agreement (FFA)/Interagency Agreement (IA)
RI/FS or RCRA Facility Investigation (RFI) Starts
Decision Documents
ROD Amendment
Explanation of Significant Difference (BSD)
Remedial Design or RCRA Corrective Measure Design (CMD) Starts
Remedial Design or RCRA Corrective Measure Design (CMD) Completion
RA or Corrective Measure Implementation (CMI) Starts
RA or Corrective Measure Implementation (CMI) Completion
Removal or RCRA Interim/Stabilization Measure (ISM) Starts
Removal or RCRA Interim/Stabilization Measure (ISM) Completions
Operation and Maintenance (O&M) Starts
Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards
(SSABs)
Technical Assistance Grants (TAGs)
External
Program
Reporting
Internal
Program
Reporting
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 Agency FY11-FY15 Strategic Plan.
Target = SCAP target and reporting measure.
Measure = SCAP reporting measure, but target not required.
VIILB.2 Federal Facilities Site Discovery/Site Assessment Definitions
a. Site Discovery
Definition:
Site discovery is the process by which a potential hazardous waste site is entered into the
CERCLIS inventory for NPL assessment activities. The process typically starts when the
facility has been listed on the Federal Agency Hazardous Waste Compliance Docket.
NOTE: There may be instances when a facility included in the docket may not be listed
in the CERCLIS database.
All sites moving through the NPL assessment process must have a Discovery action and
actual completion date documented in CERCLIS. Entry of the site discovery date initiates
the NPL assessment process and places the site on the FF Preliminary Assessment
Review backlog.
FY 12 SPIM
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March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
After the region determines the Federal Facility is a valid CERCLA site, the site
discovery date for Federal Facilities is the date the site is formally added to the Federal
Agency Hazardous Waste Compliance Docket. The Site Name and Discovery Date must
be entered into CERCLIS for sites. Valid leads for site discovery actions include: Fund-
Financed (F); EPA-In House (EP); State (S), Tribal (TR); and Federal Facility (FF).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Actual start and planning dates are not required for the Discovery action. The Discovery
date is entered through the Add Site screen. The Discovery date will automatically
populate the actual completion date for the Discovery action. Regions are now required to
enter information on site type at the time of discovery on the Add Site or Site
Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is
an internal program measure.
Note: There is a separate field in CERCLIS which records site initiation dates for
removal-only sites. Sites that are subject only to removal interest generally do not require
a discovery date. An exception is where a large scale removal action has been completed
and the region seeks credit for a non-NPL site completion. Non-NPL site completions
require site assessment review indicating the site has no further remedial actions
planned. The discovery date for sites referred from removal to assessment should be the
date the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
b. Federal Facility Preliminary Assessment Reviews
Definition:
Federal Facility Preliminary Assessment (PA) Review is a quality assurance review of a
PA or PA-equivalent report submitted by another federal agency. EPA's role at Federal
Facilities is to review PA reports developed and submitted by the federal agencies
responsible for a given Federal Facility. EPA may also approve the review done by a
state in lieu of its review. Upon reviewing the PA or PA-equivalent report for accuracy,
completeness, and working with the other federal agency to address any deficiencies,
EPA then determines what next steps are appropriate with respect to additional response
March 20, 2012 VIII-24 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
action. Guidance can be found on the Federal Facilities website
entitled "Federal Facilities Remedial Preliminary
Assessment Summary Guide (July 21, 2005)."
There are instances when an Abbreviated Preliminary Assessment (APA) can be
performed in lieu of a standard Preliminary Assessment (PA). The October, 1999
Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides
information on conducting APAs and includes a checklist to help site assessors determine
whether an APA report is appropriate for a given site. The checklist or an equivalent
document can serve as documentation that the APA was completed. The APA checklist
or equivalent report must address the requirements set forth in the NCP for conducting
remedial preliminary assessments.
Once a Federal Facility site has been entered into the CERCLIS site inventory for
remedial assessment, an APA may be performed if the site/release:
- is regulated under a statutory exclusion (e.g., petroleum);
- is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substance in its unaltered form);
can be addressed as part of another site already in CERCLIS;
- will be deferred to another program (e.g., RCRA, 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.
Definition of Accomplishment:
Federal Facility PA Review Starts - A Federal Facility PA Review (Action Name =
Federal Facility Preliminary Assessment Review) is started when the EPA starts an in-
house review of the Federal Facility PA or PA-equivalent report, or sends a letter, form,
or memo to the EPA contractor requesting review of the Federal Facility PA or PA-
equivalent report, and CERCLIS contains the actual PA start date (Actual Start) and a
valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility PA Review Completions - A Federal Facility PA Review (Action Name
= Federal Facility Preliminary Assessment Review) is completed when:
- The appropriate regional official signs a letter, form, or memo approving the PA
report. The Federal Facility Preliminary Assessment Review actual completion
date is the date the Federal Facility PA report is approved;
CERCLIS contains the actual Federal Facility Preliminary Assessment Review
completion date (Actual Complete) a lead and a decision on whether further
activities are necessary in the Qualifier field; and
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The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of a Federal Facility PA
Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this
action and a description of each qualifier.
APA Completions - An Abbreviated Preliminary Assessment report at a Federal Facility
is tracked in CERCLIS by entering a Federal Facility PA Review action and selecting
APA as a critical indicator on the Federal Facility PA Review action SCAP Information
screen.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions should attempt to complete PA reviews at Federal Facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient PA. PA
review starts and completions are reported site-specifically in CERCLIS. Federal Facility
Preliminary Assessment Review starts and completions are internal program measures. If
the Federal Facility PA report does not provide sufficient information to complete the
PA, the report should be referred back to the Federal Facility (SubAction Name =
Referred back to Fed Fac). The date the report is referred back to the Federal Facility is
entered into CERCLIS as the actual completion date (Actual Complete) of the
SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the
Federal Facility Preliminary Assessment Review should not be entered until all the report
deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
APA reports are tracked in CERCLIS by entering a Federal Facility PA Review action
and selecting APA as a critical indicator on the Federal Facility PA Review action SCAP
Information screen.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on 10th business day
following the end of FYQ4.)
c. Federal Facility SI Reviews
Definition:
Federal Facility Site Inspection Review is a quality assurance review of an SI or Si-
equivalent report submitted by another federal agency. EPA=s role at Federal Facilities is
March 20, 2012 VIII-26 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
to review SI reports developed and submitted by the federal agencies responsible for a
given Federal Facility response. Upon reviewing the SI or Si-equivalent report for
accuracy, completeness, and working with the other federal agency to address any
deficiencies, EPA then determines what next steps are appropriate. Guidance can be
found on the Federal Facilities website (htt2://Mvwie|3a^ov7Mfac/) entitled "Federal
Facilities Remedial Site Inspection Summary Guide (July 21, 2005)."
Backlogs: The Federal Facility SI Review backlog consists of sites with a Non-NPL
Status of FF-SI review needed or FF-SI review ongoing.
Definition of Accomplishment:
Federal Facility SI Review Starts - A Federal Facility SI Review (Action Name = Federal
Facility Site Inspection Review) is started when the EPA starts an in-house review of the
Federal Facility SI or Si-equivalent, and CERCLIS contains the actual SI start date
(Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility SI Review Completions - A Federal Facility SI Review (Action Name =
Federal Facility Site Inspection Review) is completed when:
The appropriate regional official signs a letter, form, or memo approving the SI
report. The Federal Facility Site Inspection Review actual completion date is the
date the Federal Facility SI report is approved;
- CERCLIS contains the actual Federal Facility Site Inspection Review completion
date (Actual Complete) a lead and a decision on whether further activities are
necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
A valid decision must be recorded in CERCLIS upon completion of a Federal Facility SI
Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this
action and a description of each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions should attempt to complete SI reviews at Federal Facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient SI. SI
review starts and completions are reported site-specifically in CERCLIS. Federal Facility
Site Inspection Review starts and completions are internal program measures.
If the Federal Facility SI report does not provide sufficient information to complete the
SI, the report should be referred back to the Federal Facility (SubAction Name =
Referred back to Fed Fac). The date the report is referred back to the Federal Facility is
entered into CERCLIS as the actual completion date (Actual Complete) of the
SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the
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Federal Facility 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 CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the lOthbusiness day
following the end of FYQ4.)
d. Federal Facility Expanded Site Inspection (ESI) Reviews
Definition:
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.
Definition of Accomplishment:
Federal Facility ESI Review Starts - A Federal Facility ESI Review (Action Name =
Federal Facility ESI Review) is started when the EPA starts an in-house review of the
Federal Facility ESI or ESI-equivalent, and CERCLIS contains the actual ESI start date
(Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).
Federal Facility ESI Review Completions - A Federal Facility ESI Review (Action Name
= Federal Facility ESI Review) is completed when:
The appropriate regional official signs a letter, form, or memo approving the ESI
report. The Federal Facility Expanded Site Inspection Review actual completion
date is the date the Federal Facility ESI report is approved;
- CERCLIS contains the actual Federal Facility Expanded Site Inspection Review
completion date (Actual Complete) a lead and a decision on whether further
activities are necessary in the Qualifier field; and
The decision is documented by completing the Site Decision Form 9100-3 in
CERCLIS or an equivalent document. The decision document must be printed,
signed by the appropriate regional official, and placed in the file.
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A valid decision must be recorded in CERCLIS upon completion of a Federal Facility
ESI Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this
action and a description of each qualifier.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions should attempt to complete ESI reviews at Federal Facility sites listed in the
CERCLIS inventory within a reasonable schedule upon receipt of a sufficient ESI. ESI
review starts and completions are reported site-specifically in CERCLIS. Federal Facility
Expanded Site Inspection Review starts and completions are internal program measures.
If the Federal Facility ESI report does not provide sufficient information to complete the
ESI, the report should be referred back to the Federal Facility (SubAction Name =
Referred back to Fed Fac). The date the report is referred back to the Federal Facility is
entered into CERCLIS as the actual completion date (Actual Complete) of the
SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the
Federal Facility Expanded Site Inspection Review should not be entered until all the
report deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every
non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into
CERCLIS, the system will ask the user to confirm or change this value as appropriate.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
VIILB.3 Federal Facilities Accomplishment Definitions
a. Base Closure Decisions: Start and Completions
Definition:
A base closure action occurs when EPA is involved in either a CERCLA section
120(h)(4) uncontaminated parcel CERFA determination, a Finding of Suitability to
Transfer (FOST), 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
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manner which will protect human health and the environment. Under CERCLA section
120(h)(3), before property can be transferred by deed, the military service must
demonstrate to EPA that the approved remedy is operating properly and successfully.
The phrase "operating properly and successfully" involves two separate concepts:
operating "properly" is used if the remedy is operating as designed; operating
"successfully" is used if the operation of the remedy will achieve the cleanup levels or
performance goals for the particular contaminant delineated in the decision document.
Where more than one remedial action is required for a parcel, all such actions must
operate properly and successfully. Therefore, EPA interprets the term "operating properly
and successfully" to mean that the remedial action was engineered and implemented and
is functioning in such a manner that it is expected to achieve cleanup goals and
adequately protect human health and the environment.
Definition of Accomplishment:
Base Closure Decision Start Date: Date that a document is received by EPA that
identifies a facility or a parcel as a candidate to be transferred by deed or lease (e.g.,
Environmental Baseline Study (EBS) submitted); or a clean parcel determination is
received by EPA for concurrence as required by CERFA; or the date of the written
request submitted by the other federal agency for concurrence on suitability to transfer or
lease; or the date on which a written request for EPA concurrence is received that a
120(h)(3) remedy is operating properly and successfully.
Base Closure Decision Completion Date: The date the appropriate regional official
signs a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the POST or FOSL; or the date the appropriate regional
official signs a letter, form, or memo stating that EPA has completed its review of the
demonstration that a remedy is operating properly and successfully for purposes of
CERCLA section 120(h)(3); or the date the appropriate regional official signs a letter
concurring on a clean parcel identified under CERFA. In addition to entering the date of
completion, also enter the acreage covered by the Base Closure Decision Document.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions may enter acreage information through the FOST or FOSL screens in CERCLIS.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
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b. Non-BRAC Property Actions
Definition:
A non-BRAC property transfer action occurs when EPA has reviewed and concurred on:
The transfer of non-BRAC property from the federal government under CERCLA
120(h)(3)(A): A federal agency may request that EPA review and
comment/concur on transfers under this section, however, EPA does not
statutorily have to provide concurrence or comment for the transfer to occur, other
than in instances where an OPS determination is required to be made prior to the
transfer of deed.
- An early transfer under CERCLA 120(h)(3)(C): For facilities listed on the NPL,
EPA is required to approve the deferral of the covenant found in CERCLA
120(h)(3)(A)(ii)(I) that all remedial action necessary to protect human health and
the environment has been taken before the date of transfer. The EPA Early
Transfer Guidance should be used to approve such requests.
- Provided an OPS determination pursuant to CERCLA 120(h)(3): Under
CERCLA section 120(h)(3), before property can be transferred by deed, the
federal department or agency must demonstrate to EPA that the approved remedy
is operating properly and successfully.
- Provided a concurrence to DOE for the lease of property on the NPL under the
Hall Amendment: Leasing of real property at DOE weapons production facilities
that are either being closed or reconfigured is subject to the requirements of the
Hall Amendment under the following conditions: 1) the Hall Amendment is the
authority invoked for a lease, and 2) the real property to be leased is on the NPL.
In these cases, DOE must request the concurrence of the EPA Regional
Administrator for the proposed lease. DOE may lease if EPA concurs within 60
days or EPA fails to respond to DOE's concurrence request after 60 days. The
Joint DOE/EPA Interim Policy Statement on Leasing Under the Hall Amendment
(1998) governs these leases.
- Made a CERCLA 120(h)(4) uncontaminated parcel determination: Under the
CERFA amendment to CERCLA section 120(h)(4), the federal department or
agency must designate, and EPA is required to concur, on property that is a part
of a facility listed on the NPL that is uncontaminated. For property not closed or
realigned pursuant to a base closure law, the identification and concurrence is
required to be made at least six months before the termination of operations on the
facility.
Definition of Accomplishment:
Non-BRAC Property Action Start Date: Date of a written request submitted by the
other federal agency for EPA concurrence on suitability to transfer, including early
transfers, or lease; or a clean parcel determination is received by EPA for concurrence as
required by CERFA; or, the date on which a written request for EPA concurrence is
received that a 120(h)(3) remedy is operating properly and successfully.
Non-BRAC Property Action Completion Date: The date the appropriate regional
official signs a letter, form, or memo stating that EPA has completed its review and
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provided comments or concurrence on the transfer or leasing document(s); or the date the
appropriate regional official signs a letter, form, or memo stating that EPA has completed
its review of the demonstration that a remedy is operating properly and successfully for
purposes of CERCLA section 120(h)(3); or the date the appropriate regional official signs
a letter concurring on a clean parcel identified under CERFA. In addition to entering the
date of completion, also enter the acreage covered by the property action.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
c. Federal Facility Agreement (FFA)TInteragency Agreement (IA)
Definition:
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.
Definition of Accomplishment:
TFA/IA Start Date: Date notice letter is sent by EPA to the Federal Facility, reported in
CERCLIS as the actual start date (Actual Start) of FFA/IA negotiations (Action Name =
IAG Negotiation).
FFA/IA Completion Date: The date that the federal agency, EPA, and/or state sign the
FFA/IA. This date must be reported in CERCLIS as the actual completion date (Actual
Complete) of the FFA/IA (Action Name = Federal Interagency Agreements).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
FFA/IA starts will be tracked as IA negotiations (Action Name = IAG Negotiation).
FFA/IA completions will be tracked as the completion (Actual Complete) of the FFA/IA
(Action Name = Federal Interagency Agreement). For those FFAs/IAs that are elevated
for dispute resolution, record the date elevated as the actual completion date of the
SubAction TAG Dispute Admin Referral' and not as the FFA/IA completion date.
Regions do not receive credit for FFA/IA completion when the FFA/IA is elevated to HQ
for dispute resolution. This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
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quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the et
following the end of FYQ4.)
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
d. Federal Facility Dispute Resolution
Definition:
When the federal agency, state, and/or EPA make an effort to formally resolve a FFA/IA
dispute after the FFA/IA is signed.
Definition of Accomplishment:
Dispute Resolution Start Date: Date that any party to the FFA/IA sends a letter to the
other parties notifying them as to the issue in dispute. This is reported in CERCLIS as the
actual start date (Actual Start) of dispute resolution (Action Name = Alternative Dispute
Resolution).
Dispute Resolution Completion Date: Date the document resolving the issue is signed
(e.g., letter of agreement, agreement document). This is reported in CERCLIS as the
actual completion date (Actual complete) of dispute resolution (Action Name =
Alternative Dispute Resolution).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Federal Facility Dispute Resolution is reported in CERCLIS as Alternative Dispute
Resolution (Action Name = Alternative Dispute Resolution) with a Federal Facility (FF)
lead. This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
e. Use of Supplemental Environmental Projects (SEPs)
Definition:
SEPs are environmentally beneficial projects which a federal agency agrees to undertake
to mitigate a monetary penalty, but which the violator is not otherwise legally required to
perform. Consistent with EPA's SEP Policies, the SEP could be for public health,
pollution prevention, pollution reduction, environmental restoration and protection,
assessments and audits, environmental compliance promotion, emergency planning and
preparedness, or other program-specific projects.
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Definition of Accomplishment:
The date of agreement between EPA and a federal agency to implement a SEP is reported
in CERCLIS as the SubAction 'Supplemental Envir Projects.' Actions a SEP can be
associated with include AOCs, Consent Decrees, and RCRA CMDs. The estimated dollar
value of the SEP must also be entered.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program measure. Both the number of SEPs and their estimated value
will be tracked. The estimated value of the SEP is reported on the Penalty/SEP screen in
the Federal Facilities module in CERCLIS.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) Starts
Definition:
The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature
and extent of contamination, evaluate potential risks to human health and the
environment, and develop and evaluate potential remedial alternatives. A RFI is a RCRA
investigation designed to evaluate thoroughly the nature and extent of the release of
hazardous wastes and hazardous constituents and to gather necessary data to support the
Corrective Measure Study (CMS) and/or Interim/Stabilization Measure (ISM).
Definition of Accomplishment:
The RI/FS (Action Name = FF RI/FS or FF RI) or RFI (Action Name = RCRA Facility
Investigation) start is defined as follows:
Sites where there has been no RI/FS or RFI work started prior to the effective date
of the FFA/IA, the actual start date (Actual Start) is the EPA or state receipt of a
draft work plan for the RI/FS or RFI; or
Sites where RI/FS or RFI work has been started prior to the FFA/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), the
actual start date (Actual Start) is also the date of receipt of a draft RI/FS or RFI
work plan (Note: this date will be prior to IA completion date); or
Sites where RI/FS or RFI work starts prior to the FFA/IA effective date and there
has been limited EPA or state involvement, the date of the RI/FS or RFI actual
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start date (Actual Start) is the latter date that EPA or the state and the other
agency sign the FFA/IA.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
g. Timespan from Final NPL Listing To RI/FS
Definition:
SARA section 120(e) states, "not later than six months after the inclusion of any facility
on the NPL, the department, agency, or instrumentality shall commence an RI/FS for
such facility." This measure calculates the days and the time frame from final NPL
Listing to the first RI/FS start. Sites with time frames greater than 180 days will be
deemed not to have met this requirement.
Definition of Accomplishment:
This measure will calculate, by site, the interval between final NPL listing (publication of
final listing in the Federal Register} and the actual date for the first RI/FS start. The
timespan will be calculated based on the RI/FS start definition outlined above and the
final NPL listing (Action Name = Final Listing on NPL) actual completion date (Actual
Complete).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan on an annual basis. HQ will perform the analysis at the end of the fiscal year.
h. Decision Documents
Definition:
Upon completion of a Federal Facility RI/FS, CMS, or Engineering Evaluation/Cost
Analysis (EE/CA), the federal agency selects a remedy that is presented in a cleanup
decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments,
Action Memo, Removal Action Decision Document, ROD Amendment or Explanation of
Significant Differences (ESD)). EPA may either approve or concur on the remedy
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selection or, in the case of a dispute, EPA may select the remedy. For EPA, this authority
has been delegated to the Regional Administrator or her/his delegate.
Definition of Accomplishment:
Date (Actual Complete) the ROD (Action Name = Record of Decision), the appropriate
RCRA Statement of Basis/Response to Comments (Action Name = RCRA SB/RTC),
Action Memo (Action Name = Record of Decision and SubAction Name = Approval of
Action Memo), Removal Action Decision Document (Action Name = Removal Action
Decision Doc), ROD Amendment (Action Name = Record of Decision and SubAction
Name = ROD Amendment) or Explanation of Significant Differences (Action Name =
Record of Decision and SubAction Name = Explanation of Significant Diff) or is signed
by the Regional Administrator or delegate, or the date of EPA concurrence/approval on
the clean-up decision document pursuant to FFA/IA or other enforceable decision
document, or the date of EPA's letter of concurrence.
Changes in Definition:
None.
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. All RODs, regardless of
remedial actions chosen, are entered into CERCLIS as a normal ROD action. HQ's ROD
data entry contractors will enter in the associated ROD action information.
For "No Action RODs", the regions should not enter a Remedial Design (RD) following
a "No Action ROD". Furthermore, the region should not enter a Remedial Action
following a "No Action ROD". For RODs which choose limited actions (i.e. institutional
controls only), the regions should not enter a Remedial Design for these RODs. However,
the regions should enter a Remedial Action on the project schedule with the Critical
Indicator of "Limited Action".
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
i. Final Remedy Selected
Definition:
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 Explanation of Significant
Differences (ESD) will not constitute a Final Remedy Selected since ESD's document a
non-fundamental change to a remedy. Also, a partial deletion from the NPL does not
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constitute a Final Remedy Selected since it does not constitute a final decision for the
entire site.
Definition of Accomplishment:
Credit under CERCLA for a Final Remedy Selected is received when:
A site has a Final ROD or ROD Amendment and no existing planned ROD, ROD
Amendment, Removal Action Memorandum, RI/FS or EE/CA. The date the
designated regional official or the AA OSWER signs the ROD at a site for each
RA is reported in CERCLIS as the ROD (Action Name = Record of Decision)
completion date (Actual Complete); or
Site has a Removal Action Memorandum and no existing planned ROD, RI/FS,
EE/CA or planned action memorandum.
Site is Construction Complete as documented by the actual completion date
(Actual Complete) of the Preliminary Close-Out Report (Action Name = Prelim
Close-Out (PCOR) Rep Prepared), or the actual completion date (Actual
Complete) of the Final Close-Out Report (Action Name = Close-Out Report) and
HQ has entered the Construction Completion indicator in CERCLIS and no future
ROD, ROD Amendment, Action Memorandum, RI/FS or EE/CA is planned. (The
Final Remedy Selected designation may only be applied to the PCOR if there is
no previous ROD, ROD Amendment, or Action Memorandum that constitutes the
final decision.)
Site has been deleted from the NPL (Action Name = Final Deletion from NPL),
which is documented when the Notice of Deletion is published in the Federal
Register and no future ROD, ROD Amendment, Action Memorandum, RI/SF or
EE/CA is planned. (The Final Remedy Selected designation may be applied to the
Final Notice of Deletion if there is no PCOR and if there is no previous ROD,
ROD Amendment or Action Memorandum that constitutes the final decision.)
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
j. ROD Amendments
Definition:
A ROD Amendment documents fundamental changes to the remedy selected in the ROD.
Fundamental changes involve an appreciable change or changes in the scope,
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performance, and/or cost or may be a number of significant changes that together have
the effect of a fundamental change.
Definition of Accomplishment:
ROD Amendment: the date (Actual Complete) the ROD Amendment (Action Name =
Record of Decision and Sub Action Name = ROD Amendment) is signed by the Regional
Administrator or delegate, or the date of EPA concurrence/approval on the cleanup
decision document pursuant to FFA/IA or other enforceable decision document, or the
date of EPA's letter of concurrence.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
ROD Amendments count towards the Program Target for Decision Documents.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
k. Explanation of Significant Differences (ESD)
Definition:
An Explanation of Significant Differences (ESD) documents significant changes to a
Record of Decision (ROD). Significant changes generally involve a change to a
component of a remedy that does not fundamentally alter the overall cleanup approach.
Definition of Accomplishment:
Explanation of Significant Differences: the Date (Actual Complete) the ESD (Action
Name = Record of Decision and SubAction Name = Explanation of Significant Diff) is
signed by the 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.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
ESD's count towards the Program Target for Decision Documents.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
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business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
1. Remedial Design (RD) or RCRA Corrective Measure Design (CMD)
Definition:
The RD is a CERCLA design that establishes the general size, scope, and character of a
project, and details and addresses the technical requirements of the RA selected in the
ROD. The RD may include, but is not limited to, drawings, specification documentation,
and statement of bidability and constructability. The CMD is a RCRA design that
establishes the general size, scope, and character of a project, and details and addresses
the technical requirements of the CMD selected in the RCRA Corrective Measure
decision document. The CMD may include, but is not limited to, drawings, specification
documentation, and statement of bidability and constructability. A RD or CMD is
complete when the plans and specifications for the selected remedy are developed and
approved.
Definition of Accomplishment:
RD Start - If post-ROD, the RD (Action Name = FF RD) or CMD (Action Name =
Corrective Measure Design) start date (Actual Start) is the date of submission of the RD
or CMD work plan or other appropriate documents or statement of work. If work begins
prior to the ROD, the RD or CMD actual start date (Actual Start) will be the ROD
signature date or submission date of RD or CMD work plan or any other major
deliverable (e.g., 30% design complete).
RD Completion - RDs and CMDs are considered complete the date a letter is signed by
the appropriate regional official approving the entire final RD or CMD package. If EPA
does not approve the final RD or CMD package, the RD or CMD is considered complete
the date of the Commerce Business Daily (CBD) or other appropriate publication
requesting bids on the final RD or CMD package. This date is reported in CERCLIS as
the actual completion date (Actual Complete) of the RD (Action Name = FF RD) or
CMD (Action Name = Corrective Measure Design).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY12SPIM VIII-39 March 20,2012
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OSWER Directive 9200.3-14-1G-W
m. Duration of ROD to IA Negotiation Completion
Definition:
The objective of this measure is to focus attention on the statutory requirement for an IA
to be entered into within 180 days after signature of the ROD. SARA section 120(e) (2)
states that "within 180 days (after signature of the ROD), the head of the department,
agency, or instrumentality concerned shall enter into a IA with the administrator for the
expeditious completion by such department, agency, or instrumentality of all necessary
remedial action at such facility." This measure tracks compliance against the CERCLA
section 120 statutory requirements.
Definition of Accomplishment:
The duration of ROD to IA will be calculated based on the actual completion date of the
ROD (Action name = Record of Decision) and the latter of the dates that the federal
agency, EPA, and/or state sign the IA, or the date the Letter of Intent to sign an IA is
signed by all parties, as reported in CERCLIS as the actual completion (Actual
Completion) of FFA/IA negotiations (Action Name = IAG Negotiation).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
Starts
Definition:
A RA or CMI is the implementation of the remedy selected in the ROD or appropriate
RCRA corrective measure decision document at NPL sites to ensure protection of human
health and the environment.
Definition of Accomplishment:
Date on which substantial, continuous, physical, on site, remedial actions begin (pursuant
to SARA section 120(e)) as documented by a memo or letter to EPA. This date is
reported in CERCLIS as the actual RA (Action Name = FF RA) or CMI (Action Name =
Corrective Measure Implementation) start date (Actual Start).
Changes in Definition:
None.
March 20, 2012 VIII-40 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
This is an internal program target and measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
o. Timespan from ROD Signature to RA Start
Definition:
The objective of this measure is to focus attention on the statutory requirement for an RA
start within 15 months of the ROD signature.
SARA section 120(e) states that "substantial, physical, on site remedial action shall be
commenced at each Federal Facility no later than 15 months after completion of the
investigation and study." This measure tracks compliance against the CERCLA section
120 statutory requirements.
Definition of Accomplishment:
This measure will look at federal agency performance by comparing the average
timespan from ROD signature to RA start for all sites where a RA actually started in FY
08/09. Sites exceeding the 15 month requirement will be identified. Comparisons will be
made to previous Agency performance to determine trends.
The durations will be calculated using the actual ROD (Action Name = Record of
Decision) completion date (Actual Complete) and the actual RA (Action Name = FF RA)
start date (Actual Start) in CERCLIS. The ROD signature and RA start definition
contained in Decision Documents and RA or Corrective Measure Construction Starts,
respectively, will be used in the analysis.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a Management reporting tool. Data in CERCLIS will be used to calculate the
timespan from ROD signature to RA or CMI completions.
p. RA or CMI Completions
Definition:
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.
FY12SPIM VIII-41 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
The RA or CMI is complete the date that the designated regional official (Branch Chief
or above, as determined by the EPA region) approves in writing the RA Report or signs
the report or appropriate CMI reporting vehicle for the RA or CMI that documents the
completion of construction activities. In lieu of a report from the contractor's
construction manager, the region must prepare a report to document the completion. The
approval can be provided with an appropriate signature on the RA Report cover sheet or
by letter to the originator of the RA Report. The appropriate date must be recorded in
CERCLIS as the actual completion date (Actual Complete) of the RA (Action Name =
FF RA) or CMI (Action Name = Corrective Measure Implementation).
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).
Changes in Definition:
Minor edits made in order to improve consistency with the revised guidance Close Out
Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The
revised guidance no longer distinguishes between Interim and Final RA Reports.
Special Planning/Reporting Requirements:
This is a program target. RA or CMI (Action Name = FF RA or Corrective Measure
Implementation) completions are reported site specifically in CERCLIS. 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 new measure is intended to augment the
existing site-wide 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.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
March 20, 2012 VIII-42 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII.2. REMEDIAL PIPELINE FLOW CHARTS
Treatment and Off-site Disposal Remedies Pipeline
Final
RA Report
RA
For example; bloremedlation, SVE
OPS
(no O + M raqurhed)
Containment Remedies Pipeline
Final
RA Report
RA
O +M
(no n«d fpr OPS)
Ground Water and Surface Water Restoration Pipeline
and Monitored National Attenuation
Interim
RA Report
RA
O'PS
Final RA Report
(Cleanup Goals
Achieved)
O + M
OPS= Operating Properly & Successfully and applies only to BRAC sites.
q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions
Definition:
Removal actions are defined as the cleanup or removal of released hazardous substances
from the environment, and the necessary actions taken in the event of the threat of release
of hazardous substances into the environment. ISMs are defined as RCRA removal
actions that are intended to abate threats to human health and the environment from
releases and/or to prevent or minimize the further spread of contamination while long
term remedies are pursued. Regions need to report removal actions conducted in response
to emergency, time critical (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.
FY 12 SPIM
VIII-43
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
Removal/ISM Start Date: Date the federal agency begins actual on site removal work, or
the date of Action Memorandum signature, or the date the lead federal agency provides
notice to EPA, or other decision document signature/approval. The date must be reported
in CERCLIS as the actual start date (Actual Start) of the removal (Action Name = FF
Removal) or ISM (Action Name = RCRA Interim/Stabilization Measure).
Removal/ISM Completion Date: Actual date the federal agency has demobilized and
notified EPA, completing the scope of work delineated in the Action Memorandum or
other decision document. The date must be reported in CERCLIS as the actual
completion date (Actual Complete) of the removal (Action Name = FF Removal), or ISM
(Action Name = RCRA Interim/Stabilization Measure).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
r. Migration of Contaminated Ground Water Under Control
Definition:
The Migration of Contaminated Ground Water Under Control indicator assesses whether
ground water contamination is below protective, risk-based levels or, if not, whether the
migration of contaminated ground water is stabilized and there is not unacceptable
discharge to surface water and monitoring will be conducted to confirm that affected
ground water remains in the original area of contamination. This indicator is limited to
sites with known past and/or present ground water contamination.
The Summary of Key Existing EPA CERCLA Policies for Groundwater Restoration
(OSWER 9283.1-33, June 26, 2009) provides a compilation of some key existing EPA
groundwater policies to assist EPA regions in making groundwater restoration decisions
pursuant to CERCLA and the NCP. In addition, by providing this information in a single
document, it may serve to enhance the transparency and understanding, by the public,
state regulators and others, of EPA's clean up decisions related to groundwater. This
memorandum brings together and highlights some of the basic principles related to
groundwater restoration that are articulated in multiple existing Agency guidance
documents, including those related more generally to cleanup actions.
March 20, 2012 VIII-44 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
The criteria for determining if ground water migration is controlled are found in
Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit
VIII.3), the Environmental Indicators Guidance Manual, the Long-Term Human Health
Protection Data Quality Objectives document, and on the Superfund Environmental
Indicators Website.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The Migration of Contaminated Ground Water Environmental Indicator worksheet must
be completed in CERCLIS and/or reviewed by October 7th of each year to reflect the
status at each site as of the end of the prior fiscal year (Program
Management/Environmental Indicators). If there is a known change in Ground Water
Management (GM) status, CERCLIS should be updated within 10 days. This is a key
program target and measure; the program reports accomplishments to external parties.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY12SPIM VIII-45 March 20,2012
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII.3. SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER
CONTROL WORKSHEET
Definition: Is the migration of contaminated ground water being controlled through engineered or natural processes?
Insufficient
Data/No
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Insufficient
Data
Q. Does the site currently have contaminated ground water or did site conditions
warrant EPA's investigation or remediation of ground water contamination in the
past?
No
V Yes
Stop, you do not
need to
complete the
GMEI
Step 1, Based on the most current data on the site, has alt available relevant/
significant information on known and reasonably suspected releases to ground water
been considered in this evaluation?
List Reference Document(s):
Yes
Step 2. Is ground water known or reasonably suspected to be "contaminated" above
appropriately protective risk-based "levels" (applicable promulgated standards, as
well as other appropriate standards, guidelines, or criteria) as a result of a release
from the site?
List Reference Document(s):
No
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 Document'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 "contaminated" ground water into surface water be
shown to be "currently acceptable" as defined (i.e., not cause unacceptable impacts
to surface water, sediments, or ecosystems that should not be allowed to continue
until a final remedy decision can be made and implemented)?
List Reference Document(s):
Yes
Step 6. Will ground water monitoring/measurement data (and surface water/
sediment/ecological data as necessary) be collected in the future to verify that
contaminated ground water has remained within the horizontal (or vertical, as
necessary) dimensions of the "existing area" of contaminated ground water?
List Reference Document(s): m
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
March 20, 2012
Vni-46
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
s. Human Exposure Under Control Indicator
Definition:
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. 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 Human Exposure (HE) evaluation reflects current, site-wide conditions. For sites that
have been categorized as current human exposures under control and long-term human
health protection achieved, it also reflects reasonably anticipated future, site-wide
conditions. As data collection and analysis or response actions occur or environmental
conditions change, it is expected that regions will update HE evaluations and update
CERCLIS to reflect changes in status.
Definition of Accomplishment:
The criteria for determining the status of long-term human health protection at a site are
found in the Superfund Environmental Indicators Guidance Human Exposures Revisions
March 2008, fafiBi/Avw^
the Long-Term Human Health Protection Data Quality Objectives document, and on the
Superfund Environmental Indicators Website.
Changes in Definition:
None.
FY12SPIM VIII-47 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
The Long-Term Human Health Protection worksheet must be completed in CERCLIS
and/or reviewed by October 7th of each year to reflect the status at each site as of the end
of the prior fiscal year (Program Management/Environmental Indicators). If there is
known change in the status of the site, update the "Last Review Date" in CERCLIS on
the HE tab in the Environmental Indicators module within 10 days of the review. This is
a key program target and measure; the program reports accomplishments to external
parties.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
March 20, 2012 VIII-48 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT VIII.4. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET
No
. Is there sufficient known and reliable information to
make an evaluation on human exposure al this site1.'
Response:
No
Insufficient Data to
Determine Human
Exposure Control Status
fllHID)
Yes
2, Have all long-term human exposure-related cleanup
goals been met for the entire site?
Response;
Yes
Current Human
Exposures Under Control
and Long-Term Human
Health Protection
Achieved (HHPA)
No
, Are there complete human exposure pathways
between contaminated ground water, soil, surface
water, sediment or air media and human receptors
such that exposure can be reasonably expected under
current conditions'."
Response:
Resulting Current Human Exposure
Evaluation:
Yes
4, Are the actual or reasonable expected hitman
exposures associated with the complete pathways
identified in Step 3 within acceptable limits under
current condition*.?
Response: „
No
Current 1 iumnn
Exposures Nol Under
Control i HENC)
Yes
5, Is the site C onsttmtion (, omplete. is the remedy
operating as intended, and are engineering and
institutional controls (if required), in place and
effective?
Response: _
Current Human
Fxposurcs Under Control
IHEUC)
I fall
criteria
from Step 5
are met
Current Human
Exposures Under Control
and Protective Remedies
in Place (HEPR)
(). Are there continuing exposures at the site".' Answer "Yes" only it EPA (or a state f>r PRPi has exhausted all response
actions and legal uuthonlies to prexenl unacceptable human exposures, yet exposures continue due to a refusal by
the property t>w nerfsi to pu.itieip.ite in the remedy (e.g., refusal to accept a municipal water supph hookup) AND
the region wishes to exercise its- discretion to classify tins site as-1 lumnn Exposure Under Control, consistent with
the requirement* laid out in the Superftmd Environmental Indicators fimdanee (OS\VER 42X5.02, March 2008.
pages 4-10 and 4-111,
Response:
FY 12 SPIM
VIII-49
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
t. Operation and Maintenance (O&M)
Definition:
O&M are the activities required to maintain the effectiveness or integrity of the remedy
including institutional controls. Except in the case of groundwater or surface restoration
remedies, including monitored natural attenuation, O&M measures are initiated after
cleanup goals are achieved, and the remedy is operating as intended. In the case of
groundwater or surface water restoration remedies, including monitored natural
attenuation, O&M measures are initiated when the remedy is operating as intended.
O&M (Action Name = Operations and Maintenance) starts when the designated EPA
regional official (Branch Chief or above, as determined by the EPA region) approves in
writing the Remedial Action Report.
Where appropriate, the completion of O&M is defined as the date (actual complete)
specified in the FFA/IA. If O&M must be conducted indefinitely, regions should not
enter as actual completion date.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
u. Cleanup Goals Achieved
Definition:
This measure is used to indicate when cleanup objectives are achieved for groundwater
and surface water restoration, including monitored natural attenuation. It tracks
achievement of cleanup objectives for these remedies because they have not yet achieved
cleanup objectives at Remedial Action completions.
March 20, 2012 VIII-50 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
Cleanup goals are achieved when valid monitoring data are obtained that clearly
demonstrates restoration goals have been achieved (e.g., routine O&M report).
Changes in Definition:
Minor edits made in order to improve consistency with the revised guidance Close Out
Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The
revised guidance no longer distinguishes between Interim and Final RA Reports;
therefore a Final RA Report is not needed to document achievement of restoration goals.
Special Planning/Reporting Requirements:
Cleanup Objectives Achieved is planned on an action specific basis (Action Name =
Operations & Maintenance and SubAction Name = Cleanup Goals Achieved) in
CERCLIS. This activity may be tracked by HQ for program management purposes, but it
is not a program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
v. NPL Site Construction Completions
Definition:
Construction at a NPL site is considered complete when physical construction is
complete for the entire site as a result of one or several removal or remedial actions; and
a Preliminary or Final Close Out Report (PCOR or FCOR) has been signed by the
designated regional official and concurred with by HQ. The report must address
construction activities for the entire site. There is only one NPL site construction
completion per NPL site, and the site must be final on the NPL. For more detailed
information, see Close Out Procedures for National Priorities List Sites (OSWER
9320.2-22, May 2011).
Definition of Accomplishment:
The Construction Completion designation requires that the remedy is documented in a
final ROD, physical construction of the remedy is complete, a pre-final inspection has
been conducted and only minor punch list items remain, and the designated regional
official has signed the PCOR.
Construction Completion is achieved when the region enters the signature date (Actual
Complete) of the PCOR into CERCLIS (Action Name = Prelim Close-Out Rep Prepared)
and HQ selects the appropriate special initiative indicator in CERCLIS (Indicator Name =
Construction Completion). This action constitutes HQ concurrence with the construction
completion documentation. EPA is responsible for documenting Construction
Completion; therefore all PCOR actions are given a Fund-financed lead code.
FY12SPIM VIII-51 March 20,2012
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OSWER Directive 9200.3-14-1G-W
If a site meets both the Construction Completion and Site Completion criteria
simultaneously, then a PCOR is not needed. In this situation, a Final Close Out Report
may be prepared in order to satisfy documentation requirements for both milestones. The
same CERCLIS rules apply for the signature date (Actual Complete) of the FCOR
(Action Name = Close Out Report) and HQ selection of the special initiative indicator.
In some rare instances, NPL sites may be addressed entirely under removal authority. In
such instances, the site is likely to achieve CC and site completion at the same time. The
RPM (or On-Scene Coordinator (OSC)) should document in the final Pollution Report
(POLREP) that the contractor has completed all removal actions and demobilized from
the site. The RPM (or OSC) should then prepare an FCOR to document construction
completion (and simultaneous site completion).
Changes in Definition:
Updated in order to improve consistency with the revised guidance Close Out Procedures
for National Priorities List Sites (OSWER 9320.2-22, May 2011).
Special Planning/Reporting Requirements:
Regions will not receive credit for an NPL Site Construction Completion until the actual
completion date of the Preliminary or Final Close-Out Report is entered into CERCLIS,
the necessary documentation is submitted to HQ, and HQ enters the construction
completion indicator into CERCLIS. Construction Completion is a key program target
and measure; the program reports accomplishments to external parties.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
w. Federal Facility Partial NPL Deletion
Definition:
To support revitalization and other efforts, EPA will consider partial deletion for portions
of sites when no further response is appropriate for that portion of the site. Such portion
may be a defined geographic unit of the site, perhaps as small as a residential unit, or may
be a specific medium at the site (e.g., groundwater), depending on the nature or extent of
the release(s). The criteria for partial deletion are the same as for final deletion. Given
state concurrence, EPA considers:
Whether responsible federal agencies or other parties have implemented all
appropriate and required response actions;
Whether all appropriate Fund financed responses under CERCLA have been
implemented and EPA has determined that no further cleanup by responsible
parties is appropriate; or
March 20, 2012 VIII-52 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- Whether the release of hazardous substances poses no significant threat to the
public health, welfare or the environment, thereby eliminating the need for
remedial action.
The partial deletion action should be used only when the deletion does not address all
releases listed on the NPL. If a deletion does cover the remaining release listed on the
NPL, the action should be treated as a Final NPL Deletion (Action Name = Deletion from
NPL), discussed below.
Definition of Accomplishment:
The partial NPL deletion process begins when a Notice of Intent to Partially Delete
(Action Name = Notice of Intent to Partially Delete) is published in the Federal Register
for the specified portion of a site on the NPL. Notice of Intent to Partially Delete is
completed (Actual Complete) the day the Federal Register is published. If the Direct
Final Process for Partial Deletions is used, the process begins when the Direct Final
Action Notice is published in the Federal Register (Action Name = Notice of Intent to
Partially Delete).
The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete
(Actual Complete) when the Notice of Partial Deletion is published in the Federal
Register for the specified portion of a site on the NPL. If the Direct Final Process for
Partial Deletions is used and the comment period has ended with no adverse comments,
the actual completion (Actual Complete) is the effective date of deletion specified in the
Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or
the Partial NPL Deletion actions. HQ will enter the Actual Complete dates for the Partial
NPL Deletion Action and the Notice of Intent to Partially Delete Action into CERCLIS
upon publication of the notices in the Federal Register.
HQ will enter the Partial Deletion and the Notice of Intent to Partially Delete from the
NPL actions and the completion dates into CERCLIS.
For more detailed information, see Close Out Procedures for National Priorities List
Sites (OSWER 9320.2-22, May 2011).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions (Action Name =
Deletion from NPL). Partial site deletions will be entered by HQ if a portion, or portions,
of the release remain listed on the NPL following completion of the partial deletion.
Partial deletions will only be coded at specific Operable Units (OUs) when a single OU is
subject to the partial deletion and the particular OU is specified in the Notice of Intent to
Partially Delete in the Federal Register. Partial deletion actions that address multiple
FY12SPIM VIII-53 March 20,2012
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OSWER Directive 9200.3-14-1G-W
OUs or areas that do not directly correspond to a specific OU will be coded at OUOO
(sitewide).
A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion
activity addresses all remaining releases listed on the NPL (either as a one-time deletion
action for the entire site as originally listed, or as the last deletion activity associated with
a site subject to previous partial deletions). This is an internal program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
x. Federal Facility Final NPL Deletion
Definition:
With state concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
Whether responsible federal agencies or other parties have implemented all
appropriate and required response actions;
Whether all appropriate Fund financed responses under CERCLA have been
implemented and EPA has determined that no further cleanup by responsible
parties is appropriate; or
- Whether the release of hazardous substances poses no significant threat to the
public health, welfare or the environment, thereby eliminating the need for
remedial action.
EPA will consider deleting the entire site or portions of sites from NPL, as appropriate.
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portions may be a defined geological unit of
the site, or may be a specific medium at the site. If a decision does cover the remaining
release listed on the NPL, the action should be treated as a Final NPL Deletion, state
concurrence is required for any deletion.
Definition of Accomplishment:
The deletion process for the entire site begins when a Notice of Intent to Delete (Action
Name = Notice of Intent to Delete) is published in the Federal Register. If the Direct
Final Process for Deletions is used, the process begins when the Direct Final Action
Notice is published in the Federal Register (Action Name = Notice of Intent to Delete).
The deletion process for the entire site (Action Name = Deletion from the NPL) is
complete (Actual Complete) when the Notice of Deletion is published in the Federal
Register. If the Direct Final Process for Deletions is used and the comment period has
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ended with no adverse comments, the actual completion (Actual Complete) is the
effective date of deletion specified in the Direct Final Action Notice.
Start dates are not required for either the Notice of Intent to Delete (NOID) or the
Deletion from the NPL actions. The completion of the NOID action signifies the start of
the deletion action.
HQ will enter the Actual Complete dates for the Deletion from the NPL Action and the
Notice of Intent to Delete Action into CERCLIS 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).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The Action, Final Deletion from the NPL, will be used whether deletion is accomplished
through the Notice of Deletion or the Direct Final Action Notice. When the Notice of
Deletion is published or the date of deletion is effective, HQ will change the NPL Status
in CERCLIS to "Deleted from Final NPL." This is an internal program target and
measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
y. Federal Facility Five-Year Reviews
Definition:
A Five Year Review is a review of remedial action(s) selected under CERCLA section
121(c). The purpose of the Five Year Review is to determine whether the remedy at a site
is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. Where remedial actions are still
under construction, a Five Year Review determines whether immediate threats have been
addressed and whether EPA continues to expect the remedy to be protective when all
remedial actions are complete. EPA conducts statutory reviews of any site at which a
post-SARA remedy, upon attainment of cleanup levels specified in the ROD, will not
allow for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites
where remedial actions will attain cleanup levels that, upon completion will allow for
unlimited use and unrestricted exposure but will take longer than five years to complete,
at sites with pre-SARA remedies at which cleanup levels do not allow for unlimited use
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and unrestricted exposure, and at NPL removal only sites where cleanup levels do not
allow unlimited use and unrestricted exposure.
In July 2009, the EPA Office of Inspector General (OIG) investigated Federal Facility
five-year reviews. The purpose of the review was to determine how issues and
recommendations are tracked and implemented; determine whether unimplemented
issues and recommendations affect compliance; and what affect do unimplemented issues
and recommendations have on the protectiveness of the remedy. In June 2010, the OIG
issued its final report with eight recommendations. The OIG recommended that EPA
implement improved management controls to monitor the completion of the
recommendations; ensure that reviews are submitted every five years, improve the
monitoring of non-concurrence, clarify and describe enforcement tools, and improve data
quality. OSWER/Office of Enforcement and Compliance Assurance (OECA) responded
and agreed with every recommendation. OSWER/OECA will issue a joint policy
memorandum to the regions that will implement the recommendations in the OIG report.
Also, we will incorporate more discussion about five-year reviews during the mid-year
and end-of- the-year work planning meetings.
Definition of Accomplishment:
Federal Facility Five-Year Review Starts - Credit is given for a five-year review start
when EPA approves the five-year review work plan submitted by the other federal
agency, or when the Federal Facility actually starts the review or submits the draft
document for review, as outlined in the ROD or IA. The actual start date (Actual Start)
for the five-year review (Action Name = FF FYR) must be entered into CERCLIS. There
are multiple triggers for five-year reviews. Please reference policy to select the
appropriate method for calculating the five-year review date.
Federal Facility Five-Year Review Planned Completions - The FF FYR planned
completion date and the report due (SubAction Name = FYR Report Due) date are
system generated based on the Five-year review type entered at the time of ROD
completion.
Statutory: The FF FYR and FYR Report Due planned completion date fields are
populated for five years after the Federal Facility RA action planned start date. Both the
FF FYR planned completion date and the FYR Report Due planned completion date will
be updated by the system based on changes to the planned or actual start dates for
triggering FF RA action. The FF FYR planned completion date will be editable. The FYR
Report Due planned completion date will be greyed out and uneditable and will be locked
once the actual start date for the FF RA is entered.
Policy: The FF FYR and FYR Report Due planned completion dates are populated for
five years after the PCOR or FCOR planned completion date. Both the FF FYR planned
completion date and the FYR Report Due planned completion date will be updated by the
system based on changes to the planned or actual completion dates for the triggering
PCOR or FCOR. The FF FYR planned completion date will be editable. The FYR Report
Due planned completion date will be greyed out and un-editable and will be locked once
the actual completion date of the PCOR or FCOR is entered.
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In order to address recommendations from the OIG evaluation of Federal Facility FYRs,
OSWER has made a CERCLIS change to generate all future planned completion dates
for FYRs based on the planned completion of the FY2011-FY2015 reports. This will
allow FFRRO to monitor the implementation of recommendations made for sites and
installations; ensure that reviews are submitted every five years; improve the monitoring
of non-concurrence; and improve data quality. This change will also keep late five-year
review reports from being rewarded and early reports (after the initial period) from
affecting the future due dates.
Federal Facility Five-Year Review Actual Completions - The five-year review is
complete on the date the designated regional official either signs the five-year review
report stating whether the remedy is, or is not, protective of human health and the
environment, or has concurred on the five year review report, or has made their own
protectiveness determination. The actual completion date (Actual Complete) for the five-
year review (Action Name = FF FYR) must be entered into CERCLIS. Situations do
occur where multiple NPL sites are covered under a single five-year review report. In
these situations the date of the report will be used to signify the completion of the five-
year review for each of the NPL sites.
Five-Year Review Addendum SubAction, Planned Completion Date - The five-year
review addendum (SubAction name = FYR Addendum) planned completion date is
system generated based on the date entered into the five-year review protectiveness
determination tab in the "Planned Date of Addendum" text box for sites that have a
"Protectiveness Deferred" OU-specific or sitewide determination. The five-year review
addendum planned completion date will be editable.
Five-Year Review Addendum SubAction, Actual Completion Date - The five-year review
addendum is complete on the date the designated regional official signs the five-year
review addendum stating a new protectiveness determination of all remedies that have
deferred protectiveness determinations. The actual completion date (actual completion)
for the five-year review addendum SubAction must be entered into CERCLIS.
Changes in Definition:
None.
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 (Action Name = FF
FYR) in CERCLIS. The trigger for a statutory five-year review is the actual start date of
the FF RA Start.
The following information is captured in the CERCLIS Five Year Review module:
A Five Year Review addendum SubAction for completed reviews with
protectiveness deferred statements;
- The ability to update a trigger on a planned Five Year Review;
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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 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.
In order to receive credit for a Federal Facility Five Year Review completion the region
must enter the following data into CERCLIS through the SCAP screens:
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
- site-wide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR addendum SubAction completion, the user must
enter the following information:
The new protectiveness determination for those OUs that were deferred;
Protectiveness statement as it appears in the 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 SubAction.
All Sites must have the following information:
- If future Five Year Reviews are not necessary at the site, indicate that this is the
final Five Year Review at the site by selecting the "no" radio button under the
heading asking whether future FYRs are necessary. If future FYRs are necessary,
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select the "yes" radio button and a future Five year Review action will be
generated on the project schedule.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
VIII.B.4 Community Involvement Definitions
The following section contains Community Involvement requirements for Federal
Facilities. Community Involvement requirements for non-Federal Facility sites are included in
Chapter X.
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)
Definition:
Site-Specific Advisory Boards (SSABs) are a forum for concerned stakeholders to
provide advice and recommendations on DOE's Environmental Management strategic
decisions. Restoration Advisory Boards (RABs) provide a forum through which members
of nearby communities can provide input to DoD's environmental restoration program.
RABs and SSABs complement other community involvement activities, such as public
meetings, mailings, and local information repositories.
Definition of Accomplishment:
RAB/SSAB Start (Established) Date: The actual start date of the RAB/SSAB is defined as
the actual start date (Actual Start) of the initial RAB/SSAB information meeting
(SubAction Name = Site-Specific Advisory Board Meeting or SubAction Name =
Restoration Advisory Board Meeting).
RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the
Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date
the RAB is adjourned by DoD (SubAction Name = Restoration Advisory Board).
SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of
the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is
the date the SSAB is terminated by the Secretary of Energy (SubAction Name = Site-
Specific Advisory Board).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is an internal program measure..
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Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
b. Technical Assistance Grants (TAGs)
Definition:
SARA established the TAG program to provide technical assistance to eligible
communities. This technical assistance allows communities to improve the decision
making process at their sites.
Definition of Accomplishment:
The start of the TAG (Action Name = Technical Assistance Grant) is the date the award
document is signed by the regional award official. For Superfund programmatic
purposes, the completion of the TAG is the ending date of the budget and project period
as documented in the award document; as documented in the one year extension
document; as documented in a time period extension document; or as documented in
other documents, such as a memo to the file prepared by the TAG coordinator to
document these decisions. The planned or actual completion date in CERCLIS
(whichever is applicable) must be changed to reflect the date of the most recent source
document, e.g., award document, one-year extension document, memo to the file, etc.
These definitions may be applied to all historical CERCLIS data, including data prior to
FY 89, which is the first fiscal year TAG appeared in the SPEVI. In addition, the TAG
completion definitions from previous years may also be used for TAGs completed within
those years.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
TAG is an internal program measure. Planned start and completion dates are required in
CERCLIS. Funds may be planned site-or non-site specifically; however, they must be
obligated site specifically. Funds for TAGs at Federal Facility sites are contained in the
Federal Facility budget and found in the Federal Facility Site Allowance.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
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VIII.B.5 Cross Program Revitalization Measures (CPRM)
a. Sitewide Ready for Anticipated Use
Definition:
The Sitewide RAU measure reports sites documented as ready for anticipated use where,
for the entire construction complete final or deleted NPL site:
All cleanup goals in the Record(s) of Decision or other remedy decision
document(s) have been achieved for media that may affect current and reasonably
anticipated future land uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the Record(s) of Decision or other
remedy decision document(s) have been put in place.
For more information about this measure, please refer to Guidance for Documenting and
Reporting the Superfund Sitewide Ready-for-Reuse Performance Measure (OSWER
9365.0-36) and Guidm^^
(OSWER 9200.1-74).
Definition of Accomplishment:
A site meets SWRAU when a hard copy checklist has been completed, signed by a
regional approving official, submitted to HQ, the entire site meets the criteria established
in the guidance, and HQ has approved the action in CERCLIS. All acres that are part of
the Superfund site universe must be documented as RAU within CERCLIS prior to the
region's submission of a property reuse evaluation checklist. The SWRAU date entered
into CERCLIS should be the signature date on the Checklist of the regional reviewing
official.
This measure is based on current site conditions. Therefore, instances do occasionally
occur when a site, which is already SWRAU, will no longer meet 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
CERCLIS. HQ will then approve this action in CERCLIS.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a key program target and measure; the program reports accomplishments to
external parties. The Sitewide RAU measure is for construction complete Superfund final
and deleted NPL sites only. Regions will submit completed Checklists for the Sitewide
RAU measure to HQ for approval before the reported site may be counted to meet the
GPRA target for this measure. The Sitewide RAU completion date that is entered into
CERCLIS should be the exact date that the regional approving official signs the hard-
copy Sitewide RAU Checklist form. Regions began reporting Sitewide Ready for Reuse
sites in FY 2006. In FY 2007, the name of the measure was changed to Sitewide Ready
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for Anticipated Reuse. This is a GPRA annual performance goal. EPA will continue to
track the Sitewide RAU measure as a discrete measure with targets.
The determination that a site is Sitewide RAU is based on the information available at the
time the determination is made. That determination may revert if site conditions change,
or if new or additional information is discovered regarding the contamination at the site.
The site can be re-designated as Sitewide RAU only when the requirements are met. If, at
the time of determination or at any other time, EPA becomes aware of other
environmental problems that pose unacceptable risk relevant to site use or reuse,
including risks addressed under other cleanup or public health authorities, the site should
not be reported under this measure.
A site's CPRM data will only be counted in Superfund totals if the site has the Special
Initiative flag of'CU (CPRM Universe) associated to it at the site level. This flag places
the site in the Superfund "universe," therefore ensuring that its CPRM data are being
captured.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
b. Protective for People Under Current Conditions (PFP)
Definition:
This new measure is based on the existing Human Exposures Under Control
Environmental Indicator and reports sites and land area, as measured in acres, which are
protective for people under current conditions.
The Protective for People Under Current Conditions (PFP) performance measure reports
the number of sites and acres at which there is no complete pathway for human exposures
to unacceptable levels of contamination, based on current site conditions. Reporting on a
particular site for this measure should be based on an understanding of current conditions,
presence and toxicity of contamination, routes of contaminant migration (e.g., vapor
intrusion), and routes of exposures to humans (e.g., dermal, inhalation, ingestion).
Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are
below health-based levels for current land use conditions. "Under control" means that
adequately protective controls are in place to prevent any unacceptable human exposure
under current land use conditions. Achieving the PFP measure does not involve
consideration of future use conditions or ecological receptors. The PFP measure can be
achieved through temporary solutions based on current conditions and associated
exposures at a given point in time, and does not necessarily require that all cleanup goals
be met at a site or OU or property transfer parcel.
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For the purposes of this measure, the entire site or individual OUs at a site can be counted
so long as the criteria are met for those areas. At property transfer sites (e.g., BRAC
facilities), EPA may evaluate property transfer parcels, instead of OUs, within a property
transfer document, such as a FOSL and FOSET. Such parcels should meet PFP, as often
the FOSL and FOSET address immediate, not necessarily long-term, property use. The
term "property transfer parcel" is equivalent to the term "OU" when capturing acres for
the PFP measure.
For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator, which currently apply to NPL sites only. The current
Environmental Indicators Guidance is included in Chapter VII. The three designations in
the existing Human Exposures Under Control Environmental Indicator that ensure acres
meet PFP include:
Current Human Exposure Under Control;
Current Human Exposure Controlled and Protective Remedy in Place; or
Long-Term Human Health Protection Achieved.
Note that an OU, parcel, or entire site may meet PFP if the ground water is contaminated
yet no human exposure pathways exist, and the soil above the plume has been
investigated to ensure it meets PFP, or is safe for human exposure. It should also be noted
that a site may have several OUs or parcels with different designations, some of which
have met PFP criteria, some of which have also met RAU criteria, and some of which do
not meet either performance measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
Definition of Accomplishment:
Acres can be claimed as Protective for People Under Current Conditions when all
identified human exposure pathways from contamination at the site or individual
OUs/parcels are under control or possible exposures are below health-based levels for
current land use conditions.
The Protective for People designation is achieved when one of the following occurs:
1. PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Evaluation Checklist).
2. FOSET: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the early transfer document(s) (Action Name =
FOSET).
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3. FOSL: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the lease document(s) (Action Name = FOSL).
Change in Definition:
None.
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
c. Ready for Anticipated Use (RAU)
Definition:
RAU Performance Measure: The RAU performance measure captures the acreage within
sites or OUs that are PFP and meet the following two additional criteria:
- All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the Sitewide
RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure
will also count toward the RAU measure. In addition, the RAU measure described here
may also include individual OUs and a broader universe of sites (i.e., Superfund
Alternative (SA), NTCRA, certain non-NPL Federal Facilities, FUDS, etc.) than those
included in the Sitewide RAU measure.
For the purposes of this measure, property transfer parcels (e.g., parcels at some BRAC
facilities) will be evaluated instead of OUs at facilities where EPA has a documented role
in the property transfer. As such, the term "property transfer parcel" is equivalent to the
term "OU" when capturing acres for the RAU measure. The determination that an OU
achieves the RAU measure can occur at any particular point in time and the 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
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not be reported under the RAU measure. Documentation that OUs achieve the RAU
measure should be changed accordingly if, or when, information becomes available that
would bring into question whether the OUs continue to meet the RAU definition. Those
specific acres associated with the OU in question should only be re-recorded as meeting
the RAU measure if and when acres once again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in CERCLIS and routinely reported for
management and communication purposes.
For more information about this measure, please refer to the "Guidance for Documenting
and Reporting Performance in Achieving Land Revitalization: The Office of Superfund
Remediation and Technology Innovation (OSRTI) and Federal Facilities Restoration and
Reuse Office (FFRRO)" (http://www.epa.gov/fedfac/sf ff final cprm guidance.pdf).
Definition of Accomplishment:
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria: 1) all cleanup goals have been achieved for
media that may affect current and reasonably anticipated future land uses (or decision
documents confirm uncontaminated acres) for the site or OU such that there is no
unacceptable risk, and 2) all institutional or other controls identified as part of the
response action to help ensure long-term protection have been put in place.
The Total RAU designation at a site or OU is achieved when one of the following occurs:
- PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and
saves the data on the Checklist form, or the date a user revises a completed form
(Action Name = PRP/RAU Checklist).
FOST: The date (Actual Completion Date) the appropriate regional official signs
a letter, form, or memo stating that EPA has completed its review and provided
comments or concurrence on the transfer document(s) (Action Name = FOST).
User must also attest that ICs are in place via the FOST screen in CERCLIS.
Change in Definition:
None.
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
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VIILB.6 Cleanup Privatization at BRAC NPL Sites
Definition:
At Department of Defense (DoD) Base Realignment and Closure (BRAC) sites, EPA
recognizes that the privatization of the cleanup, where a developer or other organization
rather than the military conducts the cleanup using funds provided by DoD, can present
an opportunity to integrate redevelopment planning with cleanup. Such privatized
cleanups provides another option to federal and state agencies and local communities to
help maximize the impact of cleanup and redevelopment resources to help move
properties back into productive reuse more quickly.
Privatization is an early transfer of property. In order to conduct an early transfer of
property, DoD must request a deferral of the covenant required by CERCLA section
120(h)(3)(A)(ii)(I) ensuring that all remedial action necessary has been completed prior
to transfer by the federal government. For NPL installation, EPA and the Governor of the
state must approve such requests.
Regions should follow "EPA Guidance on the Transfer of Federal Property by Deed
Before All Necessary Remedial Action Has Been Taken Pursuant to CERCLA section
(120(h)(3) (Early Transfer Guidance)" when reviewing covenant deferral requests from
other federal agencies. Where institutional controls are or will be required as part of the
early transfer, regions should also consult the "Institutional Controls and Transfer of Real
Property under CERCLA section 120(h)(3)(A), (B) or (C) Guidance." DoD often
transmits the information used by EPA to review and approve an early transfer through a
Finding of Suitability for Early Transfer (FOSET). EPA's guidance discusses the
requirements found in CERCLA 120(h)(3)(C) and how they are related to EPA approval
of the FOSET and deferral of the covenant.
Definition of Accomplishment:
- Action Memo - EPA signs action memo. (SubAction Name = Approval of Action
Memo(Actual Complete), Action Lead = EP)
- FF Removal Start (Private Party Lead) - Private Party and their contractor
mobilize at the site to perform the removal action as documented in a Pollution
Report (Action Name = FF Removal (Actual Start), Action Lead = PP, Critical
Indicator = TC or NTC).
- FF Removal Complete (Private Party Lead) - Private Party and their contractor
have completed actions specified in the action memo and have demobilized from
the site as documented in the final Pollution Report.. (Action Name = FF
Removal (Actual Complete), Action Lead = PP, Action Qualifier = Cleaned Up or
Stabilized).
- EE/CA Start (PP Lead) - EPA approves EE/CA Approval Memo. (Action Name =
Engineering Evaluation/cost Analysis (Actual Start), Action Lead = PP)
- EE/CA Complete (Private Party Lead) - EPA approves EE/CA Action Memo.
(Action Name = Engineering Evaluation/Cost Analysis, (Actual Complete),
Action Lead = PP)
March 20, 2012 VIII-66 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- FF RI Start or RI/FS Start (Private Party Lead) - Receipt of draft work plan for
RI or RI/FS from the private party. (Action Name = FF RI or FF RI/FS (Actual
Start), Action Lead = PP)
- FF RI/FS Complete (Private Party Lead) - Use date of ROD (Action Name = FF
RI or FF RI/FS (Actual Complete), Action Lead = PP)
- Public Comment Period Start (EPA Lead) - Letter transmitting RI/FS reports and
the proposed plan to the site repository for public review, signed by the
appropriate regional official; OR first page of the approved proposed plan is
included in the site file. (Action Name = Public Comment Period (Start Date),
Action Lead = EP)
- Record of Decision (EPA Lead) - EPA approves in writing the ROD. (Action
Name = Record of Decision (Actual Complete), Action Lead = EP). Enter the
same date in the Actual Complete of the FF RI/FS or FF FS.
- FF RD Start (Private Party Lead) - Receipt of draft work plan for RD from the
private party. (Action Name = FF RD (Actual Start), Action Lead = PP)
- FF RD Complete (Private Party Lead) - EPA approves RD Report. (Action Name
= FF RD (Actual Complete), Action Lead: PP)
- FF RA Start (Private Party Lead) - Receipt of draft work plan for RA from the
PP. (Action Name = FF RA (Actual Start), Action Lead = PP)
- FF RA Complete (Private Party Lead) - EPA approves the Interim or Final RA
Report. (Action Name = FF RA (Actual Complete), Action Lead = PP, Action
Qualifier = Interim RA Report or Final RA Report)
Changes in Definition:
None.
Special Planning and Reporting Requirements
None.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of FYQ4.)
FY12SPIM VIII-67 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Chapter IX: Enforcement
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
CHAPTER IX: Enforcement
Table of Contents
IX.A FY12 Enforcement IX-1
IX.A.l Promoting the Superfund Enforcement Program IX-1
IX.A.2 Current GPRA Measures for Enforcement IX-2
a. Volume of Contaminated Media Addressed (VCMA) IX-2
b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy IX-3
c. Pre-Remedial Enforcement Action at Superfund Sites IX-5
IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative
Approach Sites IX-8
a. Potentially Responsible Party (PRP) Search Starts IX-9
b. Preliminary PRP Search Completions IX-9
c. PRP Search Completions IX-12
d. Section 104(e) Referrals and Orders Issued IX-13
e. Submittal ofPre-Referral Negotiation (PRN) Package to DOJfor RD/RA
Negotiations IX-14
f. Issuance of General Notice Letters (GNLs) IX-14
g. Issuance of Special Notice Letters (SNLs) IX-15
h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS)
Negotiation Starts IX-16
i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &
Superfund Alternative) IX-16
j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund
Alternative) IX-18
k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and
Other) (NPL & Superfund Alternative) IX-20
I. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility
NPL and Superfund Alternative Sites IX-22
m. Total Response Commitments (Including Dollar Value) IX-23
n. Total Active Response Enforcement Instruments in SNC and Not Addressed
through Formal Enforcement IX-25
o. Total Amount of Response Commitments Secured through Financial Assurance
IX-29
p. De Minimis Settlements and Number of Parties IX-30
q. Cashout Settlements IX-32
r. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy).. IX-
33
s. Issuance of Demand Letter IX-34
t. Total Cost Recovery Settlements (Including Dollar Value) IX-34
u. Number and Amount of CERCLA Penalties Assessed IX-36
v. Number of Settlements Where EPA Settled Based on Ability-to-pay IX-3 7
w. Bona Fide Prospective Purchaser Agreements IX-38
x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements
(PLAs) IX-39
y. Issuance of Comfort/Status Letters IX-40
FY12SPIM IX-i March 20,2012
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OSWER Directive 9200.3-14-1G-W
z. Contiguous Property Owners (CPOs) IX-41
aa. Windfall Lien Resolution -Finalized. IX-42
bb. Orphan Share -EPA Offer and Compensation IX-43
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties IX-45
dd. PRP Oversight Administration IX-47
ee. Settlements Designating Funds for Deposit to Special Accounts IX-48
ff. Deposits into Special Accounts IX-49
gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
IX-50
hh. Disbursements from Special Accounts for Response Actions IX- 51
ii. Reclassification of Special Account Funds IX-53
jj. Closure of Special Accounts IX-53
kk. Management of Special Accounts IX-54
IX.A.4 Institutional Controls and Site Revitalization IX-57
a. Institutional Controls IX-57
b. Site Revitalization IX-57
List of Exhibits
Exhibit IX.1. Enforcement Program Performance Measures IX-7
Exhibit IX.2. Summary of CERCLIS Compliance Status Values IX-26
Exhibit IX.3. Measure Results Calculations IX-27
March 20, 2012 IX-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER IX: ENFORCEMENT
IX.A FY12 ENFORCEMENT
IX.A.1 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 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. EPA will continue to seek to maximize PRP participation at Superfund
sites including National Priorities List (NPL) and Superfund Alternative sites. As a
result of the enforcement first strategy, PRPs have undertaken the majority of new
cleanup actions over the past years, leveraging Fund resources to maximize total
cleanups.
• Addressing Past Costs > $200,000: Each year, address all unaddressed costs for
Statute of Limitations cases for sites with total past costs equal to or greater than
$200,000 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.
FY12SPIM IX-1 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
• Providing for Responsible Fiscal Management: EPA will place a high priority on
sound fiscal management by managing and collecting Superfund accounts receivable.
To accomplish this, program focus will be on:
Maximizing site-specific charging (intramural and extramural);
Maintaining prompt, current and accurate oversight billing;
Maximizing collections of monies due the Trust Fund; and
- Resolving outstanding collection disputes.
• Ensuring Compliance with Orders/Settlements: EPA will continue to monitor
compliance of PRP performance and payment obligations under administrative
orders, consent decrees, and judgments; ensure compliance; and address substantial
noncompliance in a timely manner.
• Using Special Accounts for Site Cleanup: EPA will continue to emphasize the use of
special accounts for site cleanup. This includes finalizing settlements that provide for
deposits to and disbursements from special accounts, approving actual deposits and
disbursements, reclassifying special account funds, where appropriate, and closing
out such accounts in a timely manner, thus freeing up such funds for future use at
other sites, through the general appropriation process.
• 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.
IX.A.2 Current GPRA Measures for Enforcement
a. Volume of Contaminated Media Addressed (VCMA)
The fiscal year (FY) 2011 - FY 2015 EPA Strategic Plan shifts the Superfund
Enforcement Program from Goal 3: Cleaning up Communities to Goal 5: Enforcing
Environmental Laws (the Strategic plan can be found at:
Mlix/Tg^^ Within Goal 5, Superfund Enforcement
is under Objective 5.1 which states: Pursue vigorous civil and criminal enforcement that
targets the most serious water, air, and chemical hazards in communities. Assure strong,
consistent, and effective enforcement of federal environmental laws nationwide.
As part of the Goal 5 sub objective, Support Cleaning up Our Communities, the Office of
Enforcement and Compliance Assurance (OECA) has added the following new GPRA
measure which primarily affects the Superfund Enforcement and Resource Conservation
and Recovery Act (RCRA) Corrective Action programs:
By 2015, obtain commitments to clean up 1.5 billion cubic yards of contaminated soil
and groundwater media as a result of concluded Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) and RCRA corrective action
enforcement actions.
March 20, 2012 IX-2 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
OECA has reported the Volume of Contaminated Media Addressed for contaminated
groundwater and for contaminated soil in its Annual Results since FY 2004. The new
measure combines the two measures at the GPRA level.
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 consent decree) using data available from the remedial
investigation, feasibility study, 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 new OECA GPRA measure is a national measure with a target of 300 million cubic
yards per year. 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."
b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy
Definition:
Past Costs Addressed>$200,000 is the decision either to take cost recovery action by use
of administrative cost recovery settlement, to transmit a Section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a 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.
This measure covers cases where EPA has incurred Superfund costs > $200,000. 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 FY.
Definition of Accomplishment:
FY12SPIM IX-3 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites.
Administrative Settlements - Credit is given on the date the regional office or DOJ
receives payment from the PRPs in direct response to a demand letter for voluntary cost
recovery, or the date the Regional Administrator or delegate signs the Administrative
Order on Consent (AOC) or Consent Agreement (CA) that recovers 100 percent of the
Trust Fund expenditures or settles a claim where the total response costs are less than
$500,000. The accomplishment of the administrative settlement is recorded in
Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) as the actual completion date (Actual Complete) of the
administrative/voluntary cost recovery (Action Name = Admin/Voluntary Cost
Recovery), AOC (Action Name = Admin Order on Consent), or CA (Action Name =
Consent Agreement). If the settlement is compromised and total response costs are more
than $500,000, the AOC must be sent to DOJ for approval prior to signature by the
Regional Administrator or delegate.
Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional
Administrator's memo transmitting the referral to DOJ or Headquarters (HQ) (Action
Name = Litigation (Generic), Section 107 Litigation, or Section 106/107 Litigation) as
recorded in CERCLIS as the actual start date (Actual Start).
This includes Consent Decree (CD) settlements (Action Name = Consent Decree) for
RD/RA with a cost recovery component or CD settlements for cost recovery only that
were not the result of a prior litigation referral. Credit is given for these CD settlements
on the date of the Regional Administrator's memo transmitting the settlement to DOJ or
HQ and recorded in CERCLIS as the actual start date (Actual Start).
CD settlements that are for cost recovery only and result from a previous litigation
referral do not count towards this target. The start date (Actual Start) for these actions is
not reported in CERCLIS. Only the lodged (SubAction Name = Lodged by DOJ) and
entered (SubAction Name = Entered by Court) SubActions, the SubAction actual
completion date (Actual Complete), and the actual completion date (Actual Complete) of
the CD are recorded. The actual completion date of the CD is the date it is entered by the
court.
Decision Documents not to Pursue Cost Recovery - Credit is given when the decision
document (Action Name = Cost Recovery Decsn Docmt - No Sue) is signed by the
regional office and recorded in CERCLIS as the actual completion date (Actual
Complete). The decision not to pursue cost recovery also may be documented in an
enforcement instrument 10-point settlement analysis. For both the Cost Recovery
Decision Document Not to Sue and the 10-point analysis, the past costs that will not be
recovered (Past Costs Written Off) and the reason the costs were written off should be
reported in CERCLIS.
Bankruptcy Filing - Credit is given based on the date the Claim in Bankruptcy
Proceedings is transmitted to DOJ (Action Name = Claim in Bankruptcy Proceedings).
March 20, 2012 IX-4 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
This date is reporting in CERCLIS as the actual start date (Actual Start). For each Claim
in Bankruptcy, the "Federal Costs Sought - Past" must be entered into CERCLIS.
Changes in Definition:
Credit for past costs addressed via a Claim in Bankruptcy Proceedings was previously
given based on the date the bankruptcy strategy package was prepared or on the date of
the first creditor committee meeting. These dates are reported in CERCLIS as
Sub Actions to the Claim in Bankruptcy Proceedings Action. Beginning in FY 2010, only
the Claim in Bankruptcy Proceedings Action actual start date is required to receive credit
for addressing past costs via a claim in bankruptcy.
Special Planning/Reporting Requirements:
All dates must be entered into CERCLIS. Credit for referrals is based on the referral
package, not on the number of sites. Credit will be withdrawn if a case is returned to the
region by DOJ or HQ for additional work but will be reinstated upon re-referral. For each
settlement, the region must enter "Federal Costs Settled - Past" into CERCLIS. For each
judicial referral, regions must enter "Federal Costs Sought - Past." For each decision not
to pursue cost recovery, the "Past Costs Written Off must be entered. Regions must take
credit for addressing past costs via a Claim in Bankruptcy 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. Accomplishments are reported on a site-specific
basis. Any changes to the target require prior approval by the Office of Site Remediation
and Enforcement (OSRE). This is a GPRA annual performance goal.
c. Pre-Remedial Enforcement Action at Superfund Sites
Definition:
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 "Enforcement First".
Definition of Accomplishment:
This measure counts non-Federal Facility NPL and PRP-financed Superfund Alternative
sites with:
PRP-fmanced RA starts (in the FY) as defined in Chapter VII, titled Remedial
Program.
Fund-financed RA starts (in the FY) with prior enforcement actions at the site:
These are Fund- financed RA starts as defined in Chapter VII, titled Remedial
Program, with enforcement actions at the site where the following dates of these
actions are prior to the start date of the Fund-financed RA:
FY12SPIM IX-5 March 20,2012
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OSWER Directive 9200.3-14-1G-W
* Date (Actual Complete) the AOC, CA or UAO (Action Name = Admin
Order on Consent, Consent Agreement, or Unilateral Admin Order) is
signed by the Regional Administrator or delegate. This does not include
orders that are for access or information only.
* Date (Actual Start) the CD settlement (Action Name = Consent Decree) is
referred by the Regional Administrator or delegate to either DOJ or HQ.
* Date (Actual Complete) the CD for cost recovery only resulting from a
previous litigation referral is entered by the court. If the actual completion
date for the lodging (SubAction Name = Lodged by DOJ) exists, that date
will be used instead of the entered date.
* Date (Actual Complete) the regional office or DOJ receives payment from
the PRPs in direct response to a demand letter for voluntary cost recovery
(Action Name = Admin/Voluntary Cost Recovery).
* Date (Actual Start) of the litigation referral (Action Name = Section
106/107 Litigation, Litigation (Generic), Section 106 Litigation, or
Section 107 Litigation).
3. Fund-financed RA starts (in the FY) with PRPs—at the site, but no enforcement
actions prior to the RA start: These are Fund-financed RA starts as defined in
Chapter VII, 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).
Calculation of Accomplishment:
The accomplishment is the percentage resulting from the division of the numerator by the
denominator as follows:
Numerator = The number of PRP-financed RA starts (in the F Y) + the number of
Fund-financed RA starts (in the FY) with enforcement actions prior to the RA
start.
Denominator = The number of PRP-financed RA starts (in the FY) + Fund-
financed RA starts (in the FY) with prior enforcement actions at the site + Fund-
financed RA starts (in the FY) with viable, liable PRPs, at the site, but no
enforcement actions prior to the RA start.
Changes in Definition from:
None.
Special Planning/Reporting Requirements:
This measure does not include Fund-financed RAs at sites without enforcement actions
prior to the RA start where PRPs have not been identified. This is a GPRA annual
performance goal.
March 20, 2012 IX-6 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
EXHIBIT IX.1. ENFORCEMENT PROGRAM PERFORMANCE MEASURES
ACTIVITY
Potentially Responsible Party (PRP) Search Starts
Preliminary PRP Search Completions
PRP Search Completions
Section 104(e) Referrals and Orders Issued
Submittal of Pre-Remedial Negotiation (PRN) package to DO J for
RD/RA Negotiations
Issuance of General Notice Letters (GNLs)
Issuance of Special Notice Letters (SNLs)
Expanded Site Inspection/Remedial Investigation/Feasibility Study
(ESI/RI/FS) Negotiation Starts
Remedial Design/Remedial Action (RD/RA) Negotiation Starts
(NPL & Superfund Alternative)
Completion or Termination of Negotiations for RD/RA (NPL &
Superfund Alternative)
Completion or Termination of Negotiations for Cleanup (RD/RA,
Removals, and Other) (NPL & Superfund Alternative)
Percentage of Remedial Action Starts Initiated by PRPs at non-
Federal Facility NPL & Superfund Alternative Sites
Total Response Commitments (Including Dollar Value)
Currently a Measure for Compliance Monitoring is Under
Development
Volume of Contaminated Media Addressed (VCMA) *
Total Amount (Dollar Value) of Response Commitments Secured
through Financial Assurance
De Minimis Settlements and Number of Parties
Cashout Settlements (Subset of Total Response Commitments)
Section 106, 106/107, 107 Case Resolution
Issuance of Demand Letter
Total Cost Recovery Settlements (Including Dollar Value)
Past Costs Addressed > $200,000 Via Settlements, Referrals, Filing
a Claim in Bankruptcy Proceedings, or where appropriate Write-
off
Total Value of PRP Oversight **
Number and Amount of CERCLA Penalties Assessed
Number of Settlements Where EPA Settled Based on Ability -to-
Pay Determinations
External Program
Reporting
Performance and
Accountability Report
(PAR)
Annual Commitment
System (ACS)
Strategic Plan
PAR
PAR
ACS
Strategic Plan
PAR
PAR
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
Measure
FY 12 SPIM
IX-7
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
• ' • ' ACTIVITY
Bona Fide Prospective Purchaser Agreements
Prospective Purchaser (PPAs) & Prospective Lessee (PLA)
Agreements
Contiguous Property Owners (CPOs)
Windfall Lien Resolution - Finalized
Issuance of Comfort/Status Letters
Orphan Share - EPA Offer and Compensation
Non Exempt De Micromis Parties Settlements and Number of
Parties
PRP Oversight Administration
Settlements Designating Funds for Deposit to Special Accounts
Deposits into Special Accounts
Settlements Designating Funds for Disbursement from Special
Accounts to PRPs
Disbursements from Special Accounts for Response Actions
Reclassification of Special Account Funds
Closure of Special Accounts
Management of Special Accounts
Pre-Remedial Enforcement Action at Superfund Sites
Institutional Controls
Site Revitalization
External Program
Reporting
ACS
Strategic Plan
PAR
Internal
Program
Reporting
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Measure
Target
Measure
Measure
IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative
Approach Sites
Note: CERCLIS coding requirements contained in the definitions below are only for key data
elements. For a full list of requirements and suggested data elements, see the Superfund
Comprehensive Accomplishments Plan (SCAP) Coding Guide for the current FY.
Credit for Enforcement Activities at Superfund Alternative Approach Sites
Credit is given for enforcement activities at sites with Superfund Alternative Approach
(SAA) agreements that meet the criteria in the 2004 Superfund Alternative guidance (i.e., the site
would score high enough for listing on the NPL, the site is anticipated to need long term
remedial action, there is a willing, cooperative, capable PRP who has signed an agreement with
EPA that contains the appropriate SAA provisions). Proposed NPL sites are included in this
category. Regions should maintain adequate site documentation to support the use of the SAA.
Credit for PRP-lead remedial actions at non-NPL sites will only be given for activities conducted
pursuant to an SAA agreement. Superfund Alternative Approach sites should be identified in
CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".
March 20, 2012
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
a. Potentially Responsible Party (PRP) Search Starts
Definition:
A PRP search identifies PRPs at the site and establishes PRP liability, capability, and
financial viability. At all sites, the PRP search activities should be initiated as soon as
possible after the region decides that a response (removal or remedial) action is likely to
be required at the site. For sites where remedial actions will be conducted, the PRP search
should be initiated in time to send an SNL (at least 90 days prior to the obligation of
funds for an Expanded Site Inspection/Remedial Investigation (ESI/RI), RI/FS or RA).
For sites where removal actions will be conducted, the PRP search should be initiated as
soon as the need for the removal has been identified in order to give a verbal notice of
potential liability or to issue a general notice letter.
Definition of Accomplishment:
If the PRP search is being conducted by a contractor, the actual start date (Actual Start) is
considered to be the date the PRP search work assignment or procurement request is
signed by the Contracting Officer (CO) or the designated Contracting Officer
Representative (COR). The start for the PRP search is documented by the signed
procurement request or work assignment. If the PRP search is conducted by EPA in-
house, the actual start date (Actual Start) is the date EPA staff develops the PRP search
plan, the date the On-Scene Coordinator (OSC) receives confirmation of a spill
identification number from the Regional Finance Office, or the date EPA initiates and
documents search activities by some other means.
Changes in Definition:
Potential Responsible Party (PRP) Search Starts will no longer be tracked based on NPL
and Non NPL site status.
PRP Search Starts are no longer tracked based on NPL and Non NPL site status.
Special Planning/Reporting Requirements:
PRP searches are planned and funds requested on a site-specific basis. PRP Search Starts
is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
b. Preliminary PRP Search Completions
Definition:
A Preliminary PRP Search Completion 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)
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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.
Definition of Accomplishment:
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.
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OSWER Directive 9200.3-14-1G-W
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
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.
Changes in Definition:
New measure in FY12.
Special Planning/Reporting Requirements:
If the region has satisfied the Preliminary PRP Search Completion requirement by
satisfying the tasks identified in Section 1, above, the region should document this
accomplishment in CERCLIS and in the site file. The documentation of the Preliminary
PRP Search Completion for the site file should include a summary of the PRP Search
tasks completed for each site. Such documentation can follow the format referenced in
the January 2011 PRP Search Reference Summary guidance document, or the region can
follow a format already established, as long as it documents the Preliminary PRP Search
Completion tasks performed and results (e.g., Removal Action Memorandum
Enforcement Addendum, RI/FS Enforcement Decision Document as outlined in the 2005
RI/FS Guidance, OSWER Directive 9355.2.21(August 9, 2005)). The date that the
documentation summarizing the PRP search tasks is created should be recorded as the
completion date of the Preliminary PRP Search Completion milestone in CERCLIS.
Regions may decide not to provide notice to certain liable and capable parties identified
under tasks IB, 1C, and IE, but should document the basis for such decisions to the site
file through such mechanisms as the Removal Action Memo Enforcement Addendum or
the RI/FS Enforcement Decision Document.
If the region has satisfied the Preliminary PRP Search Completion requirement by
performing the tasks identified in Section 2, above, the date of the enforcement
action/settlement to compel the initial non-emergency response action at the site should
be recorded in CERCLIS. That date should also be used as the completion date of the
Preliminary PRP Search Completion milestone in CERCLIS, while not required, regions
may also want to document the PRP search activities accomplished prior to meeting the
requirements in section 2 in the site file, through the use of the PRP Search
Documentation Summary or other regional mechanism.
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OSWER Directive 9200.3-14-1G-W
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day
following the end of the FYQ4.)
c. PRP Search Completions
Definition:
A PRP search completion constitutes the completion of the activities taken by the region
to identify PRPs at a site. In conducting the PRP search, the region must consider which
of the criteria outlined below are cost effective and reasonable to meet relative to the
anticipated overall cleanup costs at the site. Upon completion, regions should document
in the site file that they have met all reasonable achievable criteria. Criterion 1 is
mandatory for all PRP search completions. The PRP search should ideally be completed
prior to completion of cleanup negotiations; however, it is recognized that this may not
be achievable in all situations.
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.
Definition of Accomplishment:
The PRP search is complete when all applicable activities described in the Agency's PRP
Search Manual have been completed and documentation has been placed in the site file
that the region has met all reasonable achievable criteria for the PRP search, a PRP search
outcome report with a list of PRPs has been prepared and both the actual completion date
(Actual Complete) and the outcome (Qualifier) of the search have been entered into
CERCLIS. If no PRPs are found, the region must document in the site file that it has met
all reasonable achievable criteria for the PRP search and enter the actual completion date
(Actual Complete) and the Qualifier of 'No PRPs Identified (NP)' into CERCLIS. This
March 20, 2012 IX-12 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
definition applies to both Phase I (single owner, operator site) and Phase II (multi-
generator site) PRP searches.
Changes in Definition:
Potential Responsible Party (PRP) Search Completions will no longer be tracked based
on NPL and Non NPL site status.
Special Planning/Reporting Requirements:
PRP search completions are planned on a site-specific basis. The search outcome
(Qualifier) is to be entered into CERCLIS. The number of PRPs found may be system
generated by entering and associating PRPs with sites and selecting an Identification
Source of PRP Search. PRP search completion is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
d. Section 104(e) Referrals and Orders Issued
Definition:
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to
EPA requests for information or to obtain site access.
Definition of Accomplishment:
The date of the memo from the Regional Administrator transmitting the Section 104(e)
referral to HQ or DOJ is recorded in CERCLIS as the actual start date (Actual Start) of
the Section 104(e) referral (Action Name = Section 104(e) Ref Litigation). The date a
Section 104(e) Unilateral Administrative Order (UAO) or Administrative Order on
Consent (AOC) is signed by the Regional Administrator or delegate is recorded in
CERCLIS as the actual completion date (Actual Complete) of the UAO (Action Name =
Unilateral Admin Order) or AOC (Action Name = Admin Order on Consent).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The actual start date (Actual Start) of the referral (Action Name = Section 104(e) Ref.
Litigation) or the actual completion date (Actual Complete) of the order (Action Name =
Unilateral Admin Order or Admin Order on Consent) is entered into CERCLIS site-
specifically. The Law/Section reported in CERCLIS should be CERCLA 104(e)
(Law/Section = CERCLA 104(e)). This is a program measure.
Data Entry Timeliness Requirement:
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It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for KD/RA
Negotiations
Definition:
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.
Definition of Accomplishment:
This action is accomplished on the date PRN package (SubAction Name = Pre-
Negotiation Package) is submitted to DOJ and entered into CERCLIS as the actual
completion date (Actual Complete).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This measure was added in FY 10 as part of the implementation of the Interim Policy on
Remedial Design/Remedial Action Negotiations. Pre-Referral Negotiation Packages are
recorded as a SubAction to negotiation actions.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
f. Issuance of General Notice Letters (GNLs)
Definition:
Letter sent by EPA under section 122 of CERCLA informing recipients of their potential
liability for cleanup actions at the site. It is usually sent out during the PRP search or
during preparation for negotiations.
Definition of Accomplishment:
This action is accomplished on the date the GNL is signed by the appropriate EPA
official and entered into CERCLIS as the SubAction, Notice Letters Issued, with an
actual completion date (Actual Complete).
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OSWER Directive 9200.3-14-1G-W
Changes in Definition:
None.
Special Planning/Reporting Requirements:
General Notice Letters are recorded as a SubAction to PRP search or negotiation actions.
Issuance of GNLs is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
g. Issuance of Special Notice Letters (SNLs)
Definition:
An SNL is a letter under section 122(e) of CERCLA from EPA to a PRP informing it of
its potential liability and soliciting an offer to conduct the planned response action(s) at
the site. The SNL triggers a moratorium on certain EPA actions allowing the PRP to
consider EPA's invitation to negotiate. The moratorium period varies depending on the
response action (ESI/RI/FS, RD, or RA) and can be extended if necessary.
Definition of Accomplishment:
This action is accomplished on the date the SNL is signed by the appropriate EPA official
and entered into CERCLIS as a SubAction, Special Notice Issued, with an actual
completion date (Actual Complete). The date of issuance of the SNL also constitutes the
start of negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations,
Negotiations (Generic), or Removal Negotiations).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
SNLs are recorded as a SubAction to PRP search or negotiation actions. The actual
completion date of the SNL is the same as the actual start date (Actual Start) of the
applicable negotiation action. Issuance of SNLs is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
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OSWER Directive 9200.3-14-1G-W
h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS)
Negotiation Starts
Definition:
ESI/RI/FS negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the ESI/RI/FS.
Definition of Accomplishment:
ESI/RI/FS negotiations start when:
- The first SNL is signed by the appropriate EPA official. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RI/FS Negotiations) and the completion (Actual Complete) of the
SNL Sub Action (Sub Action Name = Special Notice Issued); or
- A Section 122(a) waiver of SNL is signed by the appropriate EPA official with
the intent to pursue negotiations without moratorium procedures. This date is
reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =
Negotiations (Generic) or RI/FS Negotiations) and the completion (Actual
Complete) of the SNL waiver Sub Action (Sub Action Name = Notice of S 122
Waiver Issued).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
If the region does not plan to perform ESI/RI/FS negotiations at a site, negotiation dates
should not be placed in CERCLIS. The start of ESI/RI/FS negotiations (Action Name =
Negotiations (Generic) or RI/FS Negotiations) should be planned site-specifically. The
"Response Actions Sought" are to be entered into CERCLIS. The "Response Actions
Sought" must include one or more of the following actions: PRP RI/FS, RI/FS, FS, PRP
FS, RI, PRP RI, or ESI/RI. The actual start of the negotiation action is the same as the
actual complete date (Actual Complete) of the SNL or waiver of SNL. ESI/RI/FS
negotiation start is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &
Superfund Alternative)
Definition:
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OSWER Directive 9200.3-14-1G-W
RD/RA negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to implement the long-term remedy selected in the Record of
Decision (ROD) for the site or Operable Unit (OU). Credit is given at NPL and
Superfund Alternative sites (NPL Status = Proposed for NPL, Currently on Final NPL, or
Deleted from Final NPL; or Special Initiatives Indicator = "Superfund Alternative" with
NPL Status = Not on the NPL, Removed from the Proposed NPL, Pre-Proposed Site, or
Withdrawn) that are not Federal Facility sites (Federal Facility Indicator = Not a Federal
Facility or Status Undetermined).
Definition of Accomplishment:
RD/RA negotiations start when:
- The first SNL is signed by the appropriate EPA official. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RD/RA Negotiations); or,
A Section 122(a) waiver of SNL is signed by the appropriate EPA official with
the intent to pursue negotiations without moratorium procedures. This date is
reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =
Negotiations (Generic) or RD/RA Negotiations).
Subsequent Negotiations - An interim settlement arises/order is issued for a
portion of the site work from an existing set of RD/RA negotiations and the
region does not plan to issue new special notice letter(s). The region shall
establish a new RD/RA negotiation event in CERCLIS with a start date the same
as the completion date of the first set of RD/RA negotiations from which the
interim settlement/order arose (i.e. Referral of Consent Decree for RD/RA,
Issuance of UAO for RD/RA). This date is reported in CERCLIS as the start
(Actual Start) of negotiations (Action Name = Negotiations (Generic) or RD/RA
Negotiations).
- Concurrent Negotiations - The next phase of negotiations begins before the
completion of the current RD/RA negotiations and the region does not plan to
issue new special notice letter(s). The region shall establish a new RD/RA
negotiation event in CERCLIS using as the start date of the new RD/RA
negotiations whichever is earlier either the date concurrent negotiations are first
documented in meeting minutes or in a Memorandum for the Record or the date
the letter is signed by the appropriate EPA official accepting the Good Faith Offer
(GFO) from PRPs that delineates the negotiations. This date is reported in
CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations
(Generic) or RD/RA Negotiations).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
If the region does not plan to conduct RD/RA negotiations, dates should not be entered
into CERCLIS. The start of RD/RA negotiations (Action Name = Negotiations (Generic)
or RD/RA Negotiations) is planned site-specifically. The "Response Actions Sought" are
FY12SPIM IX-17 March 20,2012
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OSWER Directive 9200.3-14-1G-W
to be entered into CERCLIS. The "Response Actions Sought" must include one or more
of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA. The
actual start of the negotiation action is the same as the actual completed date (Action
Complete) of the SNL or waiver of SNL. Superfund Alternative sites should be identified
in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative". If a Site-
Specific Exception Plan has been approved by HQ, the date of the plan was approved
should be reported in CERCLIS as a SubAction to the negotiations (SubAction Name =
Site-Specific Exception). RD/RA negotiation starts is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund
Alternative)
Definition:
RD/RA negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to implement the long-term remedy selected in the ROD for the
site or Operable Unit (OU).
RD/RA negotiations end when the region decides how to proceed with the RD/RA.
Definition of Accomplishment:
Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL,
Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator =
"Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed
NPL, Pre-Proposed Site, or Withdrawn) that are not Federal Facility sites (Federal
Facility Indicator = Not a Federal Facility or Status Undetermined) when:
A signed Consent Decree (CD) under section 106 or section 106/107 and a 10-
point analysis for RD or RA is referred by the Regional Administrator to either
DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA
Negotiations) actual completion date (Actual Complete) is the date of the signed
transmittal memo, which is the CD (Action Name = Consent Decree) actual start
date (Actual Start); or
A Unilateral Administrative Order (UAO) for RD or RA is signed by the
Regional Administrator or delegate. The negotiation (Action Name =
Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual
Complete) is the date the UAO (Action Name = Unilateral Admin Order) is
signed, which is the UAO actual completion date (Actual Complete); or
A Section 106 or Section 106/107 injunctive referral to compel the PRP to
perform the RD or RA as specified in a UAO is referred by the Regional
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Administrator to DOJ or HQ. The negotiation (Action Name = Negotiations
(Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is
the date of the Regional Administrator's transmittal memo, which is the litigation
(Action name = Litigation (Generic), Section 106/107 Litigation, or Section 106
Litigation) actual start date (Actual Start); or
- EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on
which they will proceed to trial under an existing case (Action Name =
Negotiations (Generic) or RD/RA Negotiations); or
An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD
only is signed by the Regional Administrator or delegate. Where an AOC or CA
for RD only is issued, no credit will be given for the subsequent RA negotiation
starts and completions. Credit will; however, be given under Total Response
Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation
(Action Name = Negotiations (Generic) or RD/RA Negotiations) actual
completion date (Actual Complete) is the date the AOC or CA is signed, which is
the AOC (Action Name = Admin Order on Consent or Consent Agreement)
actual completion (Actual Complete); or
If Special Notice Letters are issued specifically to initiate RD/RA Negotiations
and the negotiations result in an amendment to an existing settlement to include
RD/RA, the negotiation (Action Name = Negotiations (Generic) or RD/RA
Negotiations) actual completion date (Actual Complete) is the date the amended
settlement is signed. This amendment date is tracked as the actual completion date
(Actual Complete) of the settlement SubAction, Enforcement Action Amended;
or
Funds are obligated through a contract modification or work assignment signed
by the CO, an Interagency Agreement (IA) signed by the other federal agency, or
a Cooperative Agreement signed by the designated regional official for a Fund-
financed RD at NPL or Superfund Alternative sites or RA at NPL sites. The
negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations)
actual completion date (Actual Complete) is the date funds are obligated. If funds
are not available and the region decides a UAO is not appropriate, the negotiation
(Action Name = Negotiation (Generic) or RD/RA Negotiations) actual
completion date (Actual Complete) is the date of the written documentation of the
region's decision not to issue a UAO.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. RD/RA negotiation completions are planned site-specifically.
The negotiation completion date is reported in CERCLIS as the actual completion date
(Actual Complete) of either generic negotiations or RD/RA negotiations (Action Name =
Negotiations (Generic) or RD/RA Negotiations). The "Response Actions Sought" and the
outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected)
also must be reported in CERCLIS. The "Response Actions Sought" must include one or
FY12SPIM IX-19 March 20, 2012
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more of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA.
Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives
Indicator of "Superfund Alternative".
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and
Other) (NPL & Superfund Alternative)
Definition:
Cleanup negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the cleanup. Negotiations are complete (for NPL and
Superfund Alternative sites) when a decision has been made as to how the region will
proceed with the cleanup.
Definition of Accomplishment:
Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL,
Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator =
"Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed
NPL, Pre-Proposed Site, or Withdrawn) that are not Federal Facility sites (Federal
Facility Indicator = Not a Federal Facility or Status Undetermined) when:
A signed Consent Decree (CD) under section 106 or section 106/107 and a 10-
point analysis for RD, RA, groundwater monitoring activities post-ROD,
institutional controls, or a time-critical or non-time-critical (NIC) removal is
referred by the Regional Administrator to either DOJ or HQ. The negotiation
(Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal
Negotiations) actual completion date (Actual Complete) is the date of the signed
transmittal memo, which is the CD (Action Name = Consent Decree) actual start
date (Actual Start); or
A Unilateral Administrative Order (UAO) for RD, RA, groundwater monitoring
activities post ROD, institutional controls, or a time-critical or NTC removal is
signed by the Regional Administrator or delegate. The negotiation (Action Name
= Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual
completion date (Actual Complete) is the date the UAO (Action Name =
Unilateral Admin Order) is signed which is the UAO actual completion date
(Actual Complete); or
An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD
only, or groundwater monitoring activities post-ROD, or institutional controls is
signed by the Regional Administrator or delegate. Where an AOC or CA for RD
only is signed, no credit will be given for the subsequent RA negotiation starts
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and completions. Credit will; however, be given under Total Response
Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation
(Action Name = Negotiations (Generic) or RD/RA Negotiations) actual
completion date (Actual Complete) is the date the AOC or CA is signed, which is
the AOC (Action Name = Admin Order on Consent) or
CA (Action Name = Consent Agreement) actual completion (Actual Complete);
or
An AOC or CA for a time-critical or NTC removal is signed by the Regional
Administrator or delegate. The negotiation (Action Name = Negotiations
(Generic) or Removal Negotiations) actual completion date (Actual Complete) is
the date the AOC or CA is signed, which is the AOC (Action Name = Admin
Order on Consent) or CA (Action Name = Consent Agreement) actual completion
date (Actual Complete); or
A Section 106 or Section 106/107 injunctive referral to compel the PRP to
perform the cleanup (RD or RA) as specified in a UAO is referred by the
Regional Administrator to DOJ or HQ. The negotiation (Action Name =
Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual
Complete) is the date of the Regional Administrator's transmittal memo, which is
the litigation (Action Name = Litigation (Generic), Section 106/107 Litigation, or
Section 106 Litigation) actual start date (Actual Start); or
A Prospective Purchaser Agreement (PPA) implementing the entire remedy is
signed by the Regional Administrator or delegate. Credit is not given for
negotiation completions as a result of a PPA which implements part of the
remedy. The negotiation (Action Name = Negotiations (Generic), Removal
Negotiations or RD/RA Negotiations) actual completion date (Actual Complete)
is the date the PPA (Action Name = Admin Order on Consent or Consent
Agreement and Enf. Instrument Category = Prospective Purchaser Agreement) is
signed by the Regional Administrator or delegate which is the actual completion
date (Actual Complete) of the AOC or CA; or
EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on
which they will proceed to trial under an existing case (Action Name =
Negotiations (Generic) or RD/RA Negotiations); or
For settlements that are amended to include cleanup actions, the negotiation
(Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal
Negotiations) actual completion date (Actual Complete) is the date the amended
instrument is signed. This amendment date is tracked as the actual completion
date (Actual Complete) of the settlement SubAction, Enforcement Action
Amended; or
Funds are obligated through a contract modification or work assignment signed
by the CO, an IA signed by the other federal agency, or a Cooperative Agreement
signed by the designated regional official for a Fund-financed time-critical or
NTC removal or RA. Only those sites that are final on the NPL are eligible for
Fund-financed RAs. The negotiation (Action Name = Negotiations (Generic),
Removal Negotiations, or RD/RA Negotiations) actual completion date (Actual
Complete) is the date funds are obligated. If funds are not available and the region
FY12SPIM IX-21 March 20,2012
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decides a UAO is not appropriate, the negotiation (Action Name = Negotiations
(Generic), Removal Negotiations, or RD/RA Negotiations) actual completion date
(Actual Complete) is the date of the written documentation of the region's
decision not to issue the UAO.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. The negotiation completion date is reported in CERCLIS as
the actual completion date (Actual Complete) of either generic negotiations, RD/RA
negotiations, or removal negotiations (Action Name = Negotiations (Generic), RD/RA
Negotiations, or Removal Negotiations). The "Response Actions Sought" and the
outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected)
also must be reported in CERCLIS. Regions will receive credit for the completion of
cleanup negotiations that result in the signature of an AOC or CA with a prospective
purchaser that is implementing the entire remedy. Superfund Alternative sites should be
identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
1. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility
NPL and Superfund Alternative Sites
Definition:
A Remedial Action (RA) is the implementation of the remedy selected in the ROD, and
for the purposes of this measure, occurs at non-Federal Facility NPL and Superfund
Alternative sites.
Definition of Accomplishment:
This measure is the percentage of enforcement lead (i.e., PRP-financed in the RA Start
Definition of Accomplishment in Chapter VII) RA starts at non-Federal Facility NPL and
Superfund Alternative sites. It is calculated as the enforcement percentage of the total
number of non-Federal Facility RA starts. The program target is to achieve 70% or more
PRP-lead RA starts at non-Federal Facility NPL and Superfund Alternative sites.
DISCLAIMER: Regions will receive credit in the management of the Superfund
program for "start" of a remedial action even though "initiation of physical on-site
construction" may not have occurred for purposes of calculating a cost recovery statute of
limitations. The date found in the remedial action actual start column of a CERCLIS
report is a programmatic measure only, and cannot be relied on upon to create any rights,
March 20, 2012 IX-22 FY 12 SPIM
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substantive or procedural, enforceable by any party in litigation with the United States.
EPA reserves the right to change such data at any time without public notice.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program target. See special planning requirements in Chapter VII, section A,
and RA Start definition. Superfund Alternative sites should be identified in CERCLIS
using the Special Initiatives Indicator of "Superfund Alternative".
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
m. Total Response Commitments (Including Dollar Value)
Definition:
Total Response Commitments is the total universe of CERCLA enforcement instruments
where the parties agree to conduct cleanup work and/or make cash payments toward
future response costs at a site. This measure will require reporting of both the number of
enforcement instruments as well as the estimated value of the response work and/or cash
payments toward future response costs pursuant to each of those instruments.
Definition of Accomplishment:
Enforcement Instruments at non-Federal Facility NPL, Superfund Alternative, and non-
NPL sites include:
A Consent Decree (CD) is entered by the court, under section 106 or sections
106/107 for PRPs to conduct or pay for the response action (ESI/RI, RI, RI/FS,
FS, RD, RA, groundwater monitoring activities post-ROD, institutional controls,
time-critical or NTC removal). Credit for the entered CD (Action Name =
Consent Decree) is given on the date on which the consent decree is entered by
the court. This date is recorded in CERCLIS as the actual completion date (Actual
Complete). Types of CDs include CDs for mixed work, preauthorized mixed
funding, de minimis, and cashout settlements. The appropriate Enforcement
Instrument Categories Selected also must be entered into CERCLIS.
A Unilateral Administrative Order (UAO) is signed by the Regional
Administrator or 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 CERCLIS as the actual completion date (Actual Complete) of the
Notice of Intent to Comply SubAction (SubAction Name = PRPs Ntfy EPA,
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Intent to Comply). The actual completion date (Actual Complete) of the order
(Action Name = Unilateral Admin Order) is the date it is signed.
If a PRP initially complies with a UAO, credit will be given for the UAO when
the first PRP provides written notice of intent to comply. If, at a later date, the
PRP agrees to a CD for the same work, credit will be given for the CD when it is
entered by the court. At this point the region will receive credit for the CD only
and not the UAO. When adding the Consent Decree Action, the region should
identify the UAO as the predecessor action through Action Relationships and
enter the estimated value of the UAO as the estimated value of the CD if the CD
covers the same work. If the CD covers more work than the UAO it replaces, a
revised estimate may be necessary. The CERCLIS reporting requirements for the
CD apply.
An Administrative Order on Consent (AOC) or Consent Agreement (CA) is
signed by the Regional Administrator or 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 (Action Name = Admin Order on Consent or Consent
Agreement (CA)) is reported in CERCLIS as the actual completion date (Actual
Complete).
Commitment credit is also given when an AOC or Consent Agreement (CA) is
signed that provides protection from potential future liability to a prospective
purchaser that is implementing the remedy. The actual completion date (Actual
Complete) is the date the AOC or CA (Action Name = Admin Order on Consent
or Consent Agreement (CA), and Enf Instrument Category Selected = Prospective
Purchaser Agreement) is signed by the Regional Administrator or delegate.
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 JG
(Action Name = 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
CERCLIS as the actual completion date (Actual Complete). The appropriate
Enforcement Instrument Categories Selected also must be entered into CERCLIS.
The conclusion of a claim in bankruptcy proceedings by final judicial settlement.
Credit is given for US settlements (Action Name = Bankruptcy Settlement) for
PRPs to conduct or pay for future response work on the date the bankruptcy
settlement is entered by the court and recorded in CERCLIS as the actual
completion date (Actual Complete). The allowed settlement amount for response
work should be entered into CERCLIS.
Total Response Commitments will be reported as a combined total of CDs, CAs, AOCs,
JGs, Bankruptcy Settlements and UAOs, where response actions have been achieved
and/or parties agree to make cash payments toward future response costs at a site. The
value of Total Response Commitments is based on the estimated value of PRP response
work and/or payments made by responsible parties toward future response costs at a site.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference are completed, including payment provisions and
March 20, 2012 IX-24 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
monitoring (with the exception of any activity related to record retention). (The CD,
AOC, CA, or UAO has an Overall Compliance Status of" Work under Order Settlement
Completed"; and the SubAction = Closed Order or Settlement, or the SubAction =
Closed Order or Settlement with Potential for Penalty Claim has an Actual Completion
Date). In addition, a UAO that is converted to a CD is no longer active.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
The applicable "Response Actions Pd by Parties," the "Work the PRP Will Perform -
Value" (see supplement to: the Office of Solid Waste and Emergency Response
(OSWER) Directive #9200.3-14-la) or the "Federal Costs Settled - Future", "Other
Relief Achieved", if applicable; and, if necessary, the "Enforcement Instrument
Categories Selected" are to be reported in CERCLIS. Settlement credit will be given for
an AOC or CA with a Prospective Purchaser (PPA), Prospective Lessee (PLA), Bona
Fide Prospective Purchaser (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 CERCLIS
on the Enforcement schedule for a single settlement covering multiple sites in order to
apportion the dollars correctly across individual sites without double counting the
settlement. Existing settlements for ESI/RI, RI/FS or FS that are amended to include RD
should be reported in CERCLIS. The date the amendment is signed is the actual
completion date (Actual Complete) of the Action "Enforcement Action Amended." The
region should also indicate the "Response Actions Pd by Parties" added under the
settlement. Amended Instruments will count for credit in the current year as well as in the
program-to-date dollar amount. Dollars received in a cashout settlement should be
deposited in an interest bearing special account if site-specific conditions warrant. See the
measure, Settlements Designating Deposits to Special Accounts, for more information.
This is a program measure. The "Work the PRP Will Perform - Value" and "Federal
Costs Settled - Future" (i.e., the value of total response commitments) will be reported
annually to Congress.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
n. Total Active Response Enforcement Instruments in SNC and Not Addressed
through Formal Enforcement
Definition:
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OSWER Directive 9200.3-14-1G-W
The CERCLA compliance monitoring module in CERCLIS 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 OSRE and
the Federal Facilities Enforcement Office (FFEO) "Guidance on Determining and
Tracking Substantial Noncompliance with CERCLA Enforcement Instruments in
CERCLIS" (August 24, 2009). 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
result 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.
Definition of Accomplishment:
The number and percentage of active response enforcement instruments in SNC status for
two or more consecutive quarters and not addressed through formal enforcement. The
CERCLIS compliance status values that document formal enforcement action has been
taken for purposes of this measure are identified in the compliance status value table
below. This measure is represented as a percentage of total active response enforcement
instruments as well as a percentage of active response enforcement instruments in SNC
status.
Compliance Status Values:
EXHIBIT IX.2. SUMMARY OF CERCLIS COMPLIANCE STATUS VALUES
Compliance Status
Compliance Status
Reviewed - Not In SNC
(SRNF)
In SNC - Informal Action
Planned (IIAP)
In SNC - Informal Action
Taken (HAT)
Formal
Enforcement
Taken?
Not
applicable
No
No
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.
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
In SNC - Formal Action
Planned (IFAP)
In SNC - Formal Action
Taken (IF AT)
In SNC - Informal Action
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)
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Not
applicable
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 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.
Example Measure Results Statement:
The results of this measure as applied to national CERCLIS compliance status data can
be summarized as follows (the variables are defined in the table below):
• As of April 2011, of the (1 A) nationally active response enforcement instruments,
1C+1D ((1C+1D)/1A)% were in substantial noncompliance (SNC) status.
• Of the (1C+1D) in SNC, ID (1D/(1C+1D))% were in SNC status for two or more
consecutive quarters and had not yet been addressed through formal enforcement.
• Of the total (1A) active instruments, the remaining (IB + All SNC Values less than
two consecutive quarters) were (a) not in SNC status, (b) in SNC status for less than
two consecutive quarters, or (c) in SNC status and have been addressed through
formal enforcement.
EXHIBIT IX.3. MEASURE RESULTS CALCULATIONS
Measure Statement
Total Number of Open
Response Enf. Instruments
with Compliance Status
Values (IA)
Code or Calculation
1A
Compliance Values Included
Includes All Except:
+Historical Status Codes
+No Status Data
FY 12 SPIM
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March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Measure Statement
Total Open Response Enf.
Instruments Not in SNC
Status (IB)
Total Open Response Enf.
Instruments in SNC Status
Less Than Two Consecutive
Quarters or In SNC Status
and Addressed through
Formal Enforcement
Total Open Response Enf.
Instruments Not in SNC
Status or in SNC Status and
Addressed through Formal
Enforcement
Total Open Response Enf.
Instruments in SNC Status
Two or More Quarters and
Not Addressed through
Formal Enforcement (ID)
Total Number of Open
Response Enf. Instruments
in SNC Status (1C+1D)
Code or Calculation
IB
1C
1B+1C
((1B+1C)/1A)%
ID
(1D/(1C+1D))%
1C+1D
'Compliance Values Included
Includes:
+ Compliance Status Reviewed - Not In SNC
(SRNF)
Includes:
+ In SNC - Fund Takeover (IFTO)
+ Documented Decision Not to Pursue Violations (DNPV)
+ In SNC - Formal Action Taken (IF AT)
+ In SNC - Formal Action Taken and Compliance Accomplished
(IFAC)
+ In SNC - Informal Action Taken and Compliance Accomplished
(IIAC)
+ In SNC - In Dispute Resolution (IIDR)
+ In SNC - Referred to DOJ (IDOJ)
+ In All SNC - Values Less than two Consecutive Quarters.
Includes:
+ In SNC - Formal Action Planned (IFAP)
+ In SNC - Informal Action Planned (IIAP)
+ In SNC - Informal Action Taken (HAT)
Includes:
+ In SNC - Fund Takeover (IFTO)
+ Documented Decision Not to Pursue Violations (DNPV)
+ In SNC - Formal Action Taken (IF AT)
+ In SNC - Formal Action Taken and Compliance Accomplished
(IFAC)
+ In SNC - Informal Action Taken and Compliance Accomplished
(IIAC)
+ In SNC - In Dispute Resolution (IIDR)
+ In SNC - Referred to DOJ (IDOJ)
+ In SNC - Formal Action Planned (IFAP)
+ In SNC - Informal Action Planned (IIAP)
+ In SNC - Informal Action Taken (HAT)
Changes in Definition:
New measure in FY12.
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
March 20, 2012
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FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
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
CERCLIS 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. 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.
o. Total Amount of Response Commitments Secured through Financial Assurance
Definition:
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.
Definition of Accomplishment:
For all enforcement instruments at non-Federal Facility NPL, Superfund Alternative, 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:
7. Total number of enforcement instruments with financial responsibility provisions;
1. Total number of enforcement instruments where financial assurance was
provided; and
2. Amount (dollar value) of financial assurance provided responsible parties to
secure response commitment costs.
Changes in Definition from:
None.
FY12SPIM IX-29 March 20,2012
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Special Planning/Reporting Requirements:
This is a program measure. For Enforcement Instruments included as a part of this
measure see the Total Response Commitments definition of accomplishment. 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 CERCLIS Enforcement Instrument Screen
when entering the details of the enforcement instrument. In addition, the following
information should be entered in CERCLIS under the Financial Assurance tab of the
Enforcement Instrument screen when an answer of Yes is indicated:
Type of financial amount or face value of financial assurance provided; Assurance
mechanism provided (i.e., Trust Fund, Letter of Credit, Payment or Performance Bond,
Insurance 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 Consent Decree (CD), upon completion of the Administrative Order on
Consent (AOC) or Consent Agreement (CA), or when compiling with the Unilateral
Administrative Order (UAO).
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
p. De Minimis Settlements and Number of Parties
Definition:
This measure reports the total number of administrative or judicial settlements that are
reached under section 122(g) of CERCLA, with PRPs qualified as de minimis. This type
of settlement results in PRPs paying a minor portion of the estimated response costs at
the site, and is embodied in a CD or an AOC. If the total response costs at the site exceed
$500,000 (excluding interest), the AOC can only be signed by the Regional
Administrator or 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 examine the total number of de minimis settlements under section
122(g), the number of PRPs who sign such settlements, and the number of sites at which
de minimis settlements were signed.
Definition of Accomplishment:
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Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites
for de minimis settlements in the following two categories.
Category 1: De minimis settlements include:
An Administrative Order on Consent (AOC) (Action Name = Admin Order on
Consent) signed by the Regional Administrator or delegate. The date the AOC is
signed is reported in CERCLIS as the actual completion date (Actual Complete)
of the AOC (Action Name = Admin Order on Consent); or
A memorandum transmitting the Consent Decree (CD) (Action Name = Consent
Decree) signed by the Regional Administrator and the de minimis parties to DOJ
or HQ. The date of the transmittal memorandum is reported in CERCLIS as the
actual start date (Actual Start) of the CD (Action Name = Consent Decree).
The number of signatories to the settlement is system generated in CERCLIS from the
identification of the PRPs who have signed the settlement. Category 2: Early de minimis
settlements include:
An Administrative Order on Consent (AOC) (Action Name = Admin Order on
Consent) signed by the Regional Administrator or delegate prior to the first
remedy selection (ROD) at the site, or prior to a subsequent ROD which addresses
response costs that are included in the settlement. The date the AOC is signed is
reported in CERCLIS as the actual completion date (Actual Complete) of the
AOC (Action Name = Admin Order on Consent).
A memorandum transmitting the Consent Decree (CD) (Action Name = Consent
Decree) signed by the Regional Administrator and the de minimis parties to DOJ
or HQ prior to the first remedy selection (ROD) at the site or prior to a subsequent
ROD which addresses response costs that are included in the settlement. The date
of the transmittal memorandum is reported in CERCLIS as the actual start date
(Actual Start) of the CD (Action Name = Consent Decree).
The number of signatories to the settlement is system generated in CERCLIS from the
identification of the PRPs who have signed the settlement.
Changes in Definition
None.
Special Planning/Reporting Requirements:
This is a program measure. The following information should be entered into CERCLIS
for both Category 1 and Category 2 settlements:
- Enforcement Instrument Categories Selected of de minimis;
- PRPs that signed the settlement (Parties Associated with Action, Party Name);
- Dollar amount that will be used for current, future, or past work covered by the
settlement (Work PRP Will Perform - Value, Federal Costs Settled - Past and/or
Federal Costs Settled - Future (as applicable)); and
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- 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.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
q. Cashout Settlements
Definition:
This measure reports the total number of administrative or judicial settlements where the
parties agree to make cash payments toward future response costs at a site.
Definition of Accomplishment:
Credit is given when:
The Regional Administrator transmits the cashout CD (Action Name = Consent
Decree) to DOJ or HQ as recorded in CERCLIS as the actual start date (Actual
Start); or
The Regional Administrator or delegate signs the AOC (Action Name = Admin
Order on Consent) for the cashout settlement as recorded in CERCLIS as the
actual completion date (Actual Completion).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. Regions must enter the appropriate Enforcement Instrument
Category "Federal Costs Settled - Future", "Response Actions Pd by Parties", and/or
"Other Relief Achieved". Dollars received in a cashout settlement should be deposited in
an interest bearing special account if site-specific conditions warrant. See the measure,
Settlements Designating Deposits to Special Accounts, for more information.
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Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
r. Section 106,106/107,107 Case Resolution (Including Claim in Bankruptcy)
Definition:
Case resolution is the conclusion of a Section 106, 106/107, 107 judicial action, or Claim
in Bankruptcy by full settlement, case dismissal, or case withdrawal, or final judgment.
Definition of Accomplishment:
Credit for case resolution is given at non-Federal Facility NPL, Superfund Alternative,
and non-NPL sites when:
A Consent Decree (CD) is entered in the court and signed by the judge fully
addressing the complaint with all parties;
The region receives a memo or letter from DOJ withdrawing the case;
A decision document is submitted by the judge dismissing the case; or
A trial has concluded and a judgment rendered and signed by the judge fully
addressing the complaint.
The Litigation or case resolution (Action Name = Litigation (Generic), Section 106/107
Litigation, Section 107 Litigation, Section 106 Litigation, or Claim in Bankruptcy
Proceeding) actual completion date (Actual Complete) is defined as follows:
Date full settlement CD is entered. This is the actual completion date (Actual
Complete) of the CD, actual completion date of the SubAction = Entered by
Court, and the litigation or bankruptcy action actual completion date (Actual
Complete);
- Date case is withdrawn (SubAction Name = Case Withdrawn) as the SubAction
completion and litigation or bankruptcy actual completion date (Actual
Complete);
Date case is dismissed (SubAction Name = Case Dismissed) as the SubAction
and litigation or bankruptcy actual completion date (Actual Complete); or
Date judgment is entered (Action Name = Judicial/Civil Judgment) as the
judgment and the litigation or bankruptcy actual completion date (Actual
Complete).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure.
FY12SPIM IX-33 March 20,2012
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Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
s. Issuance of Demand Letter
Definition:
A Section 122(e) letter issued from EPA to the PRP requesting that the PRP reimburse
the Fund for a specific amount associated with one or more response activities. Demand
letters are typically sent for each separate response activity.
Definition of Accomplishment:
This Action is accomplished on the date (Actual Complete) the demand letter is signed by
the appropriate EPA official and recorded in CERCLIS as an Action (Action Name =
Demand Letters Issued).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
t. Total Cost Recovery Settlements (Including Dollar Value)
Definition:
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements where the parties agree to pay past costs to the Agency. This
measure will require reporting of both the number of settlements as well as the value of
the past costs to be recovered pursuant to each of these settlements.
Definition of Accomplishment:
Settlements at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites
include:
Consent Decrees - Credit is given for CD settlements (Action Name = Consent
Decree) for RD/RA with a cost recovery component, or CDs for cost recovery
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only that were not a result of a previous litigation referral, on the date the consent
decree is entered by the court and recorded in CERCLIS as the actual completion
date (Actual Complete).
For CD settlements that are for cost recovery only and result from a previous
litigation referral, regions should not add a CD start date (Actual Start). Only the
lodged (SubAction Name = Lodged by DOJ) and entered (SubAction Name =
Entered by Court) SubActions, their actual completion dates (Actual Complete),
and the actual completion date (Actual Complete) of the CD are recorded. The
actual completion date of the CD is the date it is entered by the court. If the actual
completion date for the Lodged by DOJ SubAction exists, credit will be given in
the FY identified by this completion date.
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 JG (Action Name =
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 CERCLIS
as the actual completion date (Actual Complete).
The conclusion of a claim in bankruptcy proceedings by final judicial settlement.
Credit is given for US settlements (Action Name = Bankruptcy Settlement) where
cost recovery had been achieved on the date the bankruptcy settlement is entered
by the court and recorded in CERCLIS as the actual completion date (Actual
Complete). The allowed settlement amount for cost recovery should be entered
into CERCLIS.
- Administrative Settlements - Credit is given on the date that the regional office
or DOJ receives payment from the PRPs in direct response to a demand letter for
voluntary cost recovery or the date the Regional Administrator or delegate signs
the Administrative Order on Consent (AOC) or Consent Agreement (CA) for cost
recovery. The date must be reported in CERCLIS as the actual completion date
(Actual Complete) of the administrative/voluntary cost recovery (Action Name =
Admin/Voluntary Cost Recovery), AOC (Action Name = Admin Order on
Consent), or CA (Action Name = Consent Agreement).
Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs,
Administrative/Voluntary Cost Recovery actions, 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). (The CD,
AOC, or CA has an Overall Compliance Status of "Closed Order/Settlement"; and the
SubAction = Closed Order or Settlement, or the SubAction = Closed Order or Settlement
with Potential for Penalty Claim has an actual completion date (Actual Complete)).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
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The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Subsequent Site) should be entered in CERCLIS on the Enforcement schedule for a
single settlement covering multiple sites in order to apportion the dollars correctly across
individual sites without double counting the settlement. This is a program measure. The
"Federal Costs Settled - Past" must be entered into CERCLIS. This measure will be
reported in the ENFR-03 report. The "Federal Costs Settled - Past" (i.e. the value of costs
recovered) will be reported annually to Congress.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
u. Number and Amount of CERCLA Penalties Assessed
Definition:
This measure supports the goal of Trust Fund Stewardship by providing information on
the amount and number of final CERCLA penalties assessed. The measure identifies
monies that are provided for the Trust Fund as a result of penalties assessed for violations
of the CERCLA statute. The measure also supports the systematic reporting on the
programmatic impacts of compliance and enforcement.
This measure is expressed as the dollar amount of the final assessed penalty under
CERCLA. For civil judicial cases, this amount is the penalty assessed against the
defendant(s) as specified in the Consent Decree or Court Order entered by the court or
agreed to by the defendant(s). For administrative cases, it is the penalty agreed to in the
final AOC or assessed directly by EPA under section 109(a) and (b) of CERCLA.
The number of CERCLA penalties assessed is the number of civil, judicial, or
administrative enforcement actions where a penalty was assessed under a CERCLA
statute.
Definition of Accomplishment:
The number of CERCLA penalties assessed is the total number of enforcement actions
(CDs, AOCs, judgments, or court orders) where a penalty was assessed under a CERCLA
statute, including actions that are only for CERCLA or multi-media actions that contain a
CERCLA component.
The value of CERCLA penalties assessed is the total dollar amount of penalties assessed
under the CERCLA statute for violations of requirements contained in civil, judicial, and
administrative enforcement actions. If the enforcement action consists of multi-media
actions, this measure will only include the amount that is assessed under the CERCLA
statute, to the extent that it can be specified.
Changes in Definition:
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None.
Special Planning/Reporting Requirements:
The "Stipulated Penalty Assessed - Amount Imposed" and/or "Statutory Penalty Assessed
- Amount Imposed" should be entered into CERCLIS through the Penalty/Supplemental
Environmental Project (SEP) screens associated with the enforcement instrument.
Official end of year numbers and values for Stipulated Penalties are reported by the
Office of Enforcement and Compliance Assurance using information from ICIS.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
v. Number of Settlements Where EPA Settled Based on Ability-to-pay
Determinations
Definition:
The measure will help assess the extent to which EPA is using ability-to-pay
determinations to achieve its goal of Enforcement Fairness. The measure will report the
number of administrative or judicial settlements that are reached under CERCLA with
PRPs qualified as limited ability-to-pay parties. This type of settlement results in: 1)
PRPs paying less than their respective portion of the cost for site cleanup based on an
ability-to-pay determination; 2) Payment over time for parties with limited ability to raise
annual revenues; or 3) Parties providing in-kind service in lieu of cash payments.
Definition of Accomplishment:
Total ability-to-pay settlements are counted as follows:
When an AOC (Action Name = Admin Order on Consent) or Consent Agreement
(CA) (Action Name = Consent Agreement) with the ability-to-pay PRPs is signed
by the Regional Administrator or delegate and reported in CERCLIS as the actual
completion date (Actual Complete).
When the Regional Administrator signs the memorandum transmitting the CD
(Action Name = Consent Decree) signed by the ability-to-pay parties (and the
Regional Administrator) to DOJ or HQ as reported in CERCLIS as the actual start
date (Actual Start).
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. An Enforcement Instrument Categories Selected of "Ability
to Pay" needs to be entered into CERCLIS.
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Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
w. Bona Fide Prospective Purchaser Agreements
Definition:
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 bona fide prospective
purchasers (BFPPs). The intent of Congress in enacting this provision was to remove
certain liability barriers to purchases of property and encourage redevelopment. Although
EPA believes the necessity for agreements with prospective purchasers has been largely
addressed by congressional action, the Agency recognizes that, in limited instances, the
public interest would be served by entering into agreements with BFPPs who will
perform work (removal) exceeding reasonable steps at a site of federal interest. This
measure will quantify the number of BFPP Removal Agreements signed.
For the purpose of reporting, this measure will count the number of finalized agreements
that include provisions for BFPPs to perform work (removal).
Definition of Accomplishment:
Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites
for the BFPP Agreements upon the completion date (Actual Complete) of a Consent
Agreement (CA) or Administrative Order on Consent (AOC) (Action Name = Admin
Order on Consent or Consent Agreement) for response action (removal) by a BFPP. The
completion date is the date the settlement is signed by the Regional Administrator or
delegate.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Regions should select the enforcement instrument category Bona Fide Prospective
Purchaser (BFPP) work agreement (Enforcement Instrument Categories Selected = BFPP
Work Agreement) in CERCLIS and associate the appropriate response action. The actual
completion date will be the date of the EPA signature of the AOC or CA (see above).
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
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business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements
(PLAs)
Definition:
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"). The Brownfields Amendments provide a limitation on
liability for persons who qualify as bona fide prospective purchasers. The intent of
Congress in enacting this provision was to remove certain liability barriers to purchases
of property and encourage redevelopment. While EPA understands the necessity for
PPAs and PLAs has been largely eliminated by the Amendments, the Agency recognizes
that in limited instances the public interest will be served by entering into PPAs and
PLAs. This measure, therefore, will continue to report progress toward both the goals of
enforcement fairness, redevelopment, and revitalization of contaminated properties. This
measure will quantify the number of PPAs and PLAs signed.
For the purpose of reporting, this measure will count:
1. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
prospective purchaser provisions.
3. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
prospective lessee provisions.
Definition of Accomplishment:
Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites:
Prospective Purchaser Agreement: This is the completion of a PPA based on the
date (Actual Complete) the Administrative Order on Consent (AOC) or Consent
Agreement (CA) (Action Name = Admin Order on Consent or Consent
Agreement) with a PPA component is signed by the Regional Administrator or
delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with
a PPA component is entered by a federal court. Regions also must enter the
Enforcement Instrument Category to indicate a PPA (Enforcement Instrument
Categories Selected = Prospective Purchaser Agreement).
Prospective Lessee Agreement: This is the completion of a PLA based on the date
(Actual Complete) the Administrative Order on Consent (AOC) or Consent
Agreement (CA) (Action Name = Admin Order on Consent or Consent
Agreement) with a PLA component is signed by the Regional Administrator or
delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with
a PLA component is entered by the federal court. Regions also must enter the
Enforcement Instrument Category to indicate a PLA (Enforcement Instrument
Categories Selected = Prospective Lessee Agreement).
FY12SPIM IX-39 March 20,2012
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Changes in Definition:
None.
Special Planning/Reporting Requirements:
For each settlement, the region should enter the following information into CERCLIS:
"Work PRP Will Perform - Value" and/or "Federal Costs Settled - Future" and "Response
Actions Pd by Parties;" and/or "Federal Costs Settled - Past", "Response Actions
Reimbursed", and/or "Other Relief Achieved" of "Other Activities for Cost Recovery";
and an Enforcement Instrument Categories Selected of "Prospective Purchaser
Agreement" or "Prospective Lessee Agreement." The numbers of PPA and PLA
agreements signed are program measures.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
y. Issuance of Comfort/Status Letters
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and Brownfields Revitalization Act
("Brownfields Amendments"). Parties interested in purchasing, developing, or operating
these properties are provided information, upon request, regarding the potential for EPA
actions. Comfort/status letters, while providing some assurances, are intended solely for
informational purposes and only communicate EPA's intent with regard to enforcement
or response authorities. Comfort/status letters do not provide a release from CERCLA
liability, and therefore, are not considered "no action assurances." Any response to a
solicitation for information on EPA's involvement or potential involvement/interest in a
property qualifies as a comfort/status letter.
Definition of Accomplishment:
If the comfort/status letter is a windfall lien or reasonable steps comfort/status letter,
Regions must indicate this in CERCLIS (Action Qualifier = Windfall Lien or Reasonable
Steps). A comfort/status letter is accomplished (Actual Complete Date) the day it is
signed by the appropriate regional official.
Changes in Definition:
The former start date (Actual Start Date) for this action the date a written request was
received by the Agency for a comfort/status letter from an interested party is no longer
required, and will not be tracked by HQ. Regions may continue to track this if they wish.
Special Planning/Reporting Requirements:
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This is a program measure. Regions should track the property/site specific issuance of
comfort/status letters electronically in CERCLIS. For each comfort/status letter that is a
windfall lien or reasonable steps comfort letter, regions should enter the Action Qualifier
of "Windfall Lien" or "Reasonable Steps" respectively into CERCLIS.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
z. Contiguous Property Owners (CPOs)
Definition:
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
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 & CAs) that include contiguous property owner provisions.
Definition of Accomplishment:
Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites:
Contiguous Property Owners: This is the completion of a CPO based on the date (Actual
Complete) the Administrative Order on Consent (AOC) or Consent Agreement (CA)
(Action Name = Admin Order on Consent or Consent Agreement) with a CPO
component is signed by the Regional Administrator or delegate. Regions also must enter
the Enforcement Instrument Category to indicate a CPO (Enforcement Instrument
Categories Selected = Contiguous Property Owners).
Changes in Definition:
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Contiguous Property Owners is a new measure. Only finalized (enforcement instrument
actual completion date) CPOs are counted.
Special Planning/Reporting Requirements:
For each settlement, the region should enter the following information into CERCLIS:
"Work PRP Will Perform - Value" and/or "Federal Costs Settled - Future" and
"Response Actions Pd by Parties"; and/or "Federal Costs Settled - Past", "Response
Actions Reimbursed", and/or "Other Relief Achieved" of "Other Activities for Cost
Recovery"; and an Enforcement Instrument Categories Selected of "Contiguous Property
Owners". The number of CPOs is a program measure.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
aa. Windfall Lien Resolution - Finalized
Definition:
In January 2002, CERCLA was amended through enactment of Public Law 107-118,
titled the Small Business Liability Relief and 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.
Definition of Accomplishment:
Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites
for Windfall Liens Resolutions (WL) Agreements. Based on the date (Actual Complete
Date) of the Administrative Order on Consent (AOC) (Action Name = Admin Order on
Consent) or the Consent Agreement (CA) (Action Name = Consent Agreement) with a
WL component is signed by the Regional Administrator or delegate.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
WL agreements are program measures. For each agreement, the region should enter the
following information into CERCLIS: Work PRP Will Perform - Value and/or Federal
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Costs Settled - Future and Response Actions Pd by Parties; and/or Federal Costs Settled -
Past, Response Actions Reimbursed, and/or Other Relief Achieved of Other Activities for
Cost Recovery; and an Enforcement Instrument Categories Selected of Windfall Lien
Resolution Agreement.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
bb. Orphan Share - EPA Offer and Compensation
Definition:
This measure reports on EPA efforts to compensate parties for the portion of the response
costs attributable to insolvent and defunct parties (orphan share).
This measure includes negotiations and settlements for RI/FS, RD/RA, time-critical or
NTC removals, or appropriate cost recovery cases. This measure will report: 1) the
number of negotiations where EPA offered to compensate for a portion of the orphan
share; 2) the Maximum Amount Appropriate for Compensation (MAAC) under the 1996
Interim Guidance on Orphan Share Compensation for Settlers of Remedial
Design/Remedial Action and Non-Time-Critical Removals and the 1997 Cost Recovery
Addendum (dated: September 30, 1997); 3) the actual amount of compensation offered;
4) the number of settlements where EPA compensated for a portion of the orphan share;
5) the actual dollar amount of the orphan share compensated by EPA; and 6) the actual
date the region made the offer. Orphan share compensation offers are subject to the
adequacy of cleanup program funding, and eligibility requirements under the policies.
Orphan share compensation is not available at sites where there are no orphan parties,
Federal Facilities, sites where every PRP is liable as a current or former owner and/or
operator and the region has not identified any generator/transporter (i.e. "owner-operator
only" sites), or sites where PRPs are performing work pursuant to a UAO, unless such
parties are willing to convert the UAO to a CD. All other sites are eligible sites for
purposes of this measure for work (i.e., Remedial Design/Remedial Action and Non-
Time Critical Removal) negotiations at NPL sites. The method for determining the
appropriate compensation to be offered by EPA is provided in the "Interim Guidance on
Orphan Share Compensation for Settlers of Remedial Design/Remedial Action and Non-
Time-Critical Removals" dated June 3, 1996 and the 1997 Cost Recovery Addendum
(dated: September 30, 1997). The MAAC should not exceed the lesser of the following
ceilings: 1) the orphan share; 2) the sum of all EPA unreimbursed past costs and EPA's
projected costs of overseeing the design and implementation of the Record of Decision
(ROD) remedy, time-critical or NTC removal costs; or 3) 25% of the projected ROD
remedy, time-critical or NTC removal costs at the site.
It should be noted that orphan share compensation at RI/FSs, time critical removals and
non-NPL sites/Superfund Alternative sites is discretionary under the 1996 Orphan Share
FY12SPIM IX-43 March 20,2012
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Policy. Although regions should offer orphan share compensation during settlement
negotiations for RD/RA and non-time critical removal actions at NPL sites, it is not
required to offer orphan share compensation at time critical removals and non-NPL
sites/Superfund Alternative sites.
Definition of Accomplishment:
Credit is given at eligible non-Federal Facility non-owner/operator only NPL, Superfund
Alternative, and non-NPL sites for negotiations where EPA offered to compensate for a
portion of the orphan share. In order to receive credit for orphan share compensation in
any case, at a minimum, the PRP must have been informed that part of the federal
compromise at the site is attributable to orphan share. In negotiations for work, the PRP
must be informed about the amount of the federal compromise attributable to orphan
share under the MAAC analysis. Credit is given where EPA offered to compensate for
orphan share when:
- The General Notice Letter (GNL) (for removals), first Special Notice Letter
(SNL), Letter for Orphan Share Compensation (for on-going negotiations), or
Memorandum for the Record for oral offers is signed by the appropriate EPA
official for the site or operable unit (OU). The Memorandum of Record for oral
offers may be, for example, a memorandum to the case file memorializing the oral
offer. This date is reported in CERCLIS as the actual start date (Actual Start) of
negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations, Removal
Negotiations, or Negotiations (Generic)) or the completion date (Actual
Complete) of the Letter for Orphan Share Compensation Sub Action (Sub Action
Name = Letter for Orphan Share Compensation) or Memorandum for the Record
Sub Action (Sub Action Name = Memorandum for the Record); or
A Section 122(a) waiver of SNL signed by the appropriate EPA official with the
intent to pursue negotiations without moratorium procedures. This date is reported
in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =
RI/FS Negotiations, RD/RA Negotiations, Negotiations (Generic), or Removal
Negotiations); or
A Demand Letter, Letter for Orphan Share Compensation (for on-going
negotiations), or Memorandum for the Record for oral offers for cost recovery
signed by the appropriate EPA official is sent to the parties. This date is reported
in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =
Cost Recovery Negotiations) or the completion date (Actual Complete) of the
Letter for Orphan Share Compensation SubAction (SubAction Name = Letter for
Orphan Share Compensation) or Memorandum for the Record SubAction
(SubAction Name = Memorandum for the Record).
Credit is given at eligible non-Federal Facility on-owner/operator only NPL, Superfund
Alternative, and non-NPL sites where EPA compensated for a portion of the Orphan
Share as follows:
- A CD (Action Name = Consent Decree) and a 10-point settlement analysis for RD
or RA is signed under section 106, 106/107, 104(a), 104(b), or for cost recovery
only under section 107. The date when the Regional Administrator signs the
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memorandum transmitting the CD, signed by the parties and the Regional
Administrator, to DOJ is reported in CERCLIS as the actual start date (Actual
Start); or
An AOC (Action Name = Admin Order on Consent) for RI/FS, a time-critical or
NTC removal, or RD only is signed by the Regional Administrator or delegate.
The date on which the AOC is signed is reported in CERCLIS as the actual
completion date (Actual Complete). For AOCs that are amended to include a
time-critical or NTC removal, or RD only, the SubAction "Enforcement Action
Amended" and the SubAction actual completion date (Actual Complete) must be
entered into CERCLIS; or
An AOC or Consent Agreement (CA) (Action Name = Admin Order on Consent
or Consent Agreement) for cost recovery under section 122(h) is signed by the
Regional Administrator or delegate. The date on which the AOC or CA is signed
is reported in CERCLIS as the actual completion date (Actual Complete). For
AOCs or CAs that are amended to include cost recovery, the SubAction
"Enforcement Action Amended" and the SubAction actual completion date
(Actual Complete) must be entered into CERCLIS.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Orphan Share Compensation Offered for work (i.e. Remedial Design/Remedial Action
and Non-Time Critical Removal) negotiations at NPL sites is a program measure. The
program measure is to offer orphan share compensation at 100% of eligible sites in work
(i.e. Remedial Design/Remedial Action and Non-Time Critical Removal) negotiations at
NPL sites. In addition, Orphan Share Compensated is a program measure. The applicable
"Response Actions Pd by Parties" must be entered into CERCLIS. Indicators on the
existence of an orphan share at a site, including whether the orphan share policy applies
for work at a site, an orphan share compromise was offered or compensated by EPA, the
MAAC and ceiling type, the past and anticipated future costs offered and compensated by
EPA will be entered into CERCLIS.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
cc. Non-Exempt De Micromis Parties Settlements and Number of Parties
Definition:
This measure reports the total number of administrative or judicial settlements that are
reached solely under section 122 of Superfund Amendments and Reauthorization Act of
1986 (SARA), with PRPs qualified as non-exempt de micromis. It is rather unusual in
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that it measures success inversely. The lower the number of non-exempt de micromis
parties settlements, the more successful the Agency's non-exempt de micromis policy.
Definition of Accomplishment:
Non-exempt de micromis parties settlements at non-Federal Facility NPL, Superfund
Alternative, and non-NPL sites include:
An AOC (Action Name = Admin Order on Consent) signed by the Regional
Administrator or delegate, as reported in CERCLIS, as the actual completion date
(Actual Complete).
When the Regional Administrator signs the memorandum transmitting the
Consent Decree (Action Name = Consent Decree), signed by the non-exempt de
micromis parties and the Regional Administrator to DOJ or HQ, as reported in
CERCLIS, as the actual start date (Actual Start).
- The number of signatories to the settlement is system generated in CERCLIS
from the identification of the PRPs associated with the settlement.
The following information should be entered into CERCLIS:
» Enforcement Instrument Categories Selected of "Non-exempt De
Micromis";
* PRPs that signed settlement (Parties Associated with Action, Party Name).
To indicate the non-exempt de micromis parties that signed the settlement,
the following information must be entered for each party on the
Involvement screen:
* Basis of Liability of "Non-exempt De Micromis Party"; and
* Involvement Type of "Generator" or "Transporter".
Changes in Definition:
None.
Special Planning/Reporting Requirements:
While EPA will enter into non-exempt de micromis parties settlements when extremely
small volume contributor parties are threatened with suit, the ultimate measure of success
of this policy will be that non-exempt de micromis parties are no longer pursued and
there is no need to enter into such settlements (see above). This is a program measure.
The number of signatories to the settlement will be system generated from the
identification of the parties associated with the settlement.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
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OSWER Directive 9200.3-14-1G-W
dd. PRP Oversight Administration
Definition:
Through the Superfund Reform on the Administration of PRP Oversight (OS), EPA
recognizes the value of working together with PRPs with whom the Agency has
settlement agreements as a means to promote appropriate oversight that ensures the
development and implementation of protective cleanups; gives careful consideration to
the associated costs being charged to PRPs; and maximizes EPA recovery of oversight
cost. This measure reports EPA's efforts to work with PRPs to maximize the
effectiveness and efficiency of EPA oversight and to send timely bills for oversight.
This measure applies to all PRPs at non-Federal Facility NPL, Superfund Alternative, and
non-NPL sites who:
Are conducting, under federal oversight, the non-time-critical removal action
(NTCRA), remedial investigation/feasibility study (RI/FS), remedial design (RD),
or remedial action (RA) phase of a cleanup, AND
- Have an Administrative Order on Consent (AOC), Consent Decree (CD), or other
settlement document in place with EPA that provides for payment of oversight
costs.
Definition of Accomplishment:
The annual accomplishment measure shall be based on the number of agreements (as
described in the second bullet above) in place for RP-lead events that will take place
during the fiscal year. The regions will accomplish the following objectives for each PRP
or group of PRPs that has such an agreement and is required to pay oversight costs:
The date of the accomplishment for this measure is the later of the dates documenting
completion of each of the actions below. Credit is given based on the date that:
- An offer (personal contact is strongly encouraged) is made to PRPs to discuss
EPA's oversight expectations for upcoming activities. This date is reported in
CERCLIS as the SubAction "Offer to Discuss EPA Oversight Expectations w/
PRPs" actual completion date (Actual Complete); AND
An oversight bill consistent with the enforcement instrument is issued to PRPs or
an accounting of costs is provided to PRPs. This date is reported in CERCLIS as
the SubAction "Issuance of Oversight Bill" or as "Accounting of Oversight Costs
Incurred" actual completion date (Actual Complete). If the settlement document is
signed or referred within the current fiscal year only the "Offer to discuss EPA
Oversight Expectations with PRPs" SubAction is required.
Changes in Definition:
None.
Special Planning/Reporting Requirements
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This is a program measure. 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.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
ee. Settlements Designating Funds for Deposit to Special Accounts
Definition:
This measure will assess the extent to which EPA is able to direct the deposit of
settlement funds into Special Accounts under CERCLA section 122(b) (3), in its efforts
to increase fairness and promote PRP settlements. EPA is able to retain and apply the
interest from these accounts to clean up the site at which the settlement occurred. Funds
deposited in Special Accounts are immediately accessible for response costs, but may
only be used to support response actions at the site(s) covered by the settlement. Funds
deposited into a Special Account may be the result of response costs achieved under: de
minimis, ability to pay, bankruptcy, cashout, Prospective Purchaser Agreement (PPAs),
or other settlements.
For all CERCLA settlements where PRPs agree to make cash payments toward response
costs at a site (i.e. cashout and/or cost recovery settlements), the measure will report the
following:
- The total number of cashout and cost recovery settlements, and the estimated
amount of response costs achieved from those settlements;
- The number of settlements which designate funds for deposit to Special Accounts
for response costs, and the percentage of these settlements compared to the total
number of cashout and cost recovery settlements; and
The amount of funds designated for deposit to Special Accounts by the settlement
for response costs and the percentage of these funds, compared to the total amount
of response costs achieved from all cashout and cost recovery settlements.
Definition of Accomplishment:
This measure counts any settlement, where there is a payment provision for funds to be
deposited in a Special Account as follows:
An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action
Name = Admin Order on Consent or Consent Agreement) is signed that includes
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a payment provision, where funds will be placed in a Special Account. The date
on which the Regional Administrator or delegate signs the AOC or CA is reported
in CERCLIS as the actual completion date (Actual Complete); or
A signed Consent Decree (CD) (Action Name = Consent Decree) referred to
DOJ/HQ under section 106, 107, or 106/107 that includes a payment provision
where funds will be placed in a Special Account. The date on which the Regional
Administrator signs the memorandum transmitting the CD, signed by the parties
and the Regional Administrator to DOJ or HQ is reported in CERCLIS as the
actual start date (Actual Start). For CD settlements that are for cost recovery only
and result from a previous litigation referral, regions should not add a CD start
date (Actual Start). Only the lodged (SubAction = Lodged by DOJ) and entered
(SubAction name = Entered by Court) SubActions, their actual completion dates
(Actual Complete), and the actual completion date (Actual Complete) of the CD
will be recorded. The actual completion date of the CD is the date it is entered by
the court. If the actual completion date for the settlement lodged by DOJ exists,
credit will be given in the FY identified by this completion date.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into CERCLIS for these settlements
include:
Federal Costs Settled - Past (for Cost Recovery Settlements);
- Federal Costs Settled - Future (for Cashout Settlements);
- Enforcement Instrument Categories Selected (for Cashout Settlements);
- Response Actions Paid by Parties (for Cashout Settlements);
- Deposit to EPA Special Account; and
Special Account Deposit Provision Flag.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
ff. Deposits into Special Accounts
Definition:
This measure will report the amount of all actual deposits into Special Accounts. Funds
deposited into a Special Account may be the result of response costs achieved under: de
minimis, ability to pay, bankruptcy, cashout, cost recovery, Prospective Purchaser
Agreements (PPAs), or other settlements as well as oversight payments. Funds deposited
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in Special Accounts are immediately accessible for response costs at the site(s) covered
by that Special Account. The source of the information reported under this measure is
periodic extraction of information from EPA's financial management system, Compass. .
The measure will report the following:
- For each site for that fiscal year, the total amount of actual deposits into Special
Accounts; and
- For each region for that fiscal year, the total amount of actual deposits into
Special Accounts.
Definition of Accomplishment:
The Cincinnati Financial Management Center (CFMC) deposits funds in the Special
Account, as directed by the region. Deposit dates are recorded by CFMC in Compass.
CFMC extracts data from Compass for tracking and reporting purposes. This measure
counts all deposits made at the time that Special Accounts are established and any
subsequent deposits made to these accounts as follows:
- The date on which a Special Account is established by the CFMC with the initial
deposit amount; and
- The date on which any subsequent deposits are made by CFMC to existing
Special Accounts.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into Compass include:
Amount of deposits into Special Accounts; and
The date of deposits into Special Accounts.
gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Definition:
This measure will quantify the number of settlements in which EPA has agreed to
disburse Special Account funds to PRPs for response actions at the site where the Special
Account funds were collected. Response actions can be removal or remedial, under
administrative or judicial settlements (under Agency guidance, Special Account funds are
not available to parties performing work under a UAO).
For all CERCLA settlements where PRPs agree to conduct response actions at the site for
which the Special Account was created, the measure will report the following:
The number of response settlements which designate disbursement from Special
Accounts to PRPs who conduct the response action; and
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- The amount of funds designated to be disbursed from Special Accounts to PRPs
in response action settlements.
Definition of Accomplishment:
This measure counts all settlements where there is a provision for disbursement of
Special Account funds to PRPs as follows:
An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action
Name = Admin Order on Consent or Consent Agreement) is signed that includes
a disbursement provision. The date on which the Regional Administrator or
delegate signs the AOC or CA is reported in CERCLIS as the actual completion
date (Actual Complete); or
A signed Consent Decree (CD) (Action Name = Consent Decree) is referred to
DOJ/HQ under section 106 or 106/107 that includes a disbursement provision.
The date on which the Regional Administrator signs the memorandum
transmitting the CD, signed by the parties and the Regional Administrator to DOJ
or HQ is reported in CERCLIS as the actual start date (Actual Start). The actual
completion date of the CD is the date it is entered by the court. If the actual
completion date for the settlement lodged by DOJ exists, then credit will be given
in the FY identified by this completion date.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into CERCLIS for these settlements
include:
Response Actions Paid by Parties;
- Work PRP Will Perform - Value;
- Paid from Special Account; and
Special Account Disbursement Provisions Flag.
Data Entry Timeliness Requirement:
It is good management practice to enter data regarding the event as soon as practicable
after the event occurs. However, data must be entered prior to the quarterly pull for the
quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth
business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day
following the end of the FYQ4.)
hh. Disbursements from Special Accounts for Response Actions
Definition:
This measure will assess the extent to which EPA uses Special Account funds for site
cleanup by reporting the amount of all actual disbursements from Special Accounts for
response actions. This measure will capture disbursements to all recipients, whether for
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PRP-lead, State-lead, or EPA-lead response actions since Special Account funds can be
used to pay PRP, state, and EPA response costs.
The source of the information reported under this measure is periodic extraction of
information from EPA's Compass.
The measure will report the following:
- For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts for response actions;
For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to PRPs for response actions;
For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to states for response actions;
For each site for that fiscal year, the total amount of actual disbursements from
Special Accounts to EPA for response actions;
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts for response actions;
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to PRPs for response actions;
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to states for response actions; and
- For each region for that fiscal year, the total amount of actual disbursements from
Special Accounts to EPA for response actions.
Definition of Accomplishment:
Regions make disbursements from Special Accounts. Disbursements are recorded by the
regions in Compass. The Cincinnati Finance Center (CFC) extracts data from Compass
for tracking and reporting purposes. This measure counts all disbursements made from
Special Accounts for response actions as follows:
The date on which the region disburses funds from the Special Account as
recorded in Compass.
The three sub-measures count all disbursements from Special Accounts to PRPs, states,
and EPA for response actions as follows:
The date on which the region disburses funds to PRPs from Special Accounts as
recorded in Compass.
The date on which the region disburses funds to states from Special Accounts as
recorded in Compass.
The date on which the region disburses funds to EPA from Special Accounts as
recorded in Compass.
Changes in Definition:
None.
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Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into Compass includes:
- Actual disbursements from Special Accounts for response actions;
- Actual disbursements from Special Accounts to PRPs for response actions;
- Actual disbursements from Special Accounts to states for response actions;
- Actual disbursements from Special Accounts to EPA for response actions (This
sub-measure is derived by subtracting the sum of the disbursements to PRPs and
states from the disbursements from Special Accounts for response actions.); and
The dates of disbursements from Special Accounts.
ii. Reclassification of Special Account Funds
Definition:
This measure will report the amount of special account funds that have been reclassified
to reimburse expended Superfund appropriation resources for response actions at that
site. The source of the information reported under this measure is periodic extraction of
information from EPA's Compass.
The measure will report the following:
- For the current fiscal year, the name and number of the Special Account and the
total amount of money reclassified from the Special Account.
- For the current fiscal year, the cumulative amount of Special Account funds that
have been reclassified and the number of Special Accounts.
Definition of Accomplishment:
Reclassifications are entered in Compass with a KV document. The KV document is a
financial transaction that allows EPA to make adjustments in Compass to establish and
document a reclassification. Special account reclassifications may only be executed by
recording the KV transaction. This measure counts all reclassifications from Special
Accounts as follows:
The date on which the KV document is recorded in Compass.
Changes in Definition:
New measure in FY12.
Special Planning/Reporting Requirements:
This is a program measure.
jj. Closure of Special Accounts
Definition:
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This measure will report the closure of Special Accounts. The source of the information
reported under this measure is periodic extraction of information from EPA's Compass.
The measure will report the following:
For each site at which a Special Account was closed for that fiscal year, the name
of the site, the total amount of money transferred to the general part of the
Superfund Trust Fund, and the amount of interest liability reduced from the
Superfund Trust Fund; and
For each region for that fiscal year, the total number of Special Accounts closed,
the amount of money transferred to the general part of the Superfund Trust Fund,
and the amount of interest liability reduced from the Superfund Trust Fund.
Definition of Accomplishment:
Upon receipt of a request to close the Special Account from the Regional Program
Office/Financial Management Office, the Cincinnati Financial Center (CFC) will close
out the Special Account and record the closeout date in Compass. CFC extracts data from
Compass for tracking and reporting purposes. This measure counts all transfers made at
the time that Special Accounts are closed as follows:
The date on which a Special Account is closed by the CFC with the amount to be
transferred to the general part of the Superfund Trust Fund.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
This is a program measure. Data that must be entered into Compass include:
- The amount of receipts transferred from the Special Account to the general part of
the Superfund Trust Fund;
- The amount of interest liability reduced from the Superfund Trust Fund; and
- The date that the Special Account is closed.
kk. Management of Special Accounts
This measure will track and report CERCLIS information necessary to effectively
manage Special Accounts. Some special account data, as indicated below, are imported
into CERCLIS from the Compass Data Warehouse (CDW) on the sixth business day each
month. The source of the information for this measure will be extractions of information
from CERCLIS in preparation for summer work planning (July timeframe), final work
planning (October timeframe), and mid-year planning (March timeframe). The measure
will track and report in CERCLIS the following information where a Special Account has
been established. Some of the fields are pre-populated from planning data entered on the
CERCLIS Site Financial Transaction screen, as identified in the list below. Additional
information on entering information in these fields can be found in the "Instruction
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Guide for Entering Planning Data in the CERCLIS Super/and Special Accounts
Management Screen," which contains detailed information for entering special account
planning data in CERCLIS consistent with current guidance. This measure is for
CERCLIS only, and will report the following:
2. Site name (from CERCLIS).
4. EPA ID (from CERCLIS).
5. Special Account name (Data transferred from CDW).
6. Special Account number (Data transferred from CDW).
7. Site Spill Identifier (SSID) number to which the Special Account is linked (from
CERCLIS).
8. Currently Available Special Account Balance Date As Of: (Data transferred from
CDW).
9. Date Last Reviewed: (Input field).
10. Special Account Funds Disbursed: (Data by Special Account fund code is
transferred from CDW).
11. Unliquidated Obligations in Special Accounts: (Data by Special Account fund
code is transferred from CDW)
12. "Currently Available Special Account Balance:" (Data by Special Account fund
code is transferred from CDW).
13. la., "Settlement Amount Promised To Work Parties" (Input field).
14. lb., "Funds Disbursed to Work Parties" (Data transferred from CDW).
15. lc., "Unliquidated Obligations To Be Disbursed To Work Parties" (Data
transferred from CDW).
16. "Subtotal 1" (Calculated field)
17. 2a., "Removal And Removal Support" (APR planned obligations entered in the
Site Financial Transaction Screen and depicted by fund code)
18. 2b., "Pipeline Operations" (APR planned obligations entered in the Site Financial
Transaction Screen and depicted by fund code)
19. 2c., "Remedial Action (include RV, RA, LR, and FE conducted through the
Remedial Program" (APR planned obligations entered in the Site Financial
Transaction Screen and depicted by fund code)
20. 2d., "Enforcement" (APR planned obligations entered in the Site Financial
Transaction Screen and depicted by fund code)
21. 2e., "Federal Facilities" (APR planned obligations entered in the Site Financial
Transaction Screen and depicted by fund code)
22. "Subtotal 2" (Calculated field)
23. "Remaining Funds Available by Fund Code" (Calculated field)
24. 3a., "Future Settlement Incentives" (Input field)
25. 3b., "Pre-Remedy Future Costs (extramural)" (Input field)
26. 3c., "Pre-Work Settlement Contingency" (Input field)
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27. 3d., "Intramural Use Costs" (Input field)
28. 3e., "Outyear Five Year Review (extramural)" (Input field)
29. 3f., "Remedy Optimization" (Input field)
30. 3g., "Protectiveness Contingencies" (Input field)
31. 3h., "Potential EPA Work Takeover" (Input field)
32. 3i., "Uses Specified By Existing Settlements" (Input field)
33. 3j., "Other Plans (describe in Further Comments section") (Input field)
34. 3k., "To Transfer to Other Special Accounts" (Input field)
35. 31., "To Be Transferred From Other Special Accounts" (Input field)
34. 3m., "Reclassification" (Input field for current fiscal year and following two fiscal
years)
35. 3n., "Transfer to the Fund" (Input field for current fiscal year and following two
fiscal years)
36. "Subtotal 3" (Calculated field)
37. "Total of All Planned And Reserved Uses" (Calculated field)
38. "Unassigned Remaining Balances" (Calculated field)
39. "Account Open Date" (Data transferred from CDW).
40. "Planned Account Closure Date" (Input field)
41. "Actual Account Closure Date" (Data transferred from CDW).
36. "Are There Limitations For Spending For This Account?" (Input field: "Yes" or
"No")
37. "If "Yes," then provide an explanation (Check all that apply): (Title)
"Media/Location/OU Limitation" (Input field, check the box)
38. "Dollar Limitation" (Input field, check the box)
39. "Activity Limitation" (Input field, check the box)
40. "Other, Explain Below." (Input field)
41. "Is The Explanation Enforcement Confidential?" (Input field)
42. "Any Further Comments On This Special Account?" (Input field)
43. "Is The Explanation Enforcement Confidential?" (Input field)
Definition of Accomplishment:
The goal of this measure is to have the regions plan the use of currently available Special
Account balances to the maximum extent possible for the site and for uses consistent with
the "Guidance on the Planning and Use of Special Account Funds" (September 28,
2010). The Unassigned Remaining Balance field automatically calculates available
special account balances that have not been planned for use in the account.
Changes in Definition:
Updated with new planning fields released December 2010 for special accounts.
Special Planning/Reporting Requirements:
March 20, 2012 IX-56 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
This is a program measure. ReportLink reports are available for this measure. Special
account data will be used to report annually to Congress, the Special Accounts Senior
Management Committee, other oversight bodies, and the public, on national special
account management.
IX.A.4 Institutional Controls and Site Revitalization
a. Institutional Controls
Definition:
Institutional Controls are "mechanisms/instruments," such as administrative and legal
controls, used to minimize potential human exposure to contamination and to protect the
integrity of Superfund response remedies.
- This SPIM measure should capture legal/enforcement efforts to ensure all
necessary Institutional Controls (ICs) are in place at all identified Superfund sites.
Institutional "Mechanisms/instruments" include: proprietary controls,
governmental controls, enforcement and permit tools with 1C components, and
informational devices.
Definition of Accomplishment:
The following information will be reported from the Institutional Controls Tracking
System (ICTS). The universe (for both measures) is Construction Complete Superfund
sites.
The number of 1C mechanisms/instruments to implement ICs required in a
Superfund document.
- The number of sites where all ICs required by an EPA document(s) are in place.
Changes in Definition:
This is a new program measure.
Special Planning/Reporting Requirements:
Institutional Control data will be extracted from the Institutional Controls Tracking
System (ICTS).
b. Site Revitalization
Definition:
This measure captures enforcement efforts to facilitate the cleanup and reuse of
previously used Superfund properties by addressing the liability concerns of non-liable
parties at those sites.
Definition of Accomplishment:
Enforcement accomplishments will be based on the number of Superfund sites that are
site-wide "ready for anticipated use" (RAU), and where an enforcement document(s) was
FY 12 SPIM IX-57 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
involved (see below) to address/resolve liability concerns. (The universe is identified as
Superfund sites for OSWER's Site-Wide 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.
Work agreements (removal) with bona fide prospective purchasers (BFPPs).
Contiguous Property Owner Agreements.
Contiguous Property Owner Assurance Letters.
Prospective Purchaser Agreements (PPAs).
Prospective Lessee Agreements (PLAs)
Changes in Definition:
This is a new program measure.
Special Planning/Reporting Requirements:
Specific sites, operable units, and acreage will be identified by OSWER's Cross-Program
Revitalization Measure (CPRM). New enforcement instrument types for work
agreements with bona fide prospective purchasers (BFPP), and bona fide prospective
lessees (BFPL) have been created in CERCLIS. Enforcement revitalization data will be
pulled from CERCLIS. Credit for enforcement accomplishments for the revitalization
measure will be based on the actual completion date of the enforcement instrument
(Comfort/Status letter, Windfall Lien Resolution Agreement, Work Agreement with
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 (actual completion date) are counted.
March 20, 2012 IX-58 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Chapter X: Community Involvement
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Chapter X: Community Involvement
Table of Contents
X.A INTRODUCTION X-l
X.B COMMUNITY INVOLVEMENT ACTIVITIES X-l
X.B.I Overview of FY12 Community Involvement Activities X-l
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-
Specific Advisory Boards (SSABs) X-l
b. Technical Assistance Grants (TAGs) X-2
c. Technical Assistance Services for Communities (TASC) X-3
X. C CIPIB Data Sponsor Responsibilities X-4
X.C.I National Program Requirements and the Data Sponsor Role X-4
a. Program Goals and Objectives X-4
b. Statutory Mandates X-4
c. Regulatory and Policy Requirements X-5
d. Superfund Reforms X-5
e. OSWER's Community Engagement Initiative (CEI) X-5
f. Reauthorization, Congressional Inquiries, and Audits X-6
X.C.2 CIPIB HQ and Regional Organization X-10
X.C.3 Program Monitoring and Reporting X-10
a. Data Quality X-10
b. Management Reports X-ll
c. Coding Guide X-ll
List of Exhibits
Exhibit X.I. Community Involvement Requirements X-6
Exhibit X.2. CIPIB HQ and Regional Roles and Responsibilities X-10
FY 12 SPIM X-i March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 X-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
CHAPTER X: COMMUNITY INVOLVEMENT
X.A INTRODUCTION
The goal of the Superfund community involvement is to advocate and strengthen early and
meaningful community participation during Superfund cleanups. Superfund community
involvement staffs at Headquarters (HQ) and in the regional offices 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.
The Superfund Community Involvement and Program Initiatives Branch (CIPIB) has several
initiatives and programs to carry out the above goals and to support EPA's Strategic Plan.
Specifically the community advisory groups (CAGs)/Restoration Advisory Boards (RABs)/Site-
Specific Advisory Boards (SSABs), Technical Assistance Grants (TAGs), Technical Assistance
Services for Communities (TASC) and the associated Superfund Job Training Initiative (Super
JTI) are the core components of CIPIB's work to support EPA's Strategic Plan.
X.B COMMUNITY INVOL VEMENT ACTIVITIES
X.B.I Overview of FY12 Community Involvement Activities
The Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant
Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant
Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior
Superfund managers to monitor the progress each region is making towards achieving the
Government Performance and Results Act (GPRA) targets and annual performance goals. Actual
GPRA objectives do not include any community involvement activities.
The following pages contain the definitions of the fiscal year (FY) 12 community
involvement activities: CAGs/RABs/SSABs, TAGs, TASC and the associated Super JTI.
a. Community Advisory Groups (CAGs)/Restoration Advisory Boards
(RABs)/Site-Specific Advisory Boards (SSABs)
Definition:
A CAG is an organized group of local stakeholders representing the diversity of
community interests for a particular Superfund site. CAGs serve as a point for
exchanging information among local community and EPA, the state regulatory agency,
and other agencies involved in Superfund cleanups. CAGs also provide a forum for
community members to present and discuss their needs and concerns related to the
Superfund decision-making process. CAGs may receive help from EPA, state, tribal and
FY12SPIM X-l March 20,2012
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OSWER Directive 9200.3-14-1G-W
local governments, and universities in areas such as meeting facilitation, technical
assistance, and administrative support.
SSABs are a forum for experts and concerned stakeholders to provide advice and
recommendations on the Department of Energy's (DOE) Environmental Management
strategic decisions. RABs provide a forum through which members of nearby
communities can provide input to Department of Defense's (DOD) environmental
restoration program.
RABs and SSABs complement other community involvement activities, such as public
meetings, mailings, and local information repositories.
Definition of Accomplishment:
CAG Established Date: The establishment of the Community Advisory Group is defined
as the date (Actual Start) of the first meaningful (not interest finding) Community
Advisory Group Meeting (Action Name = Community Advisory Group).
CAG Closeout Date: Date CAG (Action Name = Community Advisory Group) is
completed/closed out (Actual Complete) by EPA and the CAG.
RAB/SSAB Start (Established) Date: The actual start of the RAB/SSAB is defined as the
actual start date (Actual Start) of the initial RAB/SSAB information meeting (SubAction
Name = Site-Specific Advisory Board Meeting or SubAction Name = Restoration
Advisory Board Meeting).
RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the
Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date
the RAB is adjourned by DOD.
SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of
the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is
the date the SSAB is terminated by the Secretary of Energy.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
None.
b. Technical Assistance Grants (TAGs)
Definition:
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program to provide technical assistance to eligible communities. This technical
assistance allows communities to improve the decision making process at their sites.
March 20, 2012 X-2 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Definition of Accomplishment:
The start of the TAG (Action Name = Technical Assistance Grant) is the date the award
document is signed by the regional award official. There can only be one active TAG at a
site. For Superfund programmatic purposes, the completion of the TAG is the ending date
of the budget and project period as documented in the award document; as documented in
the one-year extension document; as documented in a time period extension document; or
as documented in other documents, such as a memo to the file prepared by the TAG
coordinator to document these decisions. The planned or actual completion date in the
Comprehensive Environmental Response, Compensation, and Liability Information
System (CERCLIS) (whichever is applicable) must be changed to reflect the date of the
most recent source document, e.g., award document, one-year extension document,
memo to the file, etc. These definitions may be applied to all historical CERCLIS data,
including data prior to FY 89, which is the first fiscal year TAG appeared in the SPIM. In
addition, the TAG completion definitions from previous years may also be used for
TAGs completed within those years.
Changes in Definition:
None.
Special Planning/Reporting Requirements:
Planned start and completion dates are entered in CERCLIS. Funds may be planned site-
or non-site specifically; however, they must be obligated site specifically. Funds for
TAGs at Federal Facility sites are contained in the Federal Facility budget and found in
the Federal Facility Site Allowance.
If more than one active TAG exists at a site, only the TAG with the earliest actual start
date with no completion date at the site will be counted.
c. Technical Assistance Services for Communities (TASC)
Definition:
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. Furthermore, the Super JTI is provided under the TASC
contract with the goal of helping communities develop job opportunities and partnerships
that remain long after a Superfund site is cleaned up. TASC is funded by an EPA contract
that was awarded in April 2007. This current contract will expire July 2012, and a new
contract is expected to be awarded on or before July 2012.
Definition of Accomplishment:
The start of the TASC is the date when a work assignment or task order has been issued
by the project officer. The date the work assignment or task order was issued should be
reported in CERCLIS as the actual start date (Actual Start) of the TASC (Action Name =
Technical Assistance Services for Communities).
Changes in Definition:
None.
FY 12 SPIM X-3 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Special Planning/Reporting Requirements:
The region must indicate on the Community Organizations Information screen that the
organization is a TASC recipient.
X. C CIPIB DA TA SPONSOR RESPONSIBILITIES
X.C.I National Program Requirements and the Data Sponsor Role
The following statutory, policy, and management requirements establish the mandate for
meeting the program requirements described in the rest of this chapter. A description of program
goals and objectives, statutory mandates, regulatory and policy requirements, as well as
subsequent program reforms and redirection in measuring program results are included in this
section.
a. Program Goals and Objectives
The goal of Superfund's community involvement program is to encourage
communications with affected citizens and participation in decision-making. Community
involvement is not a phase in Superfund, like a removal or remedial cleanup action, but
rather it is an integral part of the entire process that benefits both the public and EPA. The
program has three main objectives:
• Giving the public opportunities to comment on and provide input into technical
decisions that affect their lives;
• Informing the public of planned or ongoing activities and keeping them apprised
of the nature of the environmental problem, the threats it may pose, the responses
under consideration, and the progress that is being made; and
• Focusing and resolving conflict, which may be unavoidable in some
circumstances but can be constructive if it brings alternative viewpoints into the
open.
b. Statutory Mandates
Sections 113, 117, and 122 of Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA), as amended by the SARA, established seven principal
requirements for community involvement:
• Develop a locally available administrative record;
• Establish a locally available information repository;
• Notify the public of the release of the Remedial Investigation/Feasibility Study
(RI/FS) and Proposed Plan, and in the case of removal actions with a planning
period of at least six months, the engineering evaluation/cost analysis (EE/CA);
• Provide a public comment period on the RI/FS, Proposed Plan, and EE/CA;
• Hold a public meeting on the RI/FS and Proposed Plan and develop a meeting
transcript;
• Provide notice and comment period on the Administrative Order on Consent or
Consent Decree; and
March 20, 2012 X-4 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
• Develop a responsiveness summary on comments received on the RI/FS,
Proposed Plan and EE/CA.
c. Regulatory and Policy Requirements
Section 300 of the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP) and subsequent policy directives and guidance documents establish the
requirements for community involvement through every phase of Superfund's cleanup
process. These requirements are presented in Exhibit X. 1.
d. Superfund Reforms
Since 1993, EPA has launched three rounds of reforms to address criticisms raised by
affected parties and to improve the pace, cost and public participation aspects of the
program. Each set of reforms consists of various initiatives and pilots focusing on
changes to the program that can be implemented within the existing statutory framework.
The following are reforms related to the Community Involvement area:
• CAGs;
• TAGs;
• Community involvement in the enforcement process pilots;
• Pilot remedy selection by selected states and tribes;
• Pilot community based remedy selection;
• Superfund ombudsman in every region; and,
• Improved communication with Superfund stakeholders.
e. OSWER's Community Engagement Initiative (CEI)
In December 2009, EPA's OSWER introduced the Community Engagement Initiative
(CEI). The CEI provides an opportunity for OSWER to refocus and renew its vision for
community engagement, build on best practices, and apply them consistently in
OSWER's processes, including the Superfund program. CIPIB has assumed an integral
role in the CEI by leading four of the CEFs 16 action items. Details about CIPIB's work
under the four action items are below:
• Action 1: Decision-Making Processes and Guidance
o CIPIB updated the Community Involvement Plan (CIP) guidance.
o CIPIB is working to update its guidance on community involvement at the
Preliminary Assessment/Site Inspection stage.
o CIPIB is working to update the Superfund Community Involvement
Handbook.
• Action 7: EPA Technical Assistance Processes
o CIPIB is developing a technical assistance needs assessment document.
• Action 11: Risk Communication Processes and Comprehensive Education
Program
o CIPIB evaluated risk communication processes and methods.
o CIPIB developed a Risk Communication for Superfund course.
• Action 13: Delivery of Information
FY 12 SPIM X-5 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
o CIPIB evaluated existing Superfund repositories and is implementing
recommendations to establish electronic repositories unless communities
desire to have paper versions.
f. Reauthorization, Congressional Inquiries, and Audits
CERCLIS is the primary data source to support Reauthorization and Congressional
inquiries, as well as questions from the Inspector General (IG), and Government
Accountability Office (GAO). An example of inquiries specific to the community
involvement program area is the number and dollar amount of Technical Assistance
Grants awarded.
EXHIBIT X.l. COMMUNITY INVOLVEMENT REQUIREMENTS
Site Activity
V^';'::,'"'1'':-'.','.-."-"1.-"','.".'1','
Designate an Agency
Spokesperson
(Community
Involvement
Coordinator)
Administrative Record
SS3'-5M^^S«!S(f
Notice and Availability
of Administrative
Record
Public Comment
Period
Response to Significant
Comments
"* v " ;; P'5- "'^'fy''": •.* v* • ^i- '';?f
Community Interviews
Community
Involvement Plan
*(CIP)
Requirement(s)
'.SS1^':;^'1;^
The Agency must designate a spokesperson to inform the public
about the release and actions taken, to respond to questions, and to
notify immediately affected citizens, state and local officials and,
when appropriate, civil defense or emergency management
agencies.
The Agency must establish an administrative record and make the
administrative record available to the public at a central location at
or near the site, if applicable.
; > ;:; ; :-'.;., , .';;' > ; •' V ,..' , . J.,, ^y .:<;„ • ,V, ,'„.';: s.
Within 60 days of the start of on-site removal activity, the lead
agency must make the administrative record available to the public
and issue a notice of availability in a major local newspaper of
general circulation.
The Agency must provide a public comment period, if appropriate,
of not less than 30 days from the time the administrative record is
made available for public inspection.
The Agency must prepare a written response to significant
comments.
!' I "•' ,-Y, - V .»'.»' .,»' , v , v , v , v , v , v , v ;
By the end of the 120-day period, the Agency must conduct
interviews with local officials, public interest groups, or other
interested parties to determine their concerns and information
needs, and to learn how citizens would like to be involved in the
Superfund process.
The Agency must prepare a CIP, based on community interviews
and other relevant information that specifies the community
involvement/outreach activities the Agency plans to undertake
during the response. The Agency must complete this CIP within
120 days of the start of on-site removal activity.
Citation (Source)
(. ^. ..^ . ^^ ^. ; ti.^ .. v.^..
"•',' "S,-; ^V'V'/' •'!•*'•!.':•'''!
NCP, section
300.415(m)(l)
SARA section
113(k); NCP section
300.820
;• .^'-'-vyv;,-— \7\7\--
NCP sections
300.415(m)(2)(I)and
300.820(b)(l)
NCP section
300.415(m)(2)(ii)
NCP
section300.415(m)(2)
(iii)
?V l' '.^V'.'^.'vV
NCP section
300.415(m)(3)(I)
NCP section
300.415(m)(3)(ii)
March 20, 2012
X-6
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Site Activity
Information
Repository
Establishment and
Notification/Notice of
Availability of
Administrative Record
Requirement^)
Within 120 days of the start of on-site removal activity, the
Agency must establish at least one information repository at or
near the location of removal actions that contains items available
for public inspection and copying. The Agency must inform the
public of the establishment of the information repository and
provide notice of the availability of the administrative record in the
repository.
Community Interviews
and Community
Involvement Plan
*(CBP)
Information
Repository
Establishment and
Notification/Notice of
Availability of
Administrative Record
The Agency must follow the same procedures as outlined in the
previous section, except that staff must conduct interviews and
prepare a CIP prior to completion of the EE/CA
The Agency must follow the same procedures as outlined in the
previous section, except that staff must establish the information
repository and make the administrative record available no later
than the signing of the EE/CA approval memorandum
Citation (Source)
NCP section
300.415(m)(3)(iii)
?'''*vii'',' '''*„ -ii"''i *")„.*•" '{"'
NCP section
300.415(m)(4)(I)
NCP section
300.415(m)(4)(I)
• ;•• •..".- .,, '.-'. I'1,.1, ;VW*
Notice of Availability/
Description of EE/CA
Public Comment
Period
Responsiveness
Summary
The Agency must publish a notice of availability and a brief
description of the EE/CA in a major local newspaper of general
circulation.
Upon completion of the EE/CA, the Agency must provide at least
30 days for the submission of written and oral comments. The
Agency must extend this comment period at least 15 days upon
timely request.
The Agency must prepare a written response to significant
comments and make this responsiveness summary available to the
public in the information repository.
NCP section
300.415(m)(4)(ii)
NCP section
300.415(m)(4)(iii)
NCP section
300.415(m)(iv)
:d4s';w!''{;ihAl^),f::;,^i-i;€v:l;^ >.'*.<".-', ''.'.•, •".£.'•.' ,'.?",V1;- -f-'.'l' ',*!l*l '„*' ' '.{ '„*' ' '.{ '„*' ' '.{ '„*' ' '.{ '„*' ' *l '„*' ' '.{ '„*' ' A:.' V'' . ' '"*'«.. ^' .^-"."-i^ -.'
flrior to RI
Community Interviews
Community
Involvement Plan
*(CBP)
Information
Repository
Technical Assistance
Grant (TAG)
Notification
The Agency must hold on-site discussions with local officials and
community members to assess their concerns and determine
appropriate community involvement activities.
The Agency must develop and approve a complete CIP based on
community interviews before RI field activities start.
The Agency must establish an information repository to contain
items developed, received, published, or made available pursuant
to SARA section 1 17. The Agency must make these items
available for public inspection and copying and inform interested
citizens of the establishment of the information repository.
The Agency must inform the public of the availability of TAGs
and include in the information repository material that describes
the TAG application process.
NCP section
300.430(c)(2)(I)
NCP section
300.430(c)(2)(ii)(A-
Q
SARA section
117(d); NCP section
300.430(c)(2)(iii)
NCP section
300.430(c)(2)(iv)
Upon Commencement ofRI
FY 12 SPIM
X-7
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
Site Activity
Administrative Record
Administrative Record
Notification
Requirement^)
The Agency must establish an administrative record. The Agency
must consider the participation of interested persons when
developing the administrative record.
The Agency must publish a notice of availability of the
administrative record in a major local newspaper of general
circulation.
Citation (Source)
SARA section
113(k); NCP section
300.815
NCP section 300. 815
€£'*S^ \i ;v.':.. A.'1',^.-
RI/FS and Proposed
Plan Notification and
Analysis
Public Comment
Period on RI/FS and
Proposed Plan
Public Meeting
Meeting Transcript
Responsiveness
Summary
?C y.liAKv.^ri'.'f'r! 'i}*s.i.*2;?; ,
Discussion of
Significant Changes
Revised Proposed Plan
and Public Comment
The Agency must publish a notice of the availability of the RI/FS
and proposed plan, including a brief summary of the proposed
plan, in a major local newspaper of general circulation. The notice
also must announce a comment period.
The Agency must provide at least 30 days for the submission of
written and oral comment on the RI/FS and proposed plan. This
comment period will be extended by a minimum of 30 additional
days upon timely request.
The Agency must provide an opportunity for a public meeting to
be held at or near the site during the comment period.
The Agency must prepare a meeting transcript and make it
available to the public.
The Agency must prepare a response to significant comments,
criticisms, and new data submitted on the proposed plan and
RI/FS, and ensure that this response document accompanies the
Record of Decision (ROD).
' '!' / -;v ' ^ -\ ;', ,' , ''' ' V :^\\ /u" i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs i Vs * i
Upon determination that such changes could be reasonably
anticipated by the public, the Agency must include in the ROD a
discussion of significant changes and the reasons for such changes.
Upon determination that such changes could not have been
reasonably anticipated by the public, the Agency must issue a
revised proposed plan that includes a discussion of the significant
changes and the reasons for such changes. The Agency must seek
additional public comment on the revised proposed plan.
SARA section
117(a); NCP section
300.430(f)(3)(I)(A)
SARA section
117(a)(2);NCP
section
300.430(f)(3)(c)
SARA sections 113
andl!7(a)(2);NCP
section
300.430(f)(3)(I)(E)
SARA section 122(1);
NCP section
300.430(c)(5)(I)
SARA sections 113
andl!7(b);NCP
section
300.430(f)(3)(I)(F)
',/, ;, ',;'„;• ,,.,"',- ".
NCP section
300.430(f)(3)(ii)(A)
NCP section
300.430(f)(3)(ii)(B)
•^'W^.ft'b:'- ,';;.' ,', ' ' ',„' ''!'!'!'!'!'!'!'!'!'!'!'!'!'!'!'!' Y-o,,/'',"' •'",'. ' -' /',,•;>
ROD Availability and
Notification
Revision of the CIP
Site Activity
^S!SS?d!?ZSS-V'
The Agency must make the ROD available for public inspection
and copying at or near the site prior to the commencement of any
remedial action. Also, the Agency must publish a notice of the
ROD's availability in a major local newspaper of general
circulation. The notice must state the basis and purpose of the
selected action.
Prior to the remedial design, the Agency should revise the CIP, if
necessary, to reflect community concern, as discovered during
interviews and other activities, that pertains to the remedial design
and construction phase.
;' '.; ' ;.' "Sjf ,"•' "i, »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i »"i •
!\ ^ ' ( "' ''I i?« I ' ,}\f"l ' \.| 'it '\ '1 j ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ **
NCP section
300.430(f)(6)
NCP section
300.435(c)(l)
^iv:«'' ;V;"';x/^';J\'""':'
Differs significantly from remedy in terms of scope, performance, or costs:
March 20, 2012
X-8
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Site Activity
Notice and Availability
of Explanation of
Significant Differences
Requirement(s)
The Agency must publish a notice that briefly summarizes the
explanation of significant differences and the reasons for such
differences in a major local newspaper, and make the explanation
of significant differences and supporting information available to
the public in the administrative record and information repository.
Citation (Source)
NCP section
300.435(c)(2)(I)(A)
and(B)
Fundamentally alters the basic features of the selected remedy with respect to scope, performance, or cost;
Notice of
Availability/Brief
Description of
Proposed ROD
Amendment
Public Comment
Period, Public
Meeting, Meeting
Transcript, and
Responsiveness
Summary
Notice and Availability
of Amended ROD
i'lI^C^lilPv^JfS-^,'
Fact Sheet and Public
Briefing
The Agency must propose an amendment to the ROD and issue a
notice of availability and a brief description of the proposed
amendment in a major local newspaper of general circulation.
The Agency must follow the same procedures as that required for
completion of the FS and proposed plan.
The Agency must publish a notice of availability of the amended
ROD in a major local newspaper and make the amended ROD and
supporting information available for public inspection and copying
in the administrative record and information repository prior to
commencement of the remedial action affected by the amendment.
NCP section
300.435(c)(2)(ii)(A)
NCP section
300.435(c)(2)(ii)(B)-
(F)
NCP section
300.435(c)(2)(ii)(G)
and(H)
1 * ,, ' ,'i "/ V I' V I' V I' V I' V I' V I' V !
V1v ','",'1 '"i, ,Y j '^y^/^j^^V^^^^'V^'i'^'i'^'i'^'i'^'i'^'i'^'i'^'i'^'i'^'i'^'i'^'i'"1 '•»"'••' , , ' ;; •'*.,.•' ',.' i ' ,, ^
Upon completion of the final engineering design, the Agency must
issue a fact sheet and provide a public briefing, as appropriate,
prior to beginning remedial action.
NCP section
300.435(c)(3)
Sfete ' , ". V," •" -." -." -." -." •/• •/• •/• •/• •/• •/• -." •/• •/• •/• •/• V-% .'••' '-..'•. '.•:
Publication of
Proposed Rule and
Public Comment
Period
Publication of Final
Rule and Response to
Comments
EPA must publish the proposed rule in the Federal Register and
seek comments through a public comment period.
EPA must publish the final rule in the Federal Register and
respond to significant comments and significant new data
submitted during the public comment period.
W£i?^fi'^£¥s$&^$$2\''',,' '!',» :.'.„' ' ,' ' .' ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; ' ; '•
Public Notice and
Public Comment
Period
Public Access to
Information
Response to Significant
Comments
Availability of Final
Deletion Package
EPA is required to publish a notice of intent to delete in the
Federal Register and provide notice of the availability of this
announcement in a major local newspaper. EPA must also provide
a comment period of at least 30 days on the proposed deletion.
Copies of information supporting the proposed deletion must be
placed in the information repository for public inspection and
copying.
EPA must respond to each significant comment and any significant
new data submitted during the comment period and include these
responses in the final deletion package.
The final deletion package must be placed in the local information
repository once the notice of final deletion has been published in
the Federal Register.
NCP section
300.425(d)(5)(I)
NCP section
300.425(d)(5)(ii)
f -);;V^l>yi VV^
NCP section
300.425(e)(4)(I) and
(ii)
NCP section
300.425(e)(4)(iii)
NCP section
300.425(e)(4)(iv)
NCP section
300.425(e)(5)
FY 12 SPIM
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X.C.2 CIPIB HQ and Regional Organization
To meet these national program requirements, specific roles and responsibilities have
been identified for the HQ and regional staff that work in the community involvement program
area. The following table summarizes each of these positions along with their responsibilities.
EXHIBIT X.2. CIPIB HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Title
CIPIB (HQ)
Director, CIPIB (HQ)
CIPIB Staff (HQ) and
Community Involvement
Managers (CIMs) (regions)
CIMs, Remedial Project
Managers (RPMs) and On-
Scene Coordinators (OSCs)
(regions)
Community Involvement
Coordinators (CICs) (regions)
Information Management
Coordinator (IMC) (regions)
Budget Coordinator (regions)
Responsibilities
Facilitate CERCLIS staying closely aligned with the Superfund program,
including developing and updating guidance that requires submission of
these data for national reporting needs, maintaining and updating data
element definitions, and developing and implementing the process of
gathering, reviewing and entering the data into CERCLIS.
Provide a synergy to create useful program policy and guidance to help the
regions achieve program goals. Act as the central point of contact for the
regions and 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 CERCLIS to
support regional reporting needs and commitments to HQ.
As the data owner, provide current, complete, and consistent data into
CERCLIS, as necessary, to meet real-time reporting requirements. Review
data that are provided in hard copy or electronically submitted.
Coordinate with the CICs to ensure all data necessary to support reporting
requirements are in CERCLIS on a real-time basis.
Ensure all data necessary to support the regional budget are in CERCLIS
prior to specified calendar events.
X.C.3 Program Monitoring and Reporting
Each reporting and associated data acquisition requirement specific to community
involvement is discussed below.
The detail includes: data quality objectives, data needs, as well as reports and associated
coding guidance.
a. Data Quality
One of the goals of the community involvement data sponsor is to ensure data quality
which requires data to be correctly entered into CERCLIS. Although the methodology of
acquiring and reviewing data may change over time, both will contain a quality assurance
(QA) process to ensure data quality.
Current, complete, and consistent data in CERCLIS will meet the community
involvement data sponsor goals and objectives, as well as support real-time reporting.
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The following defines what the community involvement data sponsor views as current,
complete, and consistent data:
• Current - Data need to be entered as actions occur.
• Complete - For the particular data element, all needed information is provided.
• Consistent - Data should be consistent nationally. Also, within CERCLIS, data
should be entered consistent with the data element definitions. The data entered
should be entered using the same standards across all regional offices/HQ.
b. Management Reports
SCAP-04 (TAGs)
CERCLIS provides the data necessary to support ad hoc requests as they relate to
Reauthorization, GAO, and IG.
c. Coding Guide
The coding guidance for SCAP measures will be reflected in the Coding Guide.
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Superfund Program Implementation Manual FY 12
Chapter XI: Information Systems
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Chapter XI: Information Systems
Table of Contents
XI.A Information Systems XI-1
XI.A.l Purpose of CERCLIS and SEMS XI-1
a. Site Assessment XI-2
b. Remedy Selection XI-2
c. Federal Facilities XI-3
d. Community Involvement XI-3
e. Removal XI-4
f. Enforcement XI-4
g. Project Management XI-5
h. Program Management XI-6
XI.A.2 Superfund Data Architecture XI-7
XI.A.3 Reporting Superfund Information XI-8
a. Regional Users XI-8
XI.A.4 Data Owners/Sponsorship XI-8
List of Exhibits
Exhibit XI.l. SEMS-Solution Architecture XI-7
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CHAPTER XI: INFORMATION SYSTEMS
XI.A INFORMATION SYSTEMS
The Office of Superfund Remediation and Technology Innovation's (OSRTI)
information systems portfolio has been established to ensure that all information technology (IT)
investments align with the EPA mission, 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. The Superfund Document
Management System (SDMS) and the Institutional Controls Tracking System (ICTS) have
already been integrated onto the Superfund Enterprise Management System (SEMS) platform.
The Comprehensive Environmental Response, Compensation and Liability Information System
(CERCLIS) application is now being reconstructed into that integration framework. The
production delivery date of the fully operational SEMS is September 30, 2013.
Superfund Enterprise Management System Purpose:
• Designed to integrate the successful performance areas of the Office of Solid Waste and
Emergency Response's (OSWER) primary Superfund data collections, reporting and
tracking systems into a single system
• Will meet immediate and strategic Superfund needs
• Official source of primary Superfund site activity data, records, and support
documentation for internal and external stakeholders
• Improve operational effectiveness, reduce costs, streamline business processes, and
enhance information management capabilities
• Adaptive to meet ever-changing environmental, federal and Agency needs yet tailored to
meet the unique requirements of the Superfund program
XI.A.1 Purpose of CERCLIS and SEMS
CERCLIS is the official repository of nationally defined and required data for planning,
tracking, and describing all activities at sites and removal incidents. SEMS is the official
repository of Superfund core documents (See Chapter XII, titled Records and Information
Management), and will incorporate the CERCLIS functionalities upon final delivery of the full
working system currently scheduled for September 10, 2013.
OSRTI has undertaken an initiative to integrate several program legacy systems (SDMS &
ICTS) and re-engineering of CERCLIS into a single system known as the SEMS. SEMS will
integrate the successful performance areas of the primary Superfund IT systems into a single
system that will meet immediate and strategic Superfund needs. SEMS functionalities will be
comprised of a synthesis of the major functional areas of the legacy systems.
Once fully implemented SEMS will be the official source of primary Superfund site activity
data, records, and support documentation.
The following categories of site/incident activity have national definitions and national
requirements:
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• Site Assessment;
• Remedy Selection;
• Federal Facilities;
• Community Involvement;
• Removal;
• Enforcement;
• Project Management; and
• Program Management.
a. Site Assessment
To support the site assessment process, CERCLIS provides the following capability,
which will be provided in the Site Information portion of SEMS:
Enter, store, and retrieve basic site discovery information, including site
identification (name and location), narrative description, contaminants, and site
setting;
- Identify the Site Assessment Manager (SAM) and other site contacts;
- Distinguish between removal program site initiation and site assessment program
discoveries;
- Enter, store, and retrieve site assessment decision information, including
qualifiers and text rationale and referrals to states or other program areas;
- Manage site assessment schedules through the Project Management module;
- Generate site assessment reports and perform ad hoc queries on basic site level
and decision information; and
- Create Headquarters (HQ) site assessment reports.
b. Remedy Selection
To support the remedy selection process, CERCLIS provides the following capability.
Once implemented these features will be provided in the Site Assessment portion of
SEMS:
Add, edit, and delete Actions and SubActions in the site schedule and add
operable units (OUs);
Add, edit, and review an Action with its associated operable unit, enter or edit
actual and planned start dates, and actual and planned completion dates;
View and update site information, including media, contaminants, concentrations,
and Applicable or Relevant and Appropriate Requirements (ARARs) that possibly
apply to the contaminant;
- Review Record of Decision (ROD) contaminants of concern (COC) data and
relevant standards, and cleanup levels for the contaminants;
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View site descriptions which can be used to aid in the development of remedial
documents, such as proposed plans and RODs;
View and compare data among pipeline actions for site and OU contaminants,
contaminated media, site and OU risk/threats, and selected remedy information;
Identify program initiative sites, such as presumptive remedy sites;
Perform queries to identify like sites;
Review selected or amended remedies at sites with RODs, ROD amendments, and
Explanation of Significant Differences (ESDs) including remedial response
actions associated with the selected remedy;
- Review ROD abstracts; and
Create HQ remedy reports.
c. Federal Facilities
To support Federal Facilities, CERCLIS provides the following capability:
Track the proper relationship between Federal Facilities, Federal Facility sites,
parcels and OUs;
Add, update, and delete Actions and SubActions and associated information;
View, edit, and track information pertaining to dispute resolutions such as the
issue triggering dispute, compliance status, and dispute type (i.e., informal or
formal);
- Record, display, and view information pertaining to Interagency
Agreement/Federal Facility Agreement (IA/FFA) negotiations and agreements;
Record, display, and update information pertaining to Base Realignment and
Closure (BRAC) sites, including BRAC types, Fast Track sites, Environmental
Baseline Survey (EBS) information, detailed parcel information, Finding of
Suitability to Lease (FOSL) information, and Finding of Suitability to Transfer
(FOST) information;
Record key community involvement and outreach activities at Federal Facilities;
Display listings of all IA milestones to be reviewed within a user specified time
frame;
- Record and display a site abstract;
- Record and display Federal Facility Docket information;
- Provide the capability to track penalty and Supplemental Environmental Project
(SEP) information;
- Provide access to all modules in CERCLIS (e.g., Removal, Remedy Selection,
etc.) to view all technical and administrative data pertaining to a site; and
Provide HQ Federal Facility reports.
d. Community Involvement
To support the community involvement process, CERCLIS provides the following
capability:
FY12SPIM XI-3 March 20,2012
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View Community Involvement Schedule information;
- Enter and view the address of site information repositories and identify which
repositories contain Administrative Records; and
Create HQ community involvement reports.
e. Removal
To support the removal process, CERCLIS provides the following capability:
Add, update, and delete Removal Actions and SubActions and associated
information;
- Document the following information: On-Scene Coordinators (OSC) assigned to
the removal, EPA branch that is addressing the removal, site operable unit name,
category of removal and outcome of the removal action, attorney assigned to the
removal, planning status, removal media, contaminants data and risk, removal
action implemented, and site funding rank;
Track Action Memo types, support the Action Memo approval process, and
capture response action scientific and location information;
- Develop removal fact sheets;
Assist in the management of removal budgets for various contract vehicles and
other EPA costs;
Enter and store regional removal assessment detail description information
including date assigned to OSC, where the site was referred from, referral date,
response date, site visit date, media, flags for sampling performed, eligibility for
removal, referred to remedial program office, and returned to state;
Generate regional cost/financial management reports; and
Create HQ removal reports.
f. Enforcement
To support the enforcement process, CERCLIS provides the following capability:
Add, update, and delete Enforcement Actions and SubActions and associated
information;
Identify site contacts, including RPMs and attorneys;
Capture and retrieve information about Potentially Responsible Parties (PRPs)
and other parties and associate parties with all sites and enforcement actions with
which they have been involved;
Document a party's involvement type with a site;
Generate party-related summary statistics;
Group parties for enforcement actions or correspondence mailings;
Track party compliance with letters and settlement terms;
Track liens against a party's property;
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OSWER Directive 9200.3-14-1G-W
- Document the issuance of Comfort/Status letters, the parties they were sent to,
and the intended future use of the property;
Track the assessment of Prospective Purchaser Agreements (PPAs);
Track negotiations, including type of response actions sought, cost recovery
amount sought, orphan share compensation offered and outcome;
Track Alternative Dispute Resolution (ADR) usage, identifying sites where ADR
was used, the outcome of the ADR, and the mediator used;
Track settlements, type and estimated value of response actions to be performed
by the parties, cost recovery funds achieved, response actions that are being
reimbursed, cash out funds achieved, amount of orphan share that was actually
compensated, amount of funds to be disbursed from a special account or
deposited into a special account as part of the settlement, and whether the
settlement was with de minimis or non-exempt de micromis parties;
- Log case files, including EPA Docket and 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 potential Statute of Limitations (SOLs);
View costs written off and the rationale behind a decision not to pursue cost
recovery;
Track the timely issuance of oversight bills or accounting of oversight costs
incurred;
- Record the planned bills, actual bills, refunds/payments, and collections; and
Create HQ enforcement reports.
g. Project Management
To support the site management process, CERCLIS provides the following capability:
Maintain schedules for all site activities;
Identify RPMs and other site contacts;
Add and delete Actions, SubActions, and new operable units to/from the
schedule;
View and edit action-specific information including operable unit, sequence
number (system generated), action lead, planned and actual start/complete dates,
and planned start/complete fiscal year/quarter (FY/Q) (system generated);
View the targeted FY/Q for actions defined as regional targets;
Define predecessor and/or successor associations among actions;
Reorder actions on the schedule and create what-if scenarios by cascading
planned dates (automatically updating subsequent dates based on a schedule
change);
Add and view action-specific comments;
FY12SPIM XI-5 March 20,2012
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OSWER Directive 9200.3-14-1G-W
Generate reports such as a Site Summary report, a Management Review report,
and a Target Comparison report, and create/print weekly notes to keep managers
apprised of hot issues;
Access Smartscreens, which provide online Superfund Comprehensive
Accomplishment Plan (SCAP) definitions and apply SCAP logic during data
entry and updates or edits;
- Enter or copy technical data through Smartscreens (e.g., remedy, media type).
Data can be copied to subsequent actions to avoid duplicate data entry;
View financial data by site, action, or financial transaction and track Superfund
State Contracts (SSC) cost share payment and reimbursable account information;
Generate like dates for actions that, by definition, have the same actual start or
actual complete date;
Track Five-Year Reviews consistently for Fund, Enforcement and Federal Facility
lead sites;
Track post-construction activities;
Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes
and financial transactions before they become official and notify Remedial Project
Managers (RPMs) if any of their sites have been reviewed; and
Generate HQ project management reports.
h. Program Management
To support the program management process, CERCLIS provides the following
capability:
View allowance and budget information for a comparison of regional spending
plans to the negotiated budget for each allowance;
Record and access all site and non-site financial details associated with an
allowance;
Track allowance change requests by viewing existing change request data used to
issue/reprogram an allowance and generate a new change request online;
View aggregate site planning data to support program planning and reporting
measures and access data on a national (at 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;
Identify the funding priority for Remedial Actions (RAs) and removals based on
factors such as the status of PRP negotiations, whether the Remedial Design (RD)
has reached 95% complete, and estimated cost;
Associate sites with a specific national and/or regional priority;
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OSWER Directive 9200.3-14-1G-W
Enter Environmental Indicator (El) and Land Reuse data at the site/action level,
and view summary information for Indicators identified in Chapter VII, 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.
EXHIBIT XI.1. SEMS-SOLUTION ARCHITECTURE
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XI.A.2 Superfund Data Architecture
The CERCLIS data architecture is comprised of various components. The goal of this
architecture is to allow regions as the data owners, to enter data and ensure that the national
database contains all regional data.
Exhibit XI. 1 outlines the relationship among various components of the Superfund data
architecture. Each region enters their information into the CERCLIS database.
Regular exports of datasets from CERCLIS include:
• CERCLIS: This dataset contains active sites and related program management
information tracked through the SCAP process.
• 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.
Others as needed: Additional datasets can be created to meet additional program needs
and special initiatives as they are defined. For example, a "Pre-Discovery" dataset could be
created to track information on sites prior to beginning the listing process.
FY 12 SPIM
XI-7
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In addition, each day, financial data from Compass are transferred via Agency
Information Management to the regional CERCLIS databases.
XI.A.3 Reporting Superfund Information
The CERCLIS Reports Module is accessible to users, and contains nationally defined
reports. The reports are categorized by the following program areas: Site Assessment, Risk
Assessment, Remedy Selection, Federal Facilities, Community Involvement, Removal,
Enforcement, Project Management, and Program Management. 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.
a. Regional Users
The data entry application used by regional staff with Superfund program responsibilities
is referred to as CERCLIS. CERCLIS allows data owners to enter and manage their own
data, however, regions have established and published in the Data Entry Control plans
(variously called Data Entry Quality Plans and Data Quality Plans) specific data
management procedures that they have implemented (e.g., centralized or decentralized
approach to data management). These plans are collected annually for review by
OSRTFs Information Management Branch (1MB). The information collected via the
application is for either unrestricted use by all parties or for restricted access (that portion
of the information identified as sensitive and not releasable under FOIA).
XI.A.4 Data Owners/Sponsorship
HQ managers take an active role in improving the quality of data stored in CERCLIS by
acting as data sponsors. Data sponsorship promotes consistency and communication across the
Superfund program. 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
CERCLIS. 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 normally
site managers that need the data in support of site work. Data owners follow the guidance they
receive from data sponsors, as they acquire and submit data.
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 FY 12
Chapter XII: Records and Information Management
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Chapter XII: Superfund Documents
Table of Contents
XII.A Introduction XII-1
XII.B Record Definition XII-1
XII.C Records XII-1
XII.D Superfund Enterprise Management System (SEMS) XII-2
XII.E Applicability to Superfund XII-2
XII.F Applicability of the Freedom of Information Act. XII-7
XII.F.l Reports Releasable under Freedom of Information Act (FOIA) XII-7
XII.F.2 Sensitive Information Not Releasable under FOIA XII-8
XII.F.3 Ad Hoc Reporting XII-11
XII.F.4 Accessing FOIA Information XII-11
List of Exhibits
Exhibit XII. 1. Superfund CORE Documents XII-3
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CHAPTER XII: SUPERFUND DOCUMENTS
XII. A INTRODUCTION
Within the Office of Superfund Remediation and Technology Innovation (OSRTI),
Records and Information Management ensures compliance with federal recordkeeping
regulations, by minimizing the cost and effort traditionally associated with recordkeeping as
OSRTI moves toward the reduction of paper records in the Office. The central component in
ensuring this compliance is the Superfund Enterprise Management System (SEMS) Central
Repository, 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 response to litigation and audits, OSRTI also
reinforces the mission of Superfund and of the EPA.
XILBRECORD DEFINITION
Includes all books, papers, maps, photographs, machine-readable materials, or other
documentary materials, regardless of physical form or characteristics, made or received by an
agency of the United States Government under federal law or in connection with the transaction
of public business and preserved or appropriate for preservation by that agency or its legitimate
successor as evidence of the organization, functions, policies, decisions, procedures, operations,
or other activities of the Government or because of the informational value of data in them.
Library and Museum material made or acquired and preserved solely for reference or exhibition
purposes, extra copies of documents preserved only for convenience of reference and stocks of
publications and of processed documents are not included. (44 U.S.C. 3301) (Source: 32 CFR
2001.92-j)
XII. CRECORDS
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.
The Federal Records Act also 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
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• 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
Records serve as the Agency's historical data; they are of critical importance in ensuring
that the organization continues to function effectively and efficiently.
Reference: The Office of Environmental Information (OEI) Records Management Policy
that was issued by the EPA Chief Information Officer, Pursuant to Delegation 1-19, dated
7/07/2005.
XILDSUPERFUND ENTERPRISE MANAGEMENT SYSTEM (SEMS)
SEMS is a key EPA asset used to meet responsibilities of federal agencies, Congress, and
the Public in Superfund Site Remediation and cleanup, and emergency response support.
CERCLIS is the system of record and official repository of Superfund programmatic data
including site progress and program measures. Once CERCLIS functions are incorporated into
SEMS in 2013, SEMS will become the system of records for site data. SEMS is the OSRTI
program's official repository of digital records. System updates that will be implemented during
FY12 will make SEMS the program's official recordkeeping system by the end of the fiscal year.
Record types that will form the core collections in SEMS will be progressively defined and
mandated for entry into the system. SEMS incorporated the Superfund Document Management
System (SDMS) - now referred to as the SEMS Document Management System - in 2009. The
integration of the SDMS capabilities into SEMS established a document repository of 140
million pages of Superfund records and documents at the time SEMS incorporated the
application. SEMS is an electronic repository of Superfund documents routinely used to
disseminate records in response to FOIA requests, Administrative Records, and for litigation
support. These records provide a rich institutional "memory" of the highest importance to the
Superfund Program. SEMS advances e-Government by providing reliable and easily accessible
documents to citizens for making informed decisions in their communities. Beneficiaries of
content exported from SEMS include ordinary citizens, states, tribes, Congress, and the business
community. SEMS specifically supports Goal 3: Land Preservation and Restoration and Goal 5:
Compliance Environmental Stewardship of the Agency's
plan
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.
XILE APPLICABILITY TO SUPERFUND
In order to support the documentation/records collection requirements of the Superfund
Program a regional emphasis had been to standardize the records that were collected and stored
March 20, 2012 XII-2 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
in SDMS. Historically, the regions selected the records to place into SDMS according to regional
priorities, which often differ substantially from one region to the next. A "Core Document" set
was established in 1998 by the regions. The foundation of this version derived from the 2010
policy guideline for establishing National Priorities List (NPL) site Administrative Records:
Revised Guidance on Administrative Records for Selecting Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) Response Actions
revj)df). As a consequence, the original SDMS Core Documents were predominantly pre-
remedial action and left out key records that are produced later in the site management life cycle.
The SDMS Core Document was updated as the Superfund Core Document with an expectation
that regions would place these documents into SEMS, across the life cycle.
The collection has been reviewed and commented upon by regional Records Managers.
This collection of records should be the core of documents/records included in the
Comprehensive Environmental Response, Compensation and Liability Information System
(CERCLIS) and SEMS.
EXHIBIT XII.1. SUPERFUND CORE DOCUMENTS
Document
Core
Document
Source
Document
(CERCLIS
or
Institutional
Controls)*
Action Source Corresponds To
SOURCE (Based on FY 2008 Definitions) and/or CORE
104E
INFORMATION
REQUEST
ACTION
MEMORANDUM
ADMINISTRATIVE
ORDER ON
CONSENT
BANKRUPTCY
REFERRAL/PROOF
OF CLAIM
COMFORT/STATUS
LETTER
COMMUNITY
INVOLVEMENT
PLAN
C
C
C
C
CERCLIS
CERCLIS
CERCLIS
Institutional
Controls
CERCLIS
CERCLIS
CERCLIS
ISSUE REQ LTTRS (104e) [1C] - Act Comp
Approval of Action Memo [AM]- Act Comp
ENGINEERING EVAL/COST ANALYSIS (EE) - Act
Comp
ADMIN ORDER ON CONSENT [AC] - Act Comp.
PRP FS [NK] - Act Start
PRP RD [BE] - Act Start
PRP REMOVAL [BB] - Act Start
PRP RI [NA] - Act Start
PRP RI/FS [BD] - Act Start
CLAIM IN BANKRUPTCY PROCEEDING [CB] - Act
Start
COMFORT/STATUS LETTER [UB] - Act Comp
Community Relations Plan [CX] - Act Comp
Rev Community Relations Plan [CE] - Act Comp
FY 12 SPIM
XII-3
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OSWER Directive 9200.3-14-1G-W
Document
CONTRACT
MODIFICATION
CONSENT DECREE
CONSENT DECREE
TRANSMITTAL
MEMO
DEMAND LETTER
EE/CA START
APPROVAL
EXPLANATION OF
SIGNIFICANT
DIFFERENCES
FCOR
FEDERAL
REGISTER OF
NOTICE OF
DELETION
FEDERAL
REGISTER OF
NOTICE OF
INTENT TO
DELETE
FINAL POLREP
(date of
demobilization)
Core
Document
C
C
C
C
C
C
C
Source
Document
(CERCLIS
or
Institutional
Control*)*
CERCLIS
CERCLIS
Institutional
Controls
CERCLIS
CERCLIS
CERCLIS
CERCLIS
Institutional
Controls
CERCLIS
Institutional
Controls
CERCLIS
Institutional
Controls
CERCLIS
Institutional
Controls
CERCLIS
Action Source Correiponds To
COMBINED RI/FS [CO] - Act Start
FEASIBILITY STUDY [FS] - Act Start
NEGOTIATION (GENERIC) [NG] - Act Comp
RD/RA NEGOTIATIONS [AN] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMEDIAL DESIGN [RD] - Act Start
REMEDIAL INVESTIGATION [RI] - Act Start
REMOVAL NEGOTIATIONS [RN] - Act Comp
TECHNICAL ASSISTANCE [TA] - Act Start
Award of Contract [AG] - Act Comp
CONSENT DECREE [CD] - Act Comp
SECTION 106 107 LITIGATION [CL] - Act Comp
SECTION 106 LITIGATION [SX] - Act Comp
SECTION 107 LITIGATION [SV] - Act Comp
CONSENT DECREE [CD] - Act Start
DEMAND LETTERS ISSUED PL] - Act Comp
ENGINEERING EVAL/COST ANALYSIS [EE] - Act Start
Explanation of Significant Differences [EH] - Act Comp
CLOSE OUT REPORT [CQ] - Act Comp
Grndwtr Monitor (Post-ROD) [GM] - Act Comp
NOTICE OF INTENT TO DELETE [TU] - Act Comp
NOTICE OF INTENT TO DELETE [TU] - Act Start
REMOVAL [RV] - Act Comp
PRP REMOVAL [BB] - Act Comp
FF REMOVAL [LV] - Act Comp
PRP EMERGENCY REMOVAL [PJ] - Act Comp
March 20, 2012
XII-4
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Document
Core
Document
Source
Document
(CERCLIS
or
Institutional
Control*)*
Action Source Correiponds To
FIRST LETTER
TRANSMITTING
ARTO
REPOSITORY
C
CERCLIS
ADMINISTRATIVE RECORDS [AR] - Act Start
FIRST POLREP/
POLREP 1 (date of
mobilization)
CERCLIS
REMOVAL [RV] - Act Start
PRP REMOVAL [BB] - Act Start
FF REMOVAL [LV] - Act Start
PRP EMERGENCY REMOVAL [PJ] - Act Start
FIVE YEAR
REVIEW REPORT
C
CERCLIS
Institutional
Controls
FIVE YEAR REVIEW [FE] - Act Comp
FF FIVE-YEAR REVIEW [VY] - Act Comp
Grndwtr Monitor (Post-ROD) [GM] - Act Comp
FIVE YEAR
REVIEW START
MEMO OR
WORKPLAN
C
CERCLIS
FIVE YEAR REVIEW [FE] - Act Start
FF FIVE-YEAR REVIEW [VY] - Act Start
FS WORK PLAN &
AMENDMENTS
CERCLIS
FF FS [NI] - Act Start
GENERAL NOTICE
LETTER
CERCLIS
Notice Letters Issued [NJ] - Act Comp
INTERAGENCY
AGREEMENT
CERCLIS
COMBINED RI/FS [CO] - Act Start
FEASIBILITY STUDY [FS] - Act Start
FEDERAL INTERAGENCY AGREEMENT [FI] - Act
Comp
FF FS [NI] - Act Start
FF RI [NH] - Act Start
FF RI/FS [LW] - Act Start
NEGOTIATION (GENERIC) [NG] - Act Comp
OPERATIONS AND MAINTENANCE [OM - FF Lead]
Act Comp
PRE DESIGN ASSISTANCE [DA] - Act Start
RCRA CORRECTIVE MEASURE STUDY [MW] - Act
Start
RCRA FACILITY INVESTIGATION [MX] - Act Start
RD/RA NEGOTIATIONS [AN] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMEDIAL DESIGN [RD] - Act Start
REMEDIAL INVESTIGATION [RI] - Act Start
REMOVAL NEGOTIATIONS [RN] - Act Comp
TECHNICAL ASSISTANCE [TA] - Act Start
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Document
LITIGATION
REFERRAL
TRANSMITTAL
LETTER
OVERSIGHT BILL
PCOR
PRELIMINARY
ASSESSMENT (PA)
PROPOSED PLAN
PROSPECTIVE
PURCHASE
AGREEMENT
PRP OVERSIGHT
LETTER
PRP NOTICE OF
INTENT TO
COMPLY
PUBLIC MEETING
RECORD
RECORD OF
DECISION (ROD)
REMEDIAL
ACTION REPORT
APPROVAL MEMO
REMEDIAL
ACTION START
MEMO
REMEDIAL
DESIGN 100%
APPROVAL
RI/FS WORK PLAN
& AMENDMENTS
Core
Document
C
C
Rl Core
Rl Core
C
C
C
C
Source
Document
(CERCLIS
or
Institutional
Control*)*
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
CERCLIS
Institutional
Controls
CERCLIS
CERCLIS
CERCLIS
CERCLIS
Action Source Correiponds To
LITIGATION (GENERIC) [LT] - Act Start
SECTION 104(E) REF LITIGATION [SF] - Act Start
SECTION 106 107 LITIGATION [CL] - Act Start
SECTION 106 LITIGATION [SX] - Act Start
SECTION 107 LITIGATION [SV] - Act Start
Issuance of Oversight Bill [QZ] - Act Comp
PRELIM CLOSE-OUT REP PREPARED [CM] - Act Comp
PRELIMINARY ASSESSMENT [PA] - Act Comp
Proposed Plan (NU)
Parent actions are Combined RI/FS, PRP RI/FS, FS, PRP
FS,FFFS, and ROD
PPA ASSESSMENT [QX] - Act Comp
Offer to Discuss EPA Oversight Expectations w/PRPs [QY]
- Act Comp
PRPs Ntfy EPA, Intent to Comply [NC] - Act Comp
Public Meeting [JE] - Act Comp
RECORD OF DECISION [RO] - Act Comp
PRP REMOVAL [BB] - Act Comp
REMEDIAL ACTION [RA] - Act Start
REMOVAL [RV] - Act Comp
REMEDIAL ACTION [RA] - Act Comp
PRP RA [BF] - Act Comp
FF RA [LY] - Act Comp
PRP RA [BF] - Act Start
FF RA [LY] - Act Start
REMEDIAL DESIGN [RD] - Act Comp
PRP RD [BE] - Act Comp
PRP RA [BF] - Act Start
FF Rl [NH] - Act Start
FF RI/FS [LW] - Act Start
March 20, 2012
XII-6
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Document
ROD AMENDMENT
SITE INSPECTION
SPECIAL NOTICE
LETTER
UNILATERAL
ORDER
Core
Document
C
C
C
Source
Document
(CERCLIS
or
Institutional
Control*)*
CERCLIS
Institutional
Controls
CERCLIS
CERCLIS
CERCLIS
Institutional
Controls
Action Source Corresponds To
ROD Amendment [JQ] - Act Comp
SITE INSPECTION [SI] - Act Comp
Special Notice Issued [SG] - Act Comp
UNILATERAL ADMIN ORDER [UA] - Act Comp. PRPs
written letter of intent to comply with UAO is the start
dateofthePRPRD
XILF APPLICABILITY OF THE FREEDOM OFINFORMA TIONA CT
XILF.l Reports Releasable under Freedom of Information Act (FOIA)
There is a set of system-generated reports that have sensitive information (records or
information that are protected under FOIA and cannot be released to the public) removed and
may be released under FOIA. These reports include:
Superfund Comprehensive Accomplishment Plan (SCAP) 12 (Site Summary Report
for NPL/Non-NPL Sites);
- List 8E (Site/Response Action Listing Report/External);
- List 8T (Site/Event Listing, Archived Sites);
List 9 (Site Comprehensive Listing);
- List 10 (Contaminants at CERCLIS Sites);
- List 11 (Noticed Parties at CERCLIS Sites);
- FOIA 01 (Preremedial Report- All Sites);
- FOIA 02 (Preremedial Report- Federal Facilities); and
Enforcement 10 (The Settlements Master Report Public Version).
Note: Several reports including the SCAP 12, List 8T, and List 9 are currently available
to the public on the Superfund Home Page
•
In addition, the Records of Decision System (RODS)
may be released under FOIA. It provides the
justification for the remedial action (treatment) chosen under the Superfund program and stores
information on the technologies being used to clean up sites.
FY 12 SPIM
XII-7
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
XII.F.2 Sensitive Information Not Releasable under FOIA
FOIA is intended as a disclosure law, not a withholding law. In handling all FOIA
requests, there should be a presumption in favor of releasing information. There are certain types
of information, particularly enforcement information, that have been designated as sensitive and,
therefore, are not releasable to the public because disclosure could cause significant harm to the
Agency. All planning data fit into this category including:
Section 106 and 107 litigation, Consent Decrees (CDs), and all related information
where the planning information indicates that the action has been or will be referred
to HQ or to the Department of Justice (DOJ). If the case is filed or CD lodged, the
information may be released.
- Potentially Responsible Party (PRP) lead Remedial Investigation/Feasibility Study
(RI/FS) projects and all related information where only planning data exist. If there is
an actual PRP RI/FS start, the planned completion date (fiscal year/quarter (FY/Q))
can be released.
Administrative Order and all related information where only planning data exist. This
information is only releasable where an actual completion date exists.
Information pertaining to cost recovery decision documents such as rationale for
write-off;
- Planned obligation amounts related to regional enforcement extramural budget
activity associated with the following activities:
• Litigation (106, 106/107, 107) support;
• Removal Negotiations;
• NPL and NPL PRP search;
• RI/FS negotiations;
• Remedial Design/Remedial Action (RD/RA) negotiations; and
• Cost recovery negotiations.
RD and RA planned events where the lead is 'RP' with no actual starts. When there is
an actual start, the planned completion can be released.
RI/FS and RD/RA negotiations planned start and completion dates. When there is an
actual start, the planned completion can be released.
Planned removal/remedial obligations.
All planned activities for sites that have not been designated as final or proposed NPL
sites in the Federal Register.
The following enforcement data also cannot be released:
Information pertaining to the financial viability of PRPs;
PRPs excluded from a Unilateral Administrative Order (UAO) and reasons why PRP
was not issued a UAO;
Comments;
- Parties not issued a General and/or Special Notice Letter or associated with an actual
enforcement instrument;
- Party identification under Section 104(e); and
March 20, 2012 XII-8 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Compliance data.
This information is protected from mandatory disclosure by the following FOIA exemptions
and provisions:
EXEMPTION 7 - Records or information compiled for law enforcement purposes.
Specifically, EXEMPTION 7(a) could reasonably be expected to interfere with
enforcement proceedings.
Exemption 7 - Records or Information Compiled For Law Enforcement Purposes
This exemption provides that records or information compiled for law enforcement
purposes need not be disclosed in six specific instances. Even though a document falls under
Exemption 7, the Agency, in its discretion, encourages release of the document unless release
would significantly harm the Agency. Under this section, records or information can be withheld
from disclosure if:
- Exemption 7(a) - Disclosure could reasonably be expected to interfere with
enforcement proceedings. Harm to the government's case in court by premature
release of evidence or information or damage to the Agency's ability to conduct an
investigation constitutes interference under the exemption.
Exemption 7(b) - Disclosure would deprive a person of a right to fair trial.
Exemption 7(c) - Disclosure could reasonably be expected to constitute an
unwarranted invasion of personal privacy.
- Exemption 7(d) - Disclosure could reasonably be expected to disclose the identity of
a confidential source. This includes protection of information provided by the source
on a criminal law enforcement investigation.
Exemption 7(e) - Disclosure would reveal a special technique or procedure for law
enforcement investigations or prosecutions.
Exemption 7(f) - Disclosure could reasonably be expected to endanger the life or
safety of any person.
As a result of 1986 Amendments to FOIA Exemption 7, the general coverage of
Exemption 7 is no longer investigatory records but records of information compiled for law
enforcement purposes. As long as some law enforcement authority exists and the record meets
the threshold test for exemption 7, the record need no longer reflect or result from specifically
focused inquiries by the Agency.
EXEMPTION 5 - Privileged Interagency or Intra-Agency Memoranda. Specifically,
EXEMPTION 5, Privilege 1 - Deliberate Process Privilege, and EXEMPTION 5, Privilege 4 -
Government Commercial Information Privilege.
Exemption 5 - Privileged Interagency or Intra-Agency Memoranda
Intra-agency records include reports prepared by outside consultants at the request of the
Agency. Recommendations from state officials to EPA may be considered intra-agency records
when EPA has solicited state comments, has a formal relationship with the state, and the records
concern a specific deliberative process.
FY 12 SPIM XII-9 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
This exemption allows the Agency to withhold from disclosure interagency or intra-
agency memoranda or letters which fall under the following privileges:
The Deliberative Process Privilege protects the quality of the Agency's decision-
making process (i.e., to protect against premature disclosure of proposed policies
before they are adopted), to encourage candid discussions among Agency officials,
and to avoid premature disclosure which could mislead the public.
Only pre-decisional, deliberative documents may be withheld. These are written prior to
the Agency's final decision, and are not likely to be those that are written by a person with final
decision-making authority. Drafts of documents usually fall under this category, and documents
transmitted between the government and third parties during settlement negotiations are
occasionally protected under this privilege.
The deliberative process privilege does not allow the withholding of purely factual
portions of documents. These portions must be released if they can be segregated from the
remainder of the document (partial denial). This requirement presents a problem where the facts
themselves reflect on the Agency's deliberative process; in this instance, the factual portions may
be withheld.
The Attorney-Work Product Privilege allows the withholding of documents prepared
in anticipation of possible litigation. Litigation need not have commenced but it must
be reasonably contemplated. This privilege does not extend to purely factual
documents unless they reflect the results of an attorney's evaluation.
The Attorney-Client Privilege applies to confidential communications between
attorney and client, including communications between an Agency attorney and
Agency employee.
The Government Commercial Information Privilege is available to the government
for information it generates in the process leading up to the award of a contract. This
privilege expires once the contract is awarded or upon withdrawal of the contractual
offer. An example of this privilege is cost estimates prepared by the government and
used to evaluate the construction proposals of private contractors.
The Expert Witness Privilege is commonly invoked to allow the withholding of
records generated by an expert witness.
- The Confidential Witness Statement Privilege allows statements obtained from
confidential witnesses to be withheld.
The Agency encourages the discretionary release of documents falling under any of the
privileges, unless release would significantly harm the Agency's decision-making process. All of
the privileges may be waived if the Agency has disclosed the document to third parties.
The sensitive information listed above covers the information restricted from public
disclosure as of the compilation of this Manual. Additional information may be added to this
category and information may be restricted in specific instances (though the prior disclosure rule
must be satisfied). If requested information is potentially able to be restricted under a FOIA
provision (in this case, under Exemptions 5 or 7), the official receiving the request should
contact the appropriate FOIA office to determine whether the information should be restricted.
March 20, 2012 XII-10 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
XII.F.3 Ad Hoc Reporting
In general, all regional requests for ad hoc reporting, a special request for records, or
information that is not part of the approved public reports should be referred to the Office of Site
Remediation and Enforcement (OSRE) Director immediately. The regional official receiving the
request should inform the requestor of this policy and advise the requestor to contact HQ for a
decision on whether this information may be released. If the requested information is only
available from a specific region, and HQ has decided to release this information, HQ will inform
the responsible region that the information should be compiled and disclosed to the requestor.
Ad hoc reporting requests should be treated like FOIA requests. The following guidelines
apply:
If the information is protected under one of the FOIA exemptions, the information
will not be disclosed (except in cases of discretionary release);
Absent FOIA exemption protection, the information will be disclosed if it can be
compiled or obtained in a reasonable amount of time by an Agency employee familiar
with the subject area; and
- Fees for ad hoc reporting requests will be charged in accordance with the fee structure
used for FOIA requests.
XII.F.4 Accessing FOIA Information
There are several methods to access FOIA information.
On the Internet, via the World Wide Web, several standard reports can be viewed or
downloaded from the Superfund Information Systems area of the EPA Web site
}itt|)7/www^ through the "Order Superfund Products" link
on the sidebar. Reports available for viewing or download include:
Inventory of CERCLIS and Archived Sites by State. This report, updated monthly,
displays the number of sites by state/possession that are currently in CERCLIS; it also
displays the number of sites by state/possession that have been archived or require no
further remedial action.
CERCLIS and Archived Site Database and Text Files with Record Layout. These
databases and text files, updated monthly, provide detailed information on sites that
are currently in CERCLIS and sites that have been archived or require no further
remedial action. The Record Layout identifies and provides the layout of the fields
used.
National Priorities List (NPL) Site Map. The NPL Site Map, updated quarterly,
displays the location (based on latitude and longitude coordinates) of sites across the
nation that have been proposed, finalized, or deleted from the NPL
Several standard reports and products can also be ordered from the Superfund
Information Systems area of the EPA Web site
through the "Order Superfund Products" link
on the sidebar. Reports and products that can be ordered online include:
FY 12 SPIM XII-11 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
List 8T- Archive Listing. This report, updated monthly, lists all sites that were
previously listed as contaminated or were suspected of being contaminated, but have
subsequently been cleared of contamination or are no longer suspected of
contamination. The report lists the sites/incidents, addresses, and Congressional
districts, and the remedial, removal, and community involvement activities associated
with each site/incident. This report was previously called the "Transition Site/Event
Listing."
- List 9- Site Comprehensive Listing. This report, updated monthly, lists all Superfund
sites/incidents, addresses, and Congressional districts, and the remedial, removal, and
community involvement activities associated with each site/incident.
- List 10- Contaminants at CERCLIS Sites. This report lists contaminants recorded for
Superfund sites, including the contaminant Chemical Abstract Service (CAS) number
and maximum concentration level. Affected media and the cleanup action(s)
associated with the contaminant are also included, as well as basic site information
for the affected sites.
- List 11- Responsible Parties at CERCLIS Sites. This report lists responsible parties at
Superfund sites that have received Special or General Notice letters from EPA. It
displays the party name and address, and data on selected enforcement actions, if
present, at the associated sites, as well as basic site information for each site.
SCAP 12- Site Summary Report for NPL/Non-NPL Sites. This report, updated
quarterly, provides detailed information on Superfund sites/incidents that are on the
National Priorities List (NPL) and not on the NPL. Only the sites/incidents that have
planned or actual remedial/removal activities are selected for inclusion on the report.
The remedial/removal activities (planned or actual) as well as the enforcement
activities (actual) related to each site/incident are listed.
The Superfund Order and Information Line (800-775-5037 or 202-260-8321) is an
interactive phone/fax system that provides information from CERCLIS. By following voice
prompts, the Superfund Order and Information Line allow users to request List 8T, List 9, List
10, List 11, and SCAP 12 reports on CD-ROM.
FOIA requests may also be submitted to an EPA region or HQ for any FOIA reports or
information. FOIA report requests should include the name of the FOIA report being requested,
or the site name, city, county, state, and/or ZIP code for which information is being requested.
March 20, 2012 XII-12 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Appendix A: New Initiatives/New Requirements
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OSWER Directive 9200.3-14-1G-W
Appendix A: New Initiatives/New Requirements
Table of Contents
A.A Superfund Initiatives. A-l
A.A.I Integrated Cleanup Initiative A-l
A.A.2 Community Engagement Initiative A-2
A.B Other Superfund Program Priorities A-3
A.C New Superfund Requirements A-3
A.C.I Performance Measures A-3
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OSWER Directive 9200.3-14-1G-W
APPENDIX A: NEW INITIATIVES/NEW REQUIREMENTS
A.A SUPERFUNDINITIATIVES
The Superfund Program is currently involved with two initiatives: 1) The Integrated
Cleanup Initiative (ICI) and 2) The Community Engagement Initiative (CEI). Both initiatives
originated from, and will be implemented by EPA's Office of Solid Waste and Emergency
Response (OSWER) and Office of Enforcement and Compliance Assistance (OECA). Each
initiative has objectives and discrete actions to be completed, which are examples of work being
done to improve the way EPA conducts its business, performs its technical work, and engages its
stakeholders.
A.A.I Integrated Cleanup Initiative
EPA's OSWER in partnership with OECA has launched a three-year strategy, the
Integrated Cleanup Initiative (ICI or the Initiative), to identify and implement improvements to
the Agency's land cleanup programs. The goal of the Initiative is to better use the Agency's land
cleanup authorities to accelerate cleanups where possible, address a greater number of
contaminated sites, and put these sites back into productive use while protecting human health
and the environment. This Initiative reflects the continued evolution of the nation's land cleanup
programs which began in the 1980s.
EPA and its key state, tribal, and local partners, including affected communities, have
matured in their collaborative approaches to identifying and cleaning up these sites. They also
want to maximize opportunities to spur cleanup by anticipating how the site could best be reused
(an approach that has evolved during the last several decades). Integrating approaches and
leveraging best practices across the full spectrum of contaminated sites (Superfund, Brownfields,
Resource Conservation and Recovery Act (RCRA) corrective action, federal facilities, and
underground storage tanks) is a critical part of this Initiative. The Initiative Plan
identifies 25 specific actions that EPA's OSWER and OECA will undertake in order to meet the
goal and objectives of the Initiative.
Some of the specific ICI activities highlighted in OSWER's fiscal year (FY) 2012
National Program Manager (NPM) Guidance include the following:
• As part of EPA's ICI, nine pilot projects were identified where best management
practices and innovative solutions are being employed. Lessons learned from the nine
pilots initiated during FY 2011 to explore cost effective options for accelerating
remedial action projects and for otherwise improving the way we manage Superfund
remedial projects to completion will be applied more broadly at our sites. Results
from completed pilots will be considered for broader implementation across sites in
FY 2012, FY 2013 and FY 2014.
• In FY 2012 the Superfund Remedial program will expand and integrate optimization
techniques throughout the cleanup process.
• As part of the ICI, OECA will take early and focused enforcement efforts to compel
cleanup. Those efforts include increasing enforcement earlier in the pipeline at non-
FY12SPIM A-l March 20,2012
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OSWER Directive 9200.3-14-1G-W
emergency removal action and RI/FS stages; expediting remedial action by holding
parties accountable to negotiation timeframes and scheduled cleanup commitments;
and rejuvenating the process for early identification of responsible parties to support
increased site assessment, NPL listings, and early enforcement activities.
A.A.2 Community Engagement Initiative
In December 2009, EPA's OSWER introduced the CEI and released a proposed Action
Plan for comment by community stakeholders and the general public. The CEI is designed to
enhance OSWER and regional offices' engagement with local communities and stakeholders
(e.g., state and local governments, tribes, academia, private industry, other federal agencies, non-
profit organizations), to help them meaningfully participate in government decisions on land
cleanup, emergency preparedness and response, and the management of hazardous substances
and waste.
In May 2010, based on comments received on the proposed Action Plan, OSWER
released an Implementation Plan. The Implementation Plan lays out specific actions that
OSWER and the OECA program offices will implement to achieve the goals and objectives of
the Action Plan, and in so doing, will help EPA conduct timely decisions and actions that are
reliably informed by the broad diversity of voices and interests in the communities we serve.
Specific actions under the Implementation Plan are as follows:
- Action 1 - Evaluate and Revise Critical Decision-Making Processes and Guidance
- Action 2 - Review and Support Community Engagement Processes of Underground
Storage Tank (UST) Programs Implemented by state agencies and UST Programs in
Indian Country Implemented by EPA
- Action 3 - Sustain a Dialogue with EPA regions and state RCRA Delegated Programs to
Identify and Promote Best Community Engagement Practices
- Action 4 - Pilot Methods of Engaging Communities in OSWER Regulation and Guidance
Development
- Action 5 - Review Community Engagement Policies and Activities Associated with
Enforcement Activities
- Action 6 - Promote Community Engagement Associated with the Comprehensive
Environmental Response, Compensation and Liability Act (CERCLA) Enforcement
Involving Federal Facilities
- Action 7 - Evaluate and Improve EPA Technical Assistance Processes
- Action 8 - Broaden Awareness and Support for the Community Action for a Renewed
Environment (CARE) Program Principles in OSWER Programs
- Action 9 - Launch the Brownfields Area-Wide Planning Pilot Program
- Action 10 - Collaborate with federal agencies to Provide Public Health Information on
OSWER Projects
- Action 11 - Evaluate Risk Communication Processes and Develop a Comprehensive
Education Program
- Action 12 - Improve Communication of Sampling and Testing Results
- Action 13 - Evaluate and Improve Delivery of Information
March 20, 2012 A-2 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
- Action 14 - Develop an OSWER-Wide/regional Community Engagement Training
Program for EPA OSWER and regional employees
- Action 15 - Develop Measures on the Effectiveness of Community Engagement
Activities and Report Annually on CEI
- Action 16 - Create an Environmental Workforce Development and Job Training Program
For more information on the CEI see: Mt£7/www.e2a.goWoswer/engagenientrnitiative
A.B OTHER SUPERFUND PROGRAM PRIORITIES
American Recovery and Reinvestment Act of 2009 (ARRA) funds are being used to
further cleanup at NPL sites across the country, maximize job creation and retention, and provide
environmental and economic benefits. The Superfund Remedial program will continue to
monitor progress of projects at sites utilizing ARRA funds in FY 2012.
The Superfund program continues to incorporate Environmental Justice (EJ) into its
programs and supports the Administrator key priority of Expanding the Conversation on
Environmentalism and Working for Environmental Justice. This priority encourages EPA to
identify new and better ways to address the environmental justice issues facing many minority,
low-income, and indigenous people. The Superfund program is committed to promoting healthy
and environmentally sound conditions for all people through its remedial cleanup programs.
A.C NEW SUPERFUND REQUIREMENTS
A.C.I Performance Measures
OSRTI's Human Exposures Under Control (FIEUC) is one of EPA's senior leadership
Key Performance Indicators (KPIs), used to advance Strategic goals and Cross-Cutting
Fundamental Strategies in EPA's Strategic Plan. For KPI reporting, the Superfund Remedial
Program's HEUC result will include final and deleted NPL and Superfund Alternative (SA) sites
and be combined with the Office of Resource Conservation and Recovery's (ORCR's) human
exposure under control measure's accomplishments.
OSRTI's Sitewide Ready for Anticipated Use (SWRAU) measure is one of EPA's senior
leadership KPIs, used to advance Strategic goals and Cross-Cutting Fundamental Strategies in
EPA's Strategic Plan. In addition, SWRAU is a High Priority Performance Goal (HPPG) which
will produce significant, measureable results in the next 12 to 24 months, is relevant to the
public, and represents a high priority for the Agency. For KPI and HPPG reporting, the
Superfund Remedial program's SWRAU result will include final and deleted NPL and SA sites,
exclude groundwater only sites, and exclude sites that have been deferred to other programs. In
addition, for KPI and HPPG reporting, the Superfund Remedial Program's SWRAU result will
be combined with ORCR, Office of Brownfields and Land Revitalization (OBLR), and Office of
Underground Storage Tanks (OUST) accomplishments.
FY 12 SPIM A-3 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 A-4 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Appendix B: Regional and Headquarters Contacts
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Appendix B: Regional and Headquarters Contacts
Table of Contents
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B SCAP Report Contacts B-3
B.C Office of Emergency Management (OEM) HQ Removal Coordinators B-3
B.D HQ Superfund Cost Recovery Contacts B-4
B.E Cost Recovery Contacts B-4
B.F Regional Budget Coordinators B-5
FY 12 SPIM B-i March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 B-ii FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
APPENDIX B: REGIONAL AND HEADQUARTERS CONTACTS
B.A HEADQUARTERS (HQ) SUBJECT MA TIER EXPERTS/DA TA SPONSORS
;:<;;;SiiB3«WA|«a
Annual Commitment System
ARRA
CERCLIS Financial Data
Community Involvement
Construction Completions
Cost Recovery Process
Cost Recovery Statute of
Limitations
Data Quality
eFacts
Enforcement
Environmental Indicators
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
OCFO
OEM - Removal
Implementation
OEM - Removal Planning &
Reporting
, Name-of GoSutacF"' «•» ,
/ ' *"/ 5' #" ' ,;
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OSWER Directive 9200.3-14-1G-W
OEM - Removal
OSRE
OSRE/Action Codes -
Enforcement, Annual Budget
Process
OSRE Budget
OSRE Work Planning
OSRTI Budget Execution
OSRTI Budget, Planning &
Evaluation
OSTRI Annual Budget Process
(CERCLIS Action Codes)
OSRTI Resource Management
OSRTI Work Planning
OSWER Budget
Post-Construction
Radiation Contaminated Sites
Remedial Design/Remedial
Action
Remedy Selection
SCAP Report Coordinator
Site Assessment/NPL Listing
Special Accounts
SPIMLead
Superfund Alternative
Approach
Superfund Financial
Management
Superfund Financial
Management
Superfund Financial
Management
Superfund Redevelopment
Rob Fox
Dana Stalcup
Eric French
Mary Bell
Alice Ludington
Laura Milton
Alice Ludington
Amy Vandenburg
Art Flaks
Alan Youkeles
Robin Richardson
William Dalebout
Larry Wilbon
Jennifer Hovis
Stuart Walker
Kate Garufi
Randy Hippen
Renee Hamilton
Randy Hippen
Tracey Stewart
Renee Hamilton
Nancy Browne
Kevin Brittingham
Tanya Jenifer
Tina van Pelt
Melissa Friedland
miltorijaura@ej)a.gov
Stewart . t racevjS}ei>a.gov
bmwtK.nancy^a)SQa.^yy_
bjjttJngharti.keviri^epa.gov
202-564-1538
202-564-2089
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- 603-9048
703-603-9058
202-566-1903
703-603-8888
703-603-8748
703-603-8827
703-603-8829
703-603-9092
703-603-8829
703-603-8791
703-603-9092
202-564-4219
202-564-4941
202-564-7572
202-564-4984
703-603-8864
March 20, 2012
B-2
FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
B.B SCAP REPORT CONTACTS
*' Designation--..
Title
SCAP-2/11/12
Site Summary Report/FOIA
SCAP-4E
Enforcement Financial
Summary (OECA/OSRE
maintains this report)
SCAP-4F
Federal Facility Financial
Summary
SCAP-4R
Response Financial Summary
Report
SCAP-13
Site Assessment Report
SCAP-14
Superfund Accomplishments
Report
SCAP-15
SCAP-16
Reconciliation SCAP 14 Audit
Report
Name:(S§i3>Sa:cSi'
'' 'x '/'/'/ rjjr
Renee Hamilton
Alice Ludington
Marie Bell
Alan Youkeles
Randy Hippen
Renee Hamilton
Ellen Treimel (FFRO)
Bill Finan (OEM)
Peter Oh (OEM)
Mary Bell (OSRE)
William Dalebout
Renee Hamilton
v E-majJ
^/
Phone Number
/
703-603-9092
202-564-6066
703-603-0050
703-603-8784
703-603-8829
703-603-9092
703-603-0720
202-564-7981
202-564-2375
202-564-2256
703-603-8826
703-603-9092
B.C OFFICE OF EMERGENCY MANAGEMENT (OEM) HQ REMOVAL COORDINATORS
' '• ' ' '•'*<•''' •••••••""\\^.^:""'wiisiisiisiisiisiis^-.
SiiMwt^'f^'^'BBB^'
Qunjevi ^re4^5jjijS;
Region 1 Removal
Coordinator
Region 2 Removal
Coordinator
Region 3 Removal
Coordinator
Region 4 Removal
Coordinator
Region 5 Removal
Coordinator
Region 6 Removal
Coordinator
Region 7 Removal
Coordinator
" ' • • *- NafflFWrGontacfr- 4ir
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OSWER Directive 9200.3-14-1G-W
Region 8 Removal
Coordinator
Region 9 Removal
Coordinator
Region 10 Removal
Coordinator
Eugene Lee
David Chung
Eugene Lee
lee-eugene^^eEa^gov
202-564-7988
202-564-8942
202-564-7988
B.D HQ SUPERFUND COST RECOVERY CONTA CTS
" . • .Arfa«3fWiaHzatiffir
• •/ ^ /• •
Annual Allocation
Cost Documentation and
Reporting
National Cost Documentation
Advisor; Special Projects
Program Costing Staff
Director; Superfund Policy
Regional Coordination
Superfund Indirect Costs
Superfund Interest Rate; Trust
Fund Oversight
Name-ofContacCZIir
/ , , • . •
Jill Beresford
Andrew LeBlanc
Kevin Brittingham
Meshell Jones-Peeler
Ellen Raj ewski
Nikki Robinson
/E>-
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OSWER Directive 9200.3-14-1G-W
Region 9
Region 10
Cincinnati Finance Center
Las Vegas Finance Center
Research Triangle Park
Finance Center
Yvonne Fong
David Wood
Carrie Williams
Scott Ryan
Gloria Owens
Betty Hamilton
415-972-3698
415-972-3709
206-553-1194
206-553-0285
919-541-0052
919-541-4280
B.F 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
Leslie Peterson
(Enforcement)
Robin-Faux Williams
Charlotte Whitley
Vincent Saunders
Helen Newman
Carlene Chambers
(Alternate)
Teri Hankins
Antoinette Singletary
(Alternate)
Lourdes Deppmeier
Jackie Easley (Enforcement)
Danielle Dunbar
Eugene Rainwater
(Alternate)
Lynne Kershner
E-mail
mcenei3U3™tnexi3)e|iig0v
Phone Number
617-918-1227
212-637-4295
212-637-4298
215-814-3133
404-562-8863
312-353-9077
214-665-6657
214-665-3181
913-551-7118
913-551-7491
303-312-7040
303-312-6758
415-972-3104
415-972-3217
206-553-6518
FY 12 SPIM
B-5
March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 B-6 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Superfund Program Implementation Manual FY 12
Appendix C: FY 12 Work Planning Memorandum
FY 12 SPIM March 20, 2012
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OSWER Directive 9200.3-14-1G-W
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March 20, 2012 FY 12 SPIM
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^ UNiYHC PPOTtC PCM ;v>7£W''
WASHING'"ON, D.C. :0«C
OSWER: 9200.2-95
MEMORANDUM
SUBJECT:
FROM:
TO:
FY 2012 Superfund Remedial and Enforcement Work Planning
Robin H. Richardson, Director kLrO"*—v Vc.
Resources Management Division
Office of Superfund Remediation and Technology Innovation (OSRTI)
"""' - >''* ,
Monica Gardner, Director " 7 C-" •••. '.>• - - -"'' ^ •,•:-,.<>>-> ,:*"" /•./• .. •
Policy and Program Evaluation Division
Office of Site Remediation Enforcement (OSRE)
Superfund National Policy Managers, Regions 1-10
Regional Counsel, Regions 1-10
Purpose
The Superfund Remedial and Enforcement programs are joining together again to coordinate a unified
approach toward annual work planning with the regions. This memorandum identifies the scope and
schedule of FY 2012 work planning activities and contains a description of topics to be discussed by
the national program offices during the summer meetings and a schedule of due dates for data entry or
decisions.
This year's work planning memorandum contains four major content areas: Key Work Planning
Activities and Dates; Focus Areas for FY 2012; Agency Level Performance Measures; and Program &
Resource Management. The agenda for the work planning meetings may not be in this exact order, but
will be organized to meet each Region's needs and allow the discussion to flow and build upon topics
cumulatively.
-------
Contacts & Logistics
Please inform your headquarters regional budget coordinator in advance if you would like to discuss any
additional Region-specific issues during the work planning sessions. If you have any questions about
this memo, please call Art Flaks (OSRTf) at 703-603-9088 or Vincent Velez (OSRE) at 202-564-4972.
I. Key Work Planning Activities and Dates
Beginning July 2011, Headquarters will schedule work planning meetings to be held with the regions
during August and early September.
A1[RA fundingjteeds must be entered into CERCLIS for FY 2012
Activity
HQ schedules Region-specific work planning meetings
OSRE prepares extramural resource allocation for interim operating plan based on President's
request. ___________________ „______„ „__ __™_ , _
Date
Early July
Late Jyne
Regions enter initial commitments reflecting DRA approval for FY 2012 performance
measures into ACS
Regions enter preliminary CERCLIS planning data for Special Accounts
JuIyS
July 22
July 22
Regions enter target estimates and Pipeline resource planning in CERCLIS
HO and Regions conduct work planning meetings
Regions enter final commitments reflecting DRA approval for FY 2012 performance measures
into ACS (Unresolved commitment must be elevated for resolution to DRA/DAA)
Regions enter final FY 2012 RA planning data and summary level response targets into
CERCLIS
Regions enter final FY 2011 EOY GPRA accomplishment data into CERCLIS
Regions enter final FY 2011 non-GPRA EOY accomplishment data into CERCLIS
Regions make final updates to their FY 2012 Special Account plans
"OSRTI develops Initial FY 2012 Ongoing RA Funding Plan "
OSRTI issues memorandum initiating Remedial unliquidated obligations review
HQ and Regions concur on the final FY 2012 regional performance commitments
HQ/RegioRS elevate any unresolved FY 2012 Performance commitments to OCFO for dispute
resolution. NPMs and regions send an email to OCFO indicating that final performance
commitments entered in Measures Centra! have been approved by DRAs and DAAs and that
DRAs and DAAs are aware of unresolved FY 2012 commitments^ __ __ _ _____
Regions enter final FY 2012 Pipeline Allocation target data and detail level site-specific
t response targets
i Regions submit unliquidated obligations review results to OSRTI
OSRTI runs draft Pipeline Operations Site Allowance allocation model
EPA posts final FY 2012 GPRA targets on EPA Quickplace website
ACS is locked to prevent further adjustments to FY 2012 commitments
4 days before
your Region's
___ meeting _
August 1 -
September 8
October 3
October 7
October 7
October 15
October 17
Mid-October
Mid-October
October 21
October 28
November 7
Mid-November
Mid-November
November 18
November 28
-------
OSRTI issues deobligation targets for FY 2012
OSRTI determines FY 2012 Regional Pipeline Operations Site Allowance Allocations
Regions submit initial FY 2012 Deobiigation Plans to HQ
FY 2012 Check in, FY 2013 plans, FY 2014 outyear projections
OSRE issues call to Regions for submission of additional extramural funding requests
OSRE submits reprogrammirtg of third quarter allocation based on regional requests
Mid-December
Pending
Appropriation
Mid-January
February
Late March
Late April
II. Focus Areas for FY 2012
This section provides key focus areas for discussion during the summer work planning meetings that
are new or have a change in emphasis.
A. integrated Cleanup Initiative
OSWER is well into the second year of the three-year Integrated Cleanup Initiative (ICI) announced on
March 12, 2010, by the Assistant Administrators of OSWER and OECA. The goal is to "better utilize
EPA's assessment and cleanup authorities, in an integrated, transparent and accountable fashion, to
address a greater number of contaminated sites, accelerate cleanups, and put those sites back into
productive use while protecting human health and the environment." The ICI is organized into four
objectives: 1) Starting Cleanups, 2) Advancing Cleanups, 3) Completing Cleanups, and 4) Performance
Metrics,
During the first year, significant progress was made in these areas by both the Superfund remedial and
enforcement programs and more work is planned for FY12,
The actions for the Enforcement and Remedial Programs under the four objectives are outlined below:
1. Enforcement Program
The Superfund enforcement program identified five actions that support the objectives of the ICI
(Also see Attachment A - SEALS Major Focus and Reporting Areas for FY 2012.) For purposes of
work planning, OSRE will provide a status on each action. In addition, we will discuss how the Regions
will be involved in meeting the obligations related to the actions with deliverables planned in 2012,
a) Objective I - Starting Cleanups
i. Objective 1,3: Process for early identification of responsible parties to support changes
in site assessment, NPL listing and early enforcement activities. OSRE is evaluating and
analyzing existing regional and headquarter resources and training needs for PRP search
activities and will issue recommendations, if any, for changes in those areas. Also, OSRE
is evaluating opportunities for accelerating PRP search activities to maximize PRP
performance of the work earlier in the pipeline and will revise national PRP search
guidance, policies, and/or performance measures, as appropriate, to reflect any
recommended changes.
-------
b) Objective 2 - Advancing Cleanups
ii. Objective 2, II, A - Expedite response action by holding all parties accountable to
negotiation timeframes. OSRE has developed a new CERCLIS report that includes the
full RD/RA negotiations pipeline - from planned Records of Decisions fRODs) and
upcoming or ongoing RD/RA negotiations. The report will be used at regional dockets,
OSRTI and DOJ bi-weekly meetings, and other regional visits to better track compliance
with the Interim Policy on Managing the Duration of RD/RA Negotiations. Also, an
evaluation of the Interim Policy is currently underway to explore its effectiveness and
possible actions that may be necessary to improve the process. In addition, as part of the
work planning process, we will discuss the status of planned RA negotiation starts and
completions and identify major obstacles preventing the completion of the negotiations,
for those situations where negotiations will exceed 120 days from issuance of SNL.
iii. Objective 2.1 l.B: Expedite response action by holding parties accountable to scheduled
cleanup commitments. OSRE has established and analyzed baseline data on the status of
PRP compliance with work obligations under enforcement instruments. A memorandum
is under development encouraging Regions to consider unilateral EPA modification of
deficient PRP deliverables as a tool to limit cleanup delays. A substantial noncompliance
(SNC) tracking measure is under development supporting timely and appropriate EPA
enforcement responses to bring responsible parties into compliance with enforcement
instruments. It should be ready for implementation by the end of FY 2011. In FY 12,
compliance trends and existing procedures for responding to SNC will be evaluated and a
compliance strategy will be developed, if appropriate,
iv. Objective 2.12, A: Promote strategy for early enforcement at removals. A new
"Enforcement First5' policy is pending that addresses completing the preliminary PRP
search prior to initiating the non-emergency removal, A Removal Enforcement
Workgroup was formed which includes removal managers, enforcement managers, and
attorneys to share information on effective removal enforcement approaches.
v. Objective 2.12.B: Ensure enforcement authorities are used, "when appropriate, to
maximize PRP performance of remedial investigations/feasibility studies. OSRE is
currently reviewing site-specific data and information related to EPA's decision to use
the Trust Fund to perform RI/FS at a site to evaluate whether EPA's current approach for
ensuring "enforcement first" for Rl/FS is effective at maximizing PRP performance of
the RI/FS. Once complete, a recommendation will be made to continue the current
approach or develop and implement improvements to further promote PRP-Iead RI/FSs.
During the work planning meetings, we would like to discuss each Region's list of
potential Fund-lead RI/FS starts for FY 2012 and each Region's strategy for completing
and documenting the preliminary PRP search prior to using the Fund to perform the
RI/FS. We would also like to review Regional FY 2011 decisions to use the Fund for
Rl/FS.
2. Remedial Program
-------
During FY 2012, OSRTI will continue to have substantial work under the four JCI objectives.
This work is highlighted below,
a) Objective I - Starting Cleanups
i. Objective 1.5A-E: Strengthen CERCLA 's site assessment and listing processes to
improve effectiveness. OSRTI will continue its work to improve the effectiveness of site
assessment and the listing process, including:
A. Improve the effectiveness of the current site assessment process under CERCLA
B. Explore opportunities to revise the Hazard Ranking System and related policies
C, Improve the transparency and effectiveness of the NPL listing process
D. Improve the transparency and effectiveness of the NPL-Caliber Approach
(formerly Superfund Alternative Approach),
ii. Objective 1,6: Evaluate the Superfund consultation process and policy far States, Tribes,
Local Governments, and Communities, OSRTI will continue its work to assess regional
practices for involving local communities, including states, local governments, and tribes
during the site assessment process.
b) Objective 2 - Advancing Cleanups
in. Objective 2.4A: Improve efficiency of administrative and contracting processes. The
Superfund program will be led by a joint OSWER, OARM team to review contracting
strategy while incorporating OMB's recent memoranda related to improvements and
efficiencies in the acquisition process.
iv. Objective 2.6A: Improve administrative efficiency of administrative grant and
contracting processes. Over the past few months, OSRTI has been leading an effort to
review our current remedial acquisition efforts and plan for the next five to 10 years, A
workgroup consisting of HQ and regional program personnel as well as regional and HQ
contracting staff (including the Office of Small Business Programs) is developing an
updated strategy for the remedial program to supplement the Contracts 2010 initiative.
The Contracts Management Branch in OSRTI will be coordinating the implementation of
the Contracts 2010 initiative as it applies to the Superfund remedial program. OSRTI
anticipates that guidance for implementing changes will be developed in conjunction with
Regional project officers and contracting officers and incorporated into standard
operating procedures for remedial contracting. In addition, OSRTI plans to conduct
Regional reviews of remedial contracting processes in order to foster cross-regional and
cross-program communication and sharing of best practices. OSRTI will discuss the
reviews further during work planning and will solicit ideas and participants for review
teams.
v. Objective 2.9: Streamline, as appropriate, Superfund remedial hoards and panels.
OSRTI will complete its work to evaluate opportunities to improve the functioning of the
National Remedy Review Board and the Contaminated Sediments Technical Advisory
Group and begin implementation of new protocol, including any increased opportunities
-------
for greater community and tribal input for consideration during deliberations.
vi. Objective 2.9: Evaluate opportunities to improve the timeliness, transparency, and
quality of Remedy Decision Documents at Superfvnd sites. OSRTI has convened a
Regional/HQ group to evaluate existing guidance and process, identify the need for
additional guidance based on emerging issues, evaluate opportunities to expand
community and tribal involvement, and review ways to streamline HQ's consultation
requirements for decision documents.
vii. Objective 2.12: Evaluate opportunities to provide greater support in optimizing cleanup
of Superfund sites, OSRTI will continue to work with EPA regions to finalize a national
optimization strategy and provide technical support mechanisms for use in conducting
site optimization work.
viii. Objective 2.12: Accelerate and improve the management of Superfund remedial projects.
OSRTI will support regions in implementing pilot projects to explore new ways to
accelerate or otherwise improve remedial project management at Superfund sites. In
addition, regions will continue to implement and evaluate the newly applied Best
Management Practices adopted from other regions. Finally, OSRTI will continue its work
with regions to strengthen Superfund remedial site-related technical support.
c) Objective 3 - Completing Cleanups
ix. Objective 3.3A-B: Improve consideration of institutional controls and improve
community understanding of five-year reviews. OSRTI will continue to:
A. Improve consideration of institutional controls at sites; and,
B. Improve community understanding of five-year reviews.
x. Objective 3.7: Explore opportunities to achieve Human Exposure under Control at NPL
sites. OSRTI will continue to assess exposure conditions and site cleanup progress at
Human Exposure Insufficient Data (HE ID) sites; and, in consultation with the National
Environmental Indicators Workgroup continue data analyses to identify areas where
increased focus may move sites out of HE ID. OSRTI will continue to explore region-
specific 5-Year Review planning data as an indicator of the potential for site fallback out
of the Human Exposure Under Control category,
d) Objective 4 - Evaluate Performance Metrics and the Effectiveness of the ICI Activities
XL Objective 4,2: Measure the effectiveness of the ICI activities and report annually on ICI,
The Center for Program Analysis (CPA) will work with OSRTI and others to annually
review and report publicly on the progress made on all commitments in the ICI. In
addition, an effort is underway within OSRTI to streamline and improve the Site Profile
pages for all NPL and SAA sites. The content presented on the individual pages is being
reviewed in concert with the regional site profiles in an attempt to re-engineer both pages
into one and present a unified One EPA message. OSRTI in conjunction with the regions
will work together to develop model content to be used as the format on all profile pages.
-------
Once completed, the model content will communicate a cohesive message of how
Superfund sites advance through the pipeline. The site profile pages will also be a
platform for conveying individual site progress on key program measures internally and
externally.
B. Community Engagement Initiative
In December 2009. the Assistant Administrators of OSWER circulated for public comment a draft
Proposed Action Plan for OSWER's Community Engagement Initiative (CEI). The CEI Implementation
Plan was released in May, 2010. The CEI seeks to enhance OSWER and regional office' "engagement
with local communities and other stakeholders (e,g.} state and local governments, tribes, acadernia,
private industry, other federal agencies, non-profit organizations) to help them meaningfully participate
in government decisions on land cleanup, emergency preparedness and response, and the management
of hazardous substances and waste." The CEI is organized into three goals:
> Develop transparent and accessible decision-making processes to enhance meaningful
community stakeholder participation;
> Present information and provide technical assistance in ways that will enable community
stakeholders to better understand environmental issues and participate in an informed way during
the decision-making process;
> Produce outcomes that are responsive to stakeholder concerns and arc aligned with community
needs and long-term goals to the extent practicable
The actions for the Enforcement and Remedial Programs under the three goals are outlined below.
Additional information about the CHI including detailed descriptions and specific actions can be found
on the web at Mipj^vy^-.vjM^
1. Enforcement Program
The Superfund enforcement program has identified the following action that supports the
objectives of the CEI. An update on the progress of these actions will be provided during work
planning.
a) Objective 2 — Enforcement Processes
/. Action 5 - Review and analyze current enforcement policies and activities to determine
how to engage communities affected by enforcement actions while still being consistent
with ethics rules, federal rules and applicable laws:
o Evaluate public access to relevant enforcement information and determine steps to
implement the findings,
o Take steps to increase public access to information relating to enforcement
activities under RCRA and CERCLA.
o Review existing guidance and policy materials to determine what additional
documents, if any, are needed to better explain the enforcement processes under
RCRA and CERCLA,
o Prepare a compendium of best practices.
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2. Remedial Program
OSRTI has been assigned as leads to specific actions under each of the three CEI goals, and
many of the CE! actions will require OSRTI work effort to complete.
a) Objective 1- Decision-making Processes
r. Action I-OSRTI will evaluate critical decision-making processes and guidance to
determine if changes are warranted to strengthen our community involvement efforts,
b) Objective 3 - Technical Assistance
il Action 7- OSWER evaluated the EPA technical assistance programs in FY1J. OSRTI
plans lo develop a guide for conducting a technical assistance needs assessment, and
explore opportunities to partner with outside organizations that provide technical
assistance,
c) Objective 4- Risk Communication
Hi. Action 11- OSRTI will deliver a specialized risk communication course to Regional staff
d) Delivery of Information
iv. Action I3b- Evaluate and Improve Delivery of Information: Superfund Information
Repositories. OSRTI will implement a series of recommendations that will allow for the
establishment of electronic information repositories.
e) Objective 6 - Community Engagement Training
v. Action 14 - OSWER and OSRTI will develop an OSWER-Wide/Regional Community
Engagement Training Program for EPA OSWER and Regional Employees
C. FY2011 - FY2015 Strategic PBan
The Agency has a new Strategic Plan for FY2011 - FY2015. The implementation of the plan was
delayed in FY 2011 due to the delay in passage of the FY 2011 budget. The current plan contains some
key changes for the Enforcement and Remedial Programs, highlighted below. The FY2011 - FY2015
Strategic Plan can be reviewed at hjijoi^Vww.^^
1. Enforcement Program Shift to Goal 5
The new Strategic Plan includes revisions lo the five major goals. Most notably, the Superfund
Enforcement program shifted from Goal 3 - Cleaning up Communities (formerly known as Land
Preservation and Restoration) to Goal 5 - Enforcing Environmental Laws. Within Goal 5, Superfund
Enforcement is under Objective 5.1 which states: Pursue vigorous civil and criminal enforcement that
targets the most serious water, air, and chemical hazards in communities. Assure strong, consistent, and
effective enforcement of federal environmental laws nationwide.
2, Remedial Program Shift to Objective 3.3
The new Strategic Plan moves the Superfund Remedial Program from Goal 3, Objective 2 to
Goal 3, Objective 3. Goal 3 is now Cleaning Up Our Communities and Advancing Sustainable
8
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Development. Objective 3 is to Restore Land, This programmatic objective is the same as in previous
years, but regions should be aware that the objective number in the Strategic Plan has changed.
D. Tailored Oversight
On December 22, 2006, "Using RCRA's Results-Based Approaches and Tailored Oversight Guidance"
was issued jointly by OSRE and OSRTI (see the following URL:
http:/Mww.epa.goy/compliancefe The
guidance suggests that Superfund program managers consider tailoring the oversight process
requirements to site-specific circumstances, so that the Agency and the PRPs may more efficiently and
cost-effectively manage site cleanups.
Using tailored oversight may provide substantial cost savings in the total costs expended for a site.
Accordingly, the Agency should reassess the level of oversight it performs on a site-specific basis and
make adjustments where appropriate applying the principles provided in Section III of the guidance
when developing oversight plans with PRPs for their respective Superfund sites.
In addition, there is another guidance titled the "Interim Guidance on Implementing the Superfund
Administrative Reform on PRP Oversight," OSWER Directive #9200,0-32P, and dated May 17, 2000.
See: httpiyAwww_.ej>a.gov/superfund/pro This document emphasizes the
need for open dialogue between EPA and PRPs to foster improved relationships and to help achieve
appropriate levels oversight. For instance, EPA cover letters for oversight bills should provide PRPs
with the ability to meet with the regions to discuss any concerns related to their oversight bill.
Pursuant to the Interim Guidance and the cover letter provision, OSRE will be asking each Region the
following questions:
I. Are you familiar with the guidance?
2. if so, what steps have you taken to implement the guidance?
3. How often have PRPs requested meetings to discuss their oversight concerns?
4, How often has the Region met with PRPs to discuss their oversight costs?
5. Were these meetings helpful and did they result in any formal modifications to the PRP oversight
plans and corresponding costs?
E. American Reinvestment and Recovery Act (ARRA)
The Superfund Remedial Program continues to work to expend the S578 million allocated to site work
in Recovery Act funding in an efficient and transparent manner, OSRTI will review Regional progress
toward meeting programmatic goals for expending ARRA funds., and meeting reporting requirements.
Regions will have an opportunity to discuss any difficulties they are having with accomplishing stated
goals under the Recovery Act as well as individual site progress.
F. Contracts Laboratory Program
In the 3rd and 4th quarters of FY 2011, the funding approach for the Contract Laboratory Program (CLP)
changed dramatically due to budgetary realities and Regions were given an allocation to use for CLP
-------
services. The 3rd & 4th quarter allocation amounts were agreed upon through the Analytical Services
Advisory Committee (AS AC). The AS AC will also determine the allocation methodology for FY 2012.
Since regions now have a fixed CLP budget, extra planning and tracking must take place to efficiently
and effectively use their funds. Each Region has a CLP Regional Sample Control Coordinator (RSCC)
to assist remedial project managers in obtaining sample analysis through the CLP. Close communication
and coordination between Superfund staff and CLP RSCCs is required to ensure adequate CLP fiinds are
available when sample analysis is needed.
In order to optimize the use of available CLP funds, regions should consider the following when
scheduling CLP work:
* Planning sampling work far enough in advance to allow for use of 21 -day turnaround times
(TATs), 21-day TATs are generally less costly than 7-day and 14-day TATs.
• Using special account funds for analysis at a site with a special account. Standard procedures
have been developed to apply these funds toward CLP work and track the funds accordingly.
* Evaluating sampling plans to ensure the minimum number of samples are taken and analyzed to
inform needed site-specific decisions.
Regions can supplement the CLP allocation with other funds if needed. The Regional CLP RSCC can
coordinate this with Analytical Services Branch staff as required.
Information on the CLP, including Regional contacts, can be found at
^^LJSM^ilY^H^^^
ill. Agency Level Performance Measures
As in previous years. Headquarters and the regions will negotiate regional targets for each ACS
performance measure for FY 2012 through a formal bidding process that is captured in OCFO's ACS.
This process culminates in the development of final regional commitments that have been agreed upon
by both Headquarters and each Region. These individual commitments are developed against the
backdrop of the Agency's 2011-2015 Strategic Plan. Detailed definitions and information requirements
associated with these measures are in the FY 2011 Superfund Program Implementation Manual (SPIM),
which is available at !nliKu}s\:';^:QD4oi^
In May 2011, Headquarters initiated the ACS commitment process for FY 2012 by finalizing the text of
all performance measures in ACS and by entering the value of zero in the "Proposed Bid" field for each
performance measure.
Headquarters will use ACS reports to confirm regional GPRA targets during work planning meetings.
Draft FY 2012 Regional Commitments are due and must be entered into ACS by July 8. Headquarters
will discuss draft regional commitments during the annual work planning sessions and will work with
the regions to try to ensure that the cumulative regional commitments meet the national commitments
10
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for FY 2012. In agreeing to a specific regional commitment for each of its performance measures, each
Region commits to accomplishing the agreed-upon results in FY 2012.
By October 3, Regions will enter their final FY 2012 commitment into ACS for all performance
measures. Headquarters and Regions must agree on the final FY 2012 regional commitments for all
performance measures by October 21. Finalized commitments must be entered into ACS by October
28. Unresolved performance commitments will be elevated for resolution to the DAA/DRA during the
week between those two dates.
The Superfund Remedial program will rely on the SCAP-15 GPRA Measure report and the SCAP 14
Accomplishments report to report FY 2012 measure accomplishments while the Enforcement Program
will rely on the SCAP 14 Accomplishments report and the ENFR 67 report for FY 2012 GPRA measure
accomplishments. All commitments and the associated resources will be subject to review during the
annual midyear reviews.
Finally, in FY 2012, OSRT1 will continue to track and report the measure status at sites with Superfund
Alternative Agreements (SAA). Accomplishments at these sites will be tracked in the SCAP 15 reports
devoted to such sites.
1. EnfofcementJPrQgram GPRA Measures
a) Existing GPRA Measures
Superfund Enforcement Program GPRA Measure
Maximize PRP participation by reaching a settlement or taking an
enforcement action by the time of the RA start at nonfederal Superfund sites
(with RA starts during the fiscal year) with viable, liable responsible jjarties
Address past costs at sites with Statute of Limitation (SOL) eases and
unaddressed past Superfund costs greater than or equal to $200,000
By 2015, obtain commitments to clean up 1.5 billion cubic yards of
contaminated soil and groundwater media as a result of concluded CERCLA
arid RCRA corrective action enforcement actions
ACS Code
OSRE-01
GSRE-02
FY 2012
National
Target
99%
100%
300M
cu yds
Under the new strategic plan, the Superfund enforcement program will continue to pursue the
"Enforcement First" strategy (also see Attachment A - SEALS Major Focus and Reporting Areas for
FY 2012). Under Goal 5 of EPA's Strategic Plan (Enforcing Environmental Laws), one of the
Enforcement's GPRA goals is to maximize PRP participation by "reaching a settlement or taking an
enforcement action by the time of the remedial action start at 99% of non-federal Superfund sites (with
RA starts during the fiscal year), including NPL sites and sites with Superfund Alternative Agreements,
that have known viable, liable parties." There has been no change to this measure.
In addition to ensuring PRP participation in conducting or funding cleanup, another objective of the
Enforcement Program under Goal 5 of the Agency's Strategic Plan is to recover costs from PRPs when
EPA expends Trust Fund money. The goal here is to "address all costs at sites with SOL cases and
unaddressed total past Superfund costs equal to or greater than $200,000." This goal addresses al! sites
11
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funded with Superfund dollars, not just Superfund sites. There has been no change to this measure,
As part of the Goal 5 sub objective. Support,Qemis^_yp_QuijCginmunitie_s, OECA added a new GPRA
measure which applies to the Superfund Enforcement and RCRA Corrective Action programs.
By 2015, obtain commitments to clean up 1.5 billion cubic yards of contaminated soil and groundwater
media as a result of concluded CERCLA and RCRA corrective action enforcement actions.
The OECA GPRA measure which was new in FY 2011, is a national measure with a target of 300
million cubic yards per year. As such, the regions are not required to post targets in the Annual
Commitment System. Regional ICIS data entry staff are responsible for entering VCMA information
into OECA's ICIS database. Further information on calculating VCMA may he found in the "Final
Methodology for Estimating Superfund and RCRA Corrective Action (CCDS) Environmental Benefits
12-12-03."
b) New Enforcement Measures
In alignment with the Assistant Administrator's external goal of pursuing pollution
problems that matter to communities, OSRE is currently conducting the Site Cleanup
Enforcement Performance Measures Evaluation (SCEPME) Project to better describe,
characterize and analyze performance measures with the objective of enhancing the portfolio of
Agency site cleanup enforcement performance measures. This process will include a review of
not only GPRA measures but also performance measures from a variety of accountability
systems including senior management measures, key management measures. Annual
Commitment System measures and others.
Site cleanup enforcement performance measurement evaluation can include, in addition to other
possible criteria, greater coverage and breadth for site clean up enforcement measures in terms of
inputs, outputs, behavioral outcomes, environmental outcomes through pilot projects, models and
case studies. Examples of new measure categories could include but are not limited to: refined
pollutant loading measures (e.g., hazardous substance pounds or pound equivalents), exposure
measures (e.g., groundwater wells protected), and economic metrics (property value appreciation
of adjacent properties to remediation sites).
Under the current SCEPME proposal, three new performance measures proposals should be complete by
the end of Fiscal Year 2011. At least one of these will have either a case study or pilot approved or
under way. Moreover, tool development supporting the development of more outcome oriented
measures will complement these efforts. OSRE is currently working in conjunction with the Office of
Compliance to develop a draft calculator to assist in estimating hazardous substance loadings from the
Volume of Contaminated Media Addressed.
2. Remedial ProgramJPerformanjce Measures
In FY 2012, the Remedial Program will continue to set commitments and report progress against
all of its current six ACS measures three of which are GPRA: Remedial Site Assessment Completions,
RA Project Completions, Human Exposure Under Control, Groundwater Migration Under Control,
12
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Sitewide Ready for Anticipated Use and Construction Completions. The proposed FY 2012 national
targets for each of these measures are included in the following table:
Superfund Remedial Program Priority Performance Measure
Remedial Site Assessment Completions
Remedial Action Project Completions
Construction Completions (CCs)
Human Exposure under Control (HEUC)
Ground water Migration under Control (GMUC)
Sitewide Ready for Anticipated use (SWRAU)
GPRA
V
^
V
ACS Code
122
131
141
151
152
sio
Proposed FY
2012 National
Target
800
130
22
10
15
65
IV. Program and Resource Management
A. Program Management
1. Remedial and Enforcement Targets
During work planning, OSRTI and OSRE will confirm the start and completion targets for the
Fund- and PRP-!ead actions listed below consistent with the SPIM guidance
(http;//www',epa.gov/superfund/ac-tioa/process/spimlO/pdfs/FY! 0_SPIM.pdf,). We will use the
Superfund eFacts webpage (Charts/NPL/Perforrnance Analysis) based on the SCAP 14A logic that
shows Targets, Plans and Accomplishments for the prior three fiscal years, as well as the future four
fiscal years. With the exception of special accounts,, this means that there will not be a specific pull date
that all regions must have their CERCLIS numbers updated by. Instead, regions should make sure that
CERCLIS is up to date three days prior to their scheduled meeting, in order to allow Headquarters
time to pull the most up to date numbers and prepare for the meetings,
i. Remedial Site Assessment Decisions
ii. RJ/FS Starts
iii. NPL Decision Documents (RODs, ROD Amendments, ESDs, Action Memos for NTCR)
iv. RD/RA Negotiation Starts and Completions
v. RD Starts and Completions
vi. RA Starts and Completions
vii. Five-Year Reviews
viii. NPL Deletions
ix. Past Costs Addressed
Regions should target those FY 2011 Fund-financed RA start projects for which they have entered
planned obligation data pursuant to the section on Planning Estimates for Remedial Construction.
Final QA of the summary level target data must be completed in CERCLIS by October 7, followed by
site-specific detail level targets on November 6.
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2, Five-Year Reviews
Five-Year Reviews (FYRs) continue to be a primary focus for ensuring remedy protectiveness
during post construction. In FY 2012, over 224 statutory and policy reviews and 28 addendums are
anticipated. Completed reviews are posted on the national FYR websites at:
!iUPJ^>i>V^,:?ri">:&9y^ ar>d summarized in the annual
SuperfundFive-Year Review Report to Congress.
OSRTI continues to work with the regions to improve five-year review data quality. The regions are
responsible for ensuring FYR planning information (due date, FYR type, and triggering action) is
accurate in CERCLIS. The results of FYRs (completion date, issues/recommendations, and
protectiveness statements) should be entered in CERCLIS within 10 working days of the signature date
of the FYR. In addition, branch chiefs in the regions should update the status of all outstanding issues
and recommendations in CERCLIS at a minimum of twice a year or as events warrant. As part of the
discussion on response targets, Headquarters will confirm the regions' targets and the accuracy of the
five-year review CERCLIS planning data,
3. Institutional Controls
Headquarters will continue to pursue discussions with the regions on 1C evaluation and
implementation issues and support their data entry efforts into the Superfund Enterprise Management
System (SEMS).
Headquarters and regional enforcement personnel are providing key support as the regions populate data
in SEMS, and report the status of CC sites to the public via the internet. As we continue to implement
the Strategy and populate the SEMS database, regions may determine that additional information or
work is needed at sites to effectively review and/or implement ICs. For sites where PRPs have entered
into consent decrees, the regions should use the processes and examples provided in the March 2006
memo entitled, Enforcement First to Ensure Effective Institutional Controls at Superfund Sites.
Additionally, the regions should incorporate the revised 1C provisions included as part of the 2009
revisions to the model CERCLA RD/RA Consent Decree (CD) and similar revisions to other model
enforcement documents. As part of their Sitewide Ready for Anticipated Use determinations, regions
should consider whether all ICs called for in the decision documents are in place and continue to be
effective. Finally, regions should continue to improve EPA's capacity to address the challenges of using
real property based ICs (e.g., implementing restrictive covenants and negative easements, and acquiring
title evidence for monitoring and compliance assurance purposes) at sites by conducting training on real
property law and procedure.
4, Site Assessment/NFL Listing
Regions must work toward meeting the FY 2012 proposed commitment of 800 remedial site
assessment completions and be prepared to discuss their contribution toward meeting this cumulative
goal. Assessment activities and outcomes must be tracked in CERCLIS as prescribed in the Superfund
Program Implementation Manual (SPIM) Appendix A.
Headquarters will measure regional progress on sites still needing assessment with special emphasis on
sites over one year old without any assessment started, and (as required by CERCLA section 106{b))
14
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sites over four years old without a listing decision. A listing decision is defined as a site assessment with
a No Further Remedial Actions Planned (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 FY20I2 assessment work; however, the primary goal within the assessment program
continues to be assessing worst sites first.
Regions should work in a collaborative manner with other waste cleanup programs (e.g., removal,
Brownfields, RCRA) to manage the identification and distribution of new sites to the appropriate
cleanup program. Regions should follow state and tribal consultation procedures as described in the
statute, NCP and current guidance, and document work-share agreements covering NPL-caliber sites
being remediated by states or tribes using a non-NPL approach. Regions should consult with the lead
agency on an annual basis to review progress at each NPL-caliber site covered under a work-share
agreement.
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. 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.
B. Resource Management
1. Enforcement Resources
Starting in FY 2012, if approved by Congress in an enacted budget, Superfund Enforcement will
shift from Goal 3 to Goal 5, to better align the Agency's enforcement program measures and resources.
The new program code will be 501EC7.
The FY 2012 President's Budget Request includes reductions of approximately $800,000 to the
Superfund enforcement extramural resources budget. An initial allocation of $4.8M in FY 2012
extramural dollars has been prepared and will be discussed during the work planning sessions. This
represents approximately 60% of requested levels.
As in prior fiscal years, extramural resources will be directed to support new site-specific enforcement
activities while also recognizing need based on historical usage. For an explanation of the allocation
process, please refer to Chapter 2 of the Superfund Program Implementation Manual (SPIM) FY11,
section II.D.5 at
b!!Gl//^:DY'.£ES4L^
2, Remedial Resources
OSRTI expects possible budget reductions in FY 2012 since the FY 2012 President's Budget
Request contains a roughly $31 million reduction to the Superfund Remedial Program. If continuing
resolutions are adopted at the beginning of the fiscal year, OSRTI will work with the regions to ensure
that critical first quarter funding needs are addressed. First quarter resource needs should be highlighted
during work planning discussions. In FY 2012, as in previous fiscal years, Headquarters will adjust
resource allocations throughout the year based on actual end-of-FY 2010 accomplishments, site-specific
circumstances, final appropriations, carryover funds, and deobligations.
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a) Pipeline Operations Site Allowance (Pipeline SA)
For FY 2012 work planning, we will continue to collect Pipeline action target information
consistent with our standard implementation of the Pipeline allocation methodology. Due to possible
budget reductions in FY 2012, regions should plan to receive between 85-90% of the resources they
received in the Pipeline SA for FY 2011. OSRTI will use FY 2012 SCAP I4A site-specific detail
targets in CERCLIS as of November 8» 2010, for the following actions to run the Pipeline Allocation
Methodology Model, which is unchanged from FY 2011:
I. Fund RI/FS Starts
ii. RP RI/FS Starts
ili. Fund RD Starts
iv. RPRD Starts
v. RP RA Starts
Site-specific targets entered into CERCLIS in November most be consistent with the summary targets
agreed upon during the work planning meeting (these summary targets are to be entered into
CERCLIS by October 7 — see section of this memo on Remedial and Enforcement Targets),
OSRTI will issue a draft allocation in mid-November and a final allocation once an Agency Operating
plan is established.
b) Ongoing Construction Projects
For work planning, Ongoing Construction Projects include currently ongoing Fund-lead RAs,
new and ongoing Long Term Remedial Actions (LTRAs), Five-Year Reviews, currently ongoing Fund-
lead removal actions (RVs) funded through the Remedial program budget, and any ongoing or planned
Enforcement Fairness projects thai have been agreed to by OSRTI and OSRE.
By July 22, regions must update CERCLIS with revised project schedules and associated planned
obligations for a three-year period (FYs 2012-2014), by quarter, using the planned Alternate (ALT)
planning status code for Fund resources, Regions should assess whether special account and Superfund
State Contract (SSC) resources are available to fond a particular project and should enter planning data
into CERCLIS accordingly.
Planned obligations pursuant to annual funding agreements negotiated between OSRTI and the regions
must use the planned Alternate (ALT) planning status code. Additional estimates exceeding a
funding agreement must use the contingency (CON) planning status code for current and future
years.
Based on work planning discussions, regions should update planned obligation data in CERCLIS by
October 7. OSRTI will use the October data to verify work planning understandings and to develop an
Initial Ongoing RA Funding Plan in mid-October, which OSRTI will use as a guide to allocate quarterly
resources among the regions. As OSRTI reprograms funds per the ongoing funding plan, regions should
update accordingly.
16
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c) Mew Construction Projects
For work planning purposes, New Construction Projects include new remedial actions or
removal actions funded through the Remedial program budget.
As with ongoing construction projects, by July 22, regions must update CERCLIS with revised project
schedules and associated planned obligations for a three-year period (FYs 2012-2014), by quarter, using
the planned Alternate (AIT) planning status code for Fund resources. Regions should also assess
whether special account and Superfund State Contract (SSC) resources are available to fund a particular
project and should enter planning data into CERCLIS accordingly. Headquarters plans to send a separate
memorandum asking regions to identify "enforcement fairness" construction projects and resource
estimates for FY 2012 by this same date, where possible.
Regions should enter planning estimates only for those projects that will be ready to start construction in
FY 2012, and:
a) have been previously ranked through the National Priority Panel process and did not receive
assurance of funding as of the end of July 2011 (by October 7, regions must update planned
obligations for ranked projects that did not receive funding in FY 2011); or
b) will be ranked through the National Priority Panel process during FY 2012; or
c) will be completely financed by special accounts or a Region's 25% share of recertified
resources.
d) Special Accounts
Special account management remains a high priority for the Agency. The regions have done an
excellent job in planning uses for remaining resources, and we must continue to build on this success.
Special account available balances in CERCLIS will be updated from the Financial Data Warehouse
(FDW) on July I, and regions should enter planning information by COB July 22. Headquarters will
pull CERCLIS data on July 25 in preparation for summer work planning discussions. Headquarters will
contact regions during the week of July 18-22, to schedule work planning discussions for special
accounts between August 29 - September 2. During work planning meetings, Headquarters review
questions will focus on how special account existing balances are being used to achieve progress in site
cleanup and on special accounts of several types;
i. with unassigned or negative unassigned balances (especially those which have large dollar
amounts or percentages of unassigned remaining balances)
ii. which have FY 2011 and/or FY 2012 planning data for Fund resources;
iii. with "Other" planning estimates or funds planned as contingencies;
iv. with opportunities to reclassify and/or transfer resources to the Trust Fund;
v. where zero funds have been obligated;
vi. with past planned closure dates.
Special account available balances will be updated on October 1, and regions will make final updates to
their plans by October 14. Headquarters will pull CERCLIS data on October 17 for reports to senior
managers on plans for using special account resources and for use in the FY 2013 Congressional
Justification.
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e) State Cost Share Reimbursable Accounts
Similar to special accounts, state cost share reimbursable (TRl) accounts provide a significant
source of funds for site-specific remedial action and LTRA that may be used in lieu of appropriated
resources. OCFO issues a monthly SSC collections and available TRl balance report to the regions,
which the regions should use to ensure that available funds are planned, obligated and expended in a
timely manner. Regional program offices should also work with the regional finance offices to ensure
the report is accurate, since it provides the basis for OCFO approval of requests for reimbursable
authority for TRl funds. Regions have made excellent progress in recent years in using TRl funds and
whittling down available balances, though several accounts still have significant balances available for
obligation. We will use the July 2011 OCFO report for comparison with regional planned obligations for
remedial action and LTRA in preparation for our work planning discussions.
f) Unliquidated Obligations
As is done each year, regions should review unliquidated interagency agreements (lAGs), grants,
cooperative agreements, and contract obligations to determine whether funds can be deobligated from
these vehicles and recertified. Unless a State can legitimately document why existing balances cannot be
expended or deobligated, the Region should deduct from any proposed FY 2012 resource allocation the
value of unliquidated resources obligated prior to FY 2012.
In early October, OSRTI will issue a memorandum requesting regions to characterize, by early
November, remedial resources obligated through FY 2009 that remain unliquidated as of the end of
FY 2011. OSRTI will issue a memorandum in mid-December with draft deobligations targets to
recertify resources to the National RA Pool. OSRTI will request that, by mid-January, regions submit
deobligation plans to meet these targets.
Attachment
cc: James Woolford, OSRTI
Elliot Gilberg, OSRE
OSRTI Managers
OSRE Managers
Dana Tulis,, OEM
David Lloyd, OBLR
Reggie Cheatham, FFRRO
Chloe Metz, Superfund Lead Region Coordinator FY 11, 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
18
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Attachment A
Superfund Enforcement and Legal Support (SEALS)
Major Focus & Reporting Areas for FY 2012
These are the FY 2012 focus areas for the Superfund enforcement and legal support programs These focus areas will be reviewed and
updated annually. Also shown are annuallv reported SF enforcement statistics.
Reference
Name
Pre-RA
Enforcement Action
(GPRA}
Cost Recovery
(GPRA)
VCMA
(GPRA)
PRP Searches
(ici*)
Compliance
Monitoring
(icrj
RD/RA
Negotiations (ici*)
Special Account
Management
Revitalization
Institutional
Controls
Financial
Assurance
Referrals
PRP Response
Commitments**
Cost Recovery
Commitments
Oversight Costs
Collections
Major Focus Areas
Enforcement First/Polluter Pays: Reach a settlement or take an enforcement action
before a new RA start at 95% of non-Federal SF sites with RA starts during the FY
that have viable, liable PRPs.
Help maximize cost recovery by addressing all past costs > S200K at 100% of sites
with upcoming SOLs by referral to DOJ, settlement, write-off, or filing a bankruptcy
claim.
Improve the accuracy and timeliness of VCMA data. Report the estimated VCMA
achieved through enforcement actions, (national target: 1 .56 cu yds by 201 5)
Ensure effective PRP searches and enforcement at the earliest stage of the cleanup
pipeline, including Superfund removal and RI/FS stages
Enter Substantial Noncompliance status data for Superfund Enforcement
instruments in CERCLIS and annually review to identify serious violations and
ensure timely and appropriate enforcement response.
Efficiently negotiate settlements in order to begin cleanups as soon as practicable.
Effectively manage special accounts to maximize the use of funds for PRP- or EPA-
lead cleanup. (Reduce the balance of unplanned funds in special accounts.)
Facilitate the cleanup and reuse of Superfund properties by addressing, in an
enforcement document, the liability concerns of non-iiable parties at RAU sites
{counting site-wide RAU and acres RAU).
Ensure all ICs identified by an EPA document are in place at both PRP-lead and
Fund-lead SF sites.
Ensure that there is financial assurance (FA) in place for PRP clean-up obligations.
Report the total amount of response commitments secured through FA.
Ensure timely referrals of civil actions to DOJ. (# of civil referrals to DOJ.)
Additional Superfund Enforcement Information
Reported Annually by Headquarters to Congress
Estimated $ value of all PRP work commitments and/or cash payments toward
future response costs at a site (based on RODs, Action Memos, or BPJ) to be
completed under entered CDs, AOCs, or UAOs where PRPs have agreed to comply.
The dollar amount of past costs PRPs have agreed to pay to EPA through CDs,
AOCs and voluntary payments during a given FY.
Amounts billed to PRPs for EPA oversight performed pursuant to CDs or AOCs.
The amount of money deposited to the Trust Fund from: settlements, judgments,
billed oversight, UAOs and voluntary payments of past costs.
Data
Source
CERCLIS
CERCLIS
ICIS
CERCLIS
CERCLIS
CERCLIS
IFMS
CERCLIS
CERCLIS
ICTS
CERCLIS
ICIS
CERCLiS
ICIS
CERCLiS
ICIS
IFMS
IFMS
Integrated Cleanup Initiative objective
' OECA "injunettve relief obtained" data are derived from this data.
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Superfund Program Implementation Manual FY 12
Appendix D: American Recovery and Reinvestment Act (ARRA)
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APPENDIX D: American Recovery and Reinvestment Act (ARRA)
Table of Contents
D.A General Information D-l
D.A.I Purpose, Contents, and Applicability D-l
a. Why is EPA issuing this guidance? D-l
b. What is in this guidance? D-l
c. To whom does this guidance apply to? D-2
D.A.2 Responsible Officials in the Superfund Program D-2
D.A.3 Ensuring Accountability for Recovery Act Implementation D-2
D.A.4 Roles and Responsibilities of Other EPA Offices D-2
D.A.5 EPA Governance and Risk Management Activities D-3
D.A.6 Inspector General Activities D-4
D.A.7 Links to Other Information D-4
D.B Superfund Remedial Program Provisions of the American Recovery and
Reinvestment Act D-5
D.B.I Availability of Funds D-5
D.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program D-5
D.B.3 Comparison to Regular Appropriations D-6
D.B.4 Eligible Activities D-6
D.B.5 Distribution of Recovery Act Funds D-6
D.B.6 State Cost Share D-7
D.B.7 Monitoring and Evaluating Recovery Act Implementation D-7
D.C Superfund Recovery Act Communications and Reporting D-8
D.C.I Recovery Act Press Release Procedures D-8
D.C.2 Recovery Act Award Notification Procedures D-8
a. Monday Close of Business D-8
b. Tuesday Noon D-8
c. Thursday D-8
d. Friday D-8
D.C.3 Public Communication Procedures D-9
D.C.4 Recipient Reporting Requirements D-9
D.C.5 EPA Reporting Requirements D-10
D.C.6 Weekly Financial and Activity Reports D-10
D.C.7 Agency and Program-Specific Plans D-ll
D.C.8 Performance Measures D-ll
D.C.9 Reporting and Tracking Systems D-12
D.D Recovery Act Budget Execution Guidance for the Superfund Remedial ProgramD-14
D.D.I Budget Structure and Coding D-14
D.D.2 Allocating Recovery Act General Resources D-15
D.D.3 Allocating Recovery Act Management and Operation Resources D-15
D.D.4 Reprogramming of Recovery Act Funds D-16
D.D.5 CERCLIS Planning D-16
D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds D-17
D.D.7 Cost Recovery D-17
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D.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative
Agreements D-17
D.E.I Recovery Act Financial Award Vehicles D-17
D.E.2 Contracts D-18
D.E.3 Interagency Agreements and Interagency Assisted Acquisitions D-18
D.E.4 Best Interest Reviews for Assisted Acquisitions D-18
D.E.5 Direct Cite Programs D-19
D.E.6 Cooperative Agreements D-19
D.E.7 Superfund State Contract Payment Schedules D-19
D.E.8 Socio-Economic Goals D-20
D.E.9 Bona Fide Needs Rule D-20
D.E.10 Infrastructure and Buy American Provisions D-20
D.E.I 1 Davis Bacon Act D-21
D.E.12 Funds-In Interagency Agreements for Federal Facility Oversight D-22
List of Exhibits
D.I. Attachment A: Funding Award Notification Template D-23
D.2. Attachment B: OMB Definition of Obligation and Outlay D-25
D.3. Attachment C: Class Deviation Approval 3/9/09 D-27
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APPENDIX D: AMERICAN RECOVERY AND REINVESTMENT
ACT (ARRA)
D.A GENERAL INFORMA TION
D.A.I Purpose, Contents, and Applicability
a Why is EPA issuing this guidance?
The U.S. Environmental Protection Agency (EPA) developed this guidance in response
to the American Recovery and Reinvestment Act of 2009 ("Recovery Act" or "Act")
(ARRA) which provides a supplemental appropriation of $600 million for Superfund
remedial activities authorized by the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA)1. The Recovery Act requires unprecedented
levels of transparency, accountability, and oversight to ensure that taxpayers know how,
when, and where their tax dollars are being spent. This program guidance is a resource to
assist Headquarters (HQ) and regional Superfund remedial program offices in the
effective management of Recovery Act activities and to help ensure that EPA expends
the Recovery Act funds in an accelerated and accountable manner.
b. What is in this guidance?
This guidance provides information on the implementation requirements of the Act for
the Superfund remedial program, the communication and reporting processes related to
Recovery Act funds, enhancements to standard budget execution procedures, and funding
award implementation information.
The goal of this guidance, consistent with the Office of Management and Budget's
(OMB's) accountability objectives for all agencies, is to establish and clarify the requisite
steps the Superfund remedial program, in consultation with regional acquisition offices,
must take to meet the following crucial accountability requirements of the Recovery Act:
Funds are awarded and distributed in a prompt, fair, and reasonable manner;
The recipients and activities related to all funds are transparent to the public and
the benefits of these funds are reported clearly, accurately, and in a timely
manner;
- Funds are used for authorized purposes and instances of fraud, waste, error, and
abuse are mitigated;
- Projects funded under this Act avoid unnecessary delays and cost overruns; and
1 This document provides guidance to Regional staff and states regarding how the Agency intends to interpret and
implement the American Recovery and Reinvestment Act of 2009. This document does not impose legally binding
requirements, nor does it confer legal rights, impose legal obligations, or implement any statutory or regulatory
provisions. This document does not change or substitute for any statutory or regulatory provisions. Any decisions
regarding a particular situation will be made based on the statute and the regulations, and EPA decision-makers
retain the discretion to adopt approaches on a case-by-case basis that differ from the guidance where appropriate.
FY 12 SPIM D-l March 20, 2012
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OSWER Directive 9200.3-14-1G-W
- Program goals are achieved, including specific Superfund remedial program
performance measure outcomes.
Work conducted with Recovery Act funds will supplement the current cleanup activity
projected to occur using base appropriated program resources.
c. To whom does this guidance apply to?
The provisions of this guidance apply to all EPA offices involved in or affected by the
Superfund remedial activities funded by the Recovery Act. States should work with EPA
regions to ensure funds are used consistent with the Act.
D.A.2 Responsible Officials in the Superfund Program
The National Policy Managers for the Superfund remedial program are the responsible
officials for ensuring that EPA implements and expends Recovery Act funds in accordance with
the requirements of the Recovery Act and the related procedures outlined in this guidance. In
HQ, the responsible official is the Director of the Office of Superfund Remediation and
Technology Innovation (OSRTI). In the regions, the responsible officials are the Superfund
Program Division Directors.
On March 20, 2009, President Obama issued a memorandum, Ensuring Responsible
Spending of Recovery Act Funds, which establishes requirements for ensuring merit-based
awards, avoiding imprudent projects, and disclosing communications with lobbyists. All federal
personnel involved in Recovery Act implementation must closely review this memorandum and
take all necessary steps to ensure full compliance. The memorandum can be found at
http://www.whitehouse.gov/the_press office/Memorandum-for-the-Heads-of-Executive-
Departments-and-Agencies-3-20-09/. On April 3, 2009, OMB issued an update to its initial
guidance, providing a second installment of government-wide guidance. The April guidance
supplements, amends, and clarifies the initial guidance. That memorandum can be found at
http://www.recoverv.gov/sites/default/files/m09-15.pdf
D.A.3 Ensuring Accountability for Recovery Act Implementation
The Superfund program will ensure that the expenditure and monitoring of Recovery Act
funds is transparent and that appropriate, qualified, and certified staff oversee the use of
Recovery Act resources. Working with established Agency and Recovery Act guidelines, the
Superfund program will ensure that it monitors and reports Recovery Act resource utilization and
project progress in an effective and timely manner. The responsible officials for the Recovery
Act funding (the Director of OSRTI and the Regional Division Directors) will have timely and
regular meetings to resolve any issues related to Recovery Act-funded projects. In addition, EPA
will update personnel performance standards for Agency management and staff to reflect
Recovery Act management and oversight activities.
D.A.4 Roles and Responsibilities of Other EPA Offices
Several EPA offices are responsible for overseeing aspects of the Agency's Recovery Act
implementation to ensure that the Superfund remedial program meets the Act's requirements:
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• Office of Environmental Information (OEI) manages the information to support the
goals of the Recovery Act, including transparency, reporting, and accountability. OEI
is responsible for facilitating the transparency of information related to Recovery Act
activities, and ensuring information collection and proper dissemination.
• EPA's Office of Inspector General (OIG) ensures that EPA manages its Recovery Act
funds economically and efficiently. The Act specifically authorizes EPA's OIG to
mitigate fraud, waste, error, and abuse in the use of Recovery Act funds.
• Office of the Chief Financial Officer (OCFO) manages financial services, strategic
planning, Agency budgets, annual plans, and performance and accountability
reporting. Under the Act, OCFO has major responsibilities for risk management tied
to the allocation and distribution of Recovery Act funds. OCFO is responsible for
accounting for EPA's expenditures of these funds.
• Office of Administration and Resources Management (OARM) directs the Agency's
acquisition management function, consistent with the Federal Acquisition
Regulations Office of Acquisition Management (OAM). OARM also manages EPA's
grants and debarment activities Office of Grants and Debarment (OGD) as well as the
Agency's human resource and facility management functions. OARM has developed
the Agency's procurement strategy for the Recovery Act to ensure that EPA awards
and distributes the funds in a prompt, fair and reasonable fashion. EPA has designated
Craig E. Hooks, Acting Assistant Administrator of OARM, as the Agency's Senior
Responsible Official (SRO). The SRO has responsibility and authority to coordinate
Recovery Act activities across Agency programs.
• Office of Public Affairs (OPA) coordinates and approves all press events related to
the Recovery Act. They also shepherd press announcements through the OMB and
White House approval process.
• Office of Congressional and Intergovernmental Affairs (OCIR) coordinates and
implements all Congressional Recovery Act notification activities.
• Office of Enforcement and Compliance Assurance (OECA) assists other federal
agencies in their timely compliance with National Environmental Policy Act (NEPA),
acquires other necessary EPA approvals for Recovery Act funded actions, and assists
with reporting and green principles coordination.
D.A.5 EPA Governance and Risk Management Activities
The Recovery Act (Division A, Title XV, Subtitle B, 1521) established the Recovery
Accountability and Transparency Board to coordinate and conduct oversight of covered funds
and to prevent fraud, waste, and abuse. OMB will work with agencies to meet the accountability
objectives.
OMB's guidance sets out the requirement that agencies designate a senior accountable official for
Recovery Act activities. EPA has designated Craig E. Hooks, Acting Assistant Administrator of
OARM, as the Agency's Senior Responsible Official (SRO). The SRO has responsibility and
authority to coordinate Recovery Act activities across Agency programs. In addition, EPA has
established a stimulus steering committee, chaired by Nancy Gelb, which is organized into four
FY 12 SPIM D-3 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
subcommittees and three advisory members. The following chart shows the steering committee
structure and the chairpersons of each subcommittee. Each subcommittee includes an Office of
Solid Waste and Emergency Response (OSWER) representative.
Agency Senior
Responsible Official
Craig E, Hooks. OARM
Communications
and Outreach
Lisa Schlosser. OPA
Steering
Committee
Nancy Gelb, OARM
(Chair}
Grants and Ir.leragency
Agreements
Howard Corcoran. OARM
Interdisciplinary
Issuer
Joyce Frank. OCIR
(Itfnvwt , /JrfVMOfJ
D.A.6 Inspector General Activities
The Recovery Act allocated $20 million for the OIG to carry out Agency oversight of the
$7.2 billion of Recovery Act funding allocated to EPA (including the $600 million allocated for
the Superfund remedial program). The OIG has developed an initial plan (March 2009) for
oversight activities and their funds are available for obligation through September 30, 2012.
The OIG will assess whether EPA is using Recovery Act funds in accordance with the
requirements and whether EPA is meeting the Act's accountability objectives. They will also
monitor EPA's progress in achieving program goals and ensure that EPA accurately tracks and
reports expenditure of Recovery Act funds. Their work is being closely coordinated with the
Recovery Accountability and Transparency Board.
Once EPA has awarded its Recovery Act funds, the OIG will focus on performance and
financial audits of the Recovery Act programs. This focus will include evaluating and auditing
EPA's use of the Recovery Act funds and assessing the accuracy of the Agency's reporting
information. The OIG will continue to take proactive actions to prevent mismanagement of funds
and will undertake investigations tied to allegations of fraud, waste, and abuse.
D.A.7 Links to Other Information
More information on the Recovery Act and related guidance and implementation
activities can be found at the following web areas:
• National Recovery Act Website: http://www.recovery.gov/
• EPA Recovery Act Website: http://www.epa.gov/recovery/
• O SRTI Recovery Act Web site:
http://www.epa.gov/superfund/eparecovery/index.html
• Recovery Act Plan for the Superfund remedial program:
www. epa. gov/superfund/eparecovery
March 20, 2012
D-4
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OSWER Directive 9200.3-14-1G-W
• The American Recovery and Reinvestment Act:
http ://www. whitehouse. gov/the_press_office/ARRA_public_review/
• OMB's Recovery Act guidance documents:
- Updated guidance (April 3, 2009)
http ://www.recovery. gov/sites/default/files/m09-15 .pdf
Initial guidance (February 18, 2009
http://www.recovery.gov/files/Initial%20Recoverv%20Act%20Implementing%20
Guidance.pdf.
• EPA Office of Inspector General initial plan for oversight:
http://www.epa.gov/oig/reports/2009/InitialEPAOIG_StimulusPlan03-05-09.pdf
D.B SUPERFUND REMEDIAL PROGRAM PRO VISIONS OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT
D.B.I Availability of Funds
The Recovery Act provides $600 million for Superfund remedial activities. In accordance
with the provisions of the Recovery Act, up to 3% may be retained by the Agency for
management and oversight purposes. As such, EPA will allocate $18 million to internal EPA
activities related to the management, oversight, and reporting of Superfund Recovery Act funds,
and will allocate $582 million to remedial cleanup activities at sites.
Recovery Act resources for Superfund remedial activities were obligated by September
30, 2010. Recovery Act resources placed on contracts are available for expenditure until
September 30, 2017. The Recovery Act management and oversight resources were obligated by
September 30, 2011, and are available for expenditure until September 30, 2018. Recovery Act
resources placed on Superfund grants (i.e. Cooperative Agreements) were obligated by
September 30, 2010. In light of the current economic situation and the need for further economic
stimulus, OMB has requested that all remaining Recovery Act grant funds be expended as
quickly and efficiently as possible. If those funds have not been spent by September 30, 2013,
agencies shall reclaim them to the extent permitted by law.
OMB Memo M-l 1-34 link:
http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/mll-34.pdf
D.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program
The overall objectives for the use of Recovery Act funding for the Superfund remedial
program are to further cleanup at National Priorities List (NPL) sites, maximize job creation and
retention, and provide human health, environmental, and economic recovery benefits. EPA will
achieve these objectives by starting new cleanup projects, accelerating cleanups at projects
already underway, increasing the number of workers and activities at cleanup projects, and
returning affected sites to more productive use.
Cleanup activities at Superfund sites receiving Recovery Act funds may also yield
significant site-specific, non-environmental economic benefits, including improved site property
values and job opportunities. EPA will ensure that it conducts Recovery Act-related activities in
FY 12 SPIM D-5 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
a manner that considers environmental justice at sites that suffer disproportionate environmental
impact to ensure that environmentally and economically distressed communities are protected.
The Superfund remedial program will also implement the Recovery Act activities in a
manner that creates an overall healthier environment and lays the groundwork for more efficient,
greener ways to clean up hazardous waste sites. The use of "green technology"2 can emphasize
low-carbon footprint technologies to lower greenhouse gas emissions as well as provide other
substantial "green benefits" such as increased energy and water efficiencies through technology
and use of renewable resources; reduction of land and water contamination and air emissions;
and development of new technologies for broader applications. EPA will consider, to the extent
feasible and permitted by law, using green remediation practices, clean diesel technologies, and
anti-idling practices at Superfund projects receiving Recovery Act funding.
D.B.3 Comparison to Regular Appropriations
There are two main differences between the Recovery Act remedial program funds and
the Superfund remedial program's regular, annual appropriations:
• Unlike the Agency's annual Superfund appropriations which have no required
timeframe for obligation or expenditure, EPA was required to obligate the Recovery
Act appropriation by September 30, 2010 (Recovery Act, Division A, Title XVI,
Subtitle D, 1603) and expend Recovery Act contract funds by September 30, 2017
(September 30, 2018 for management and oversight resources; September 30, 2013
for grant resources).
• The Recovery Act includes unique reporting and funds tracking requirements for
activities funded under the Recovery Act (e.g., jobs created, and more frequent
reporting).
D.B.4 Eligible Activities
The Recovery Act neither expands nor limits eligible uses of Superfund remedial funds,
with the exception of prohibiting Recovery Act funds from uses related to casinos and other
gambling establishments, aquariums, zoos, golf courses, or swimming pools. Under the
Recovery Act, EPA will fund cleanup projects it traditionally funds with its annual
appropriations.
D.B.5 Distribution of Recovery Act Funds
EPA will distribute Recovery Act funding in a manner that promotes both a healthier
environment and jobs that benefit the environment. Recovery Act funding will support both new
start and ongoing Superfund remedial projects to provide immediate short and longer-term
health, environmental, and economic benefits. The Agency anticipates that Recovery Act funds
will support at least 51 NPL sites in 28 states across the country. A list of the sites anticipated to
receive Recovery Act funding is on the Superfund Recovery Act web area and can be found at:
http://www.epa.gov/superfund/eparecovery/sites.html.
Green Remediation: Incorporating Sustainable Environmental Practices into Remediation of Contaminated Sites
US Environmental Protection Agency, Office of Solid Waste and Emergency Response, EPA 542-R-08-002 April,
2008. Link: http://www.cluin.org/greenremediation/
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OSWER Directive 9200.3-14-1G-W
For projects funded with Recovery Act resources, as with projects funded with regular
appropriations, the Superfund program used one of three types of financial awards to implement
remedial activities-contracts, interagency agreements or Cooperative Agreements (CA). (See
section D.E for more information)
D.B.6 State Cost Share
The Recovery Act did not provide a waiver from the provision in the Superfund statute
(CERCLA 104(c)(3)(C)) that requires states to pay a 10% (or more) cost share for all remedial
actions conducted with federal Superfund appropriations.
In order to ensure that states will agree to satisfy the cost share and other CERCLA
requirements under a Superfund State Contract (SSC) without delaying the use of Recovery Act
funds for Superfund remedial activities, EPA modified the timeframe requirements associated
with SSC cost share agreements. EPA's regulation normally requires that a state pay its cost
share upon completion of all activities within the scope of the SSC. Recognizing the economic
and budgetary constraints states currently face, EPA issued a class deviation to modify these
requirements. Under the class deviation, EPA negotiated with SSC signatories to set a mutually
agreeable final payment date for all SSCs signed or amended from February 17, 2009, through
September 30, 2010. (See section D.E for more information)
D.B.7 Monitoring and Evaluating Recovery Act Implementation
EPA HQ reviewed Recovery Act resource utilization and performance progress on a
regular basis. HQ also discussed any concerns related to Recovery Act resource utilization,
activities, and progress with the regions during established mid-year and end-of-year Superfund
remedial program work planning meetings.
Activity
Evaluate Recovery Act resource utilization and performance progress
Re-allocate funds, if necessary
Complete obligation of Recovery Act Funds to all sites
(Internal OSRTI goal: September 30, 2009)
Projected Date
Monthly
Quarterly
September 30, 2010
All EPA Recovery Act awards (i.e., cooperative and interagency agreements, and
contract work assignments or task orders) included reporting requirements. The purpose of these
reports is to provide EPA with detailed project progress information in a manner consistent with
the reporting requirements identified in the Recovery Act (Division A, Title XV, Subtitle A,
1512).
EPA also conducted quarterly in-depth reviews to ensure Recovery Act recipients are
making sufficient progress with Recovery Act funds. These reviews allowed EPA to ensure that
recipients were expending Recovery Act funds quickly and prudently. Funds that EPA identified
as being at risk of not being spent in a timely matter were re-obligated to another project in order
to meet the statutory deadline of obligating all funds by September 30, 2010. In order to monitor
and preserve accountability for Recovery Act expenditures, the Superfund remedial program will
follow OEI's Management Action Plan, "Quality Assuring EPA's ARRA Grants, Contracts, and
Interagency Agreements".
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OSWER Directive 9200.3-14-1G-W
D. C SUPERFUND RECOVERY ACT COMMUNICA TIONS AND
REPORTING
D.C.I Recovery Act Press Release Procedures
The Administrator announced on April 15, 2009 that EPA would be distributing
approximately $600 million to 51 Superfund sites; the announcement included a site list. With
the exception of three sites, the regions issued press releases for all of the sites receiving
Recovery Act funds.
The process and template for subsequent press releases on Recovery Act activities has
been provided to the regional Public Affairs Directors (PADs). If regions are interested in doing
a press release on site-specific Recovery Act activities they should contact OSRTI (Suzanne
Wells at 703-603-8863, wells.suzanne@epa.gov; and Lois Gartner at 703-603-8711,
gartner.lois@epa.gov) and the OSWER Communications Director (Marsha Minter at 202-566-
0215, minter.marsha@epa.gov).
D.C.2 Recovery Act Award Notification Procedures
Prior to the funding of any Recovery Act awards including contracts, Interagency
Agreements (lAs), and CAs (but not including management and oversight funds), EPA must
notified the White House in advance of the award according to this process. Note that the project
was ready to be funded when White House notification is made. The template for Recovery Act
financial award notifications can be found in Attachment A of this Appendix.
a. Monday Close of Business
Regional Recovery Act points of contact (POC) sent award notifications for
contract actions to OAM (Tim Farris) and award notifications for lAs and CAs to
OGD (Catherine Vass and Alexandra Raver) with a cc to OSRTI (James
Woolford, Robin Richardson, Elizabeth Southerland, and Phyllis Anderson).
b. Tuesday Noon
OARM completed a table for Recovery Act awards and submitted that table to the
White House by noon. OARM copies OP A, OCIR, OCFO, Susan Hazen, the
regions, and HQ program offices.
c. Thursday
- If there is no feedback from the White House, the Recovery Act awards moved to
"stand by" pending Congressional notification. Regional POCs were notified by
Thursday if there was a problem. It is important to note that Congressional
notification should be made prior to any public notification.
d. Friday
- If no problems had been identified, awards were signed and obligations
completed.
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OSWER Directive 9200.3-14-1G-W
D.C.3 Public Communication Procedures
On an ongoing basis, EPA will provide information on the performance, progress, and
accomplishments of Superfund-related Recovery Act remedial activities in a transparent fashion,
as outlined in the Agency and Recovery Act guidelines. The Agency will also continue to
publicize information regarding site activities as required by CERCLA.
Recovery Act progress information will be posted on the EPA Recovery Act web area at
www.epa.gov/recovery as well as on the federal Recovery Act web area at
http://www.recovery.gov. The Superfund remedial program has also created its own web area,
located at www.epa.gov/superfund/eparecovery and will publicly post information on activities
conducted with Recovery Act funds.
In addition, site-specific information for all sites receiving Recovery Act funding is
available through individual site fact sheets located on the Superfund program web area at
http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm. EPA's Cleanups in My Community web
tool can be used to create maps of Superfund sites receiving Recovery Act resources. The
Cleanups in My Community tool can be accessed by using the instructions on the following
webpage: http://iaspub.epa.gov/Cleanups/.
Superfund Remedial Program Recovery Act Public Communications Flow
recovery.gov
epa.recovery.gov
epa.recovery.gov/
superfund/epa recovery
Broad Detailed More Detailed
Information Information Information
*Bcact Web Address: http://cfpub.epa.gov/supercpad/cursites/srclisites.cfm
Site Factsheets on
epa.gov/superfund*
Site-Specific
Information
D.C.4 Recipient Reporting Requirements
The Recovery Act and OMB's guidance require extensive reporting from recipients of
Recovery Act funding. The Recovery Act defines "recipient" as any entity that receives
Recovery Act funds directly from the federal government (including Recovery Act funds
received through cooperative agreement or contract) other than an individual and includes a state
that receives Recovery Act funds. See Division A, Title XV, Subtitle A, 1512 of the Recovery
Act.
Section 1512(f) of the Recovery Act requires recipient reporting to begin 180 days after
enactment and for reports to be submitted by recipients 10 days after the end of each calendar
quarter. This results in an initial statutory reporting deadline of October 10, 2009, with quarter
reports due 10 days after the end of each calendar quarter thereafter. Detailed reporting
instructions are available at http://www.FederalReporting.gov.
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D.C.5 EPA Reporting Requirements
OMB's Recovery Act guidance sets out the schedule for Agency reporting requirements
under the Recovery Act. The following table provides a sampling of Agency level Recovery Act
reports.
Reporting Requirement
Funding Award Notification
Reports
Regional Submissions for
the Weekly Financial and
Activity Reports (see section
D.C.6)
Weekly Financial and
Activity Reports (see section
D.C.6)
Award-level Reporting (as
required for
USAspending.gov)
OSRTI
From
Regional
POC
Regions
OSRTI
TBD
OSWER
To
OAM for contracts (Tim
Farris), OGD for lAs and
CAs (Catherine
Vass/ Alexandra Raver)
OSRTI (thru CERCLIS
web module)
OSWER
TBD
N/A
CC
James Woolford,
Elizabeth
Southerland, Robin H.
Richardson, Phyllis
Anderson
N/A
N/A
TBD
N/A
Projected Date
Immediate/ongoing
Weekly/ongoing
Weekly/ongoing
TBD
Draft: May 1, 2009;
Final: May 15, 2009
D.C.6 Weekly Financial and Activity Reports
OMB's guidance requires all agencies receiving Recovery Act funds to submit weekly
financial and activity reports. These are broad-level reports that are posted on the federal
Recovery Act web area at http://www.recovery.gov/?q=content/agency-weekly-reports. The
reporting frequency and details have changed slightly over time, reflecting the information needs
of the Administration and the public.
The weekly financial reports provide total obligations and gross outlays to date (See
Attachment B of this Appendix for OMB's definitions of obligations and outlays). For EPA, the
financial report was developed by OCFO and the information is drawn from the Agency's
Compass System. The monthly activity reports provide a short bulleted list of the major activities
taken to date and major planned activities. "Major" actions include those of likely interest to
senior government officials, Congress, and the public. The Superfund monthly activity reports
were developed by OSRTI, and then posted on
http://www.epa.gov/Superfund/EPARecovery/index.html.
Currently, the Superfund monthly activity reports are at a broad program level. OSRTI
anticipates collecting major activity information from the regions on a weekly basis for inclusion
in the report. It is anticipated that the regions will enter major site-specific activity information
into the Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) using a webform. The webform will be pre-populated with Superfund site
and Recovery Act program information already stored in CERCLIS. By the fifth business day of
each month, the regions will input information into the webform on any major cleanup activities
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achieved the previous month and any major activities anticipated in the month ahead. If there are
no major activities that have occurred or are planned, then the regions do not need to enter any
information in CERCLIS. On the following day, HQ will compile the regional contributions into
the Superfund monthly activity report summary that will then undergo EPA review and be
released to the public.
D.C.7 Agency and Program-Specific Plans
Guidance issued by OMB required programs receiving funding under the Act to develop
formal Agency and program-specific plans that summarized planned implementation activities.
Draft plans were due to OMB no later than May 1, 2009 and were finalized on May 15, 2009.
The Agency and Superfund remedial program Recovery Act plans are posted on recovery.gov.
D.C.8 Performance Measures
The Superfund program will measure its Recovery Act performance using the eight
performance measures listed in the table on the following page. These measures will be reported
for the public on EPA's Recovery Act website (https://www.epa.gov/recovery).
Performance
Measure
Total Number of
Sites in Receipt of
Recovery Act
Funding
Total Number of
Projects in Receipt
of Recovery Act
Funding
Total Number of
Sites with New
Construction in
Receipt of
Recovery Act
Funding
Total Number of
Projects with New
Construction in
Receipt of
Recovery Act
Funding
Percentage of
Recovery Act
Funding Obligated
Source
CERCLIS,
Compass,
eFacts
CFRCT IS
Compass,
eFacts
CERCLIS,
Compass,
eFacts
CERCLIS,
Compass,
eFacts
Compass
Description/Definition
The total number of National Priorities List (NPL)
sites where Recovery Act resources were
obligated.
The total number of projects at NPL sites where
Recovery Act resources were obligated.
The total number of NPL sites where Recovery
Act resources were obligated for new
construction.
The total number of new construction projects at
NPL sites where Recovery Act resources were
obligated
The amount of Recovery Act resources obligated
divided by the total amount of Recovery Act
funds.
Reporting
Frequency
Monthly
(fifth
Business
Day)
Monthly
(fifth
Business
Day)
Monthly
(fifth
Business
Day)
Monthly
(fifth
Business
Day)
As needed
Reporting
Office
OSRTI
OSRTI
OSRTI
OSRTI
OCFO
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Performance
Measure
Number of Projects
Receiving Recovery
Act Funding
Completion
Achieving
Construction
Completion (CC)
with Recovery Act
Number of Sites
Achieving Human
Exposure under
Control (HEUC)
with Recovery Act
Funding
Source
CERCLIS
CERCLIS,
eFacts
CERCLIS,
eFacts
Description/Definition
The number of projects receiving Recovery Act
funding achieving completion by the end of fiscal
year (FY)2012 (Completion of projects is defined
as those projects receiving Recovery Act funds
which achieve a CERCLIS action for remedial
action completion or remedial design completion
as defined through the Superfund Program
Implementation Manual).
The number of sites receiving Recovery Act
funding achieving construction completion by the
end of FY 2012 (The current FY 2009 through FY
2012 CC Government Performance and Results
Act (GPRA) targets for the Superfund remedial
program include accomplishments anticipated at
Recovery Act funded sites).
The number of sites receiving Recovery Act
funding achieving HEUC by the end of FY 2012
(The current FY 2009 through FY 2012 HEUC
GPRA targets for the Superfund remedial
program include accomplishments anticipated at
Recovery Act funded sites).
Reporting
Frequency
Monthly
(fifth
Business
Day)
Monthly
(fifth
Business
Day)
Monthly
(fifth
Business
Day)
Reporting
Office
OSRTI
OSRTI
OSRTI
EPA will use the first six measures, which are new, for Recovery Act reporting purposes
only. The last two measures are based on existing Government Performance and Results Act
(GPRA) measures that EPA uses for traditional Annual Performance Reporting and will now
also use to track Recovery Act accomplishments. EPA chose all of the measures to reflect new
and continuing cleanup activities at Superfund sites receiving Recovery Act funding.
EPA will use the Annual Commitment System (ACS) to track performance for these
measures, using codes to be created specifically for this purpose (more guidance will follow
from OCFO). OSRTI anticipates that these ACS codes will be similar to the parallel codes
previously established for the EPA Quarterly Report (EQR). Until HQ provides further
instructions, regions should continue to promptly enter their performance data into CERCLIS
according to normal business operations. HQ will utilize CERCLIS data to enter
accomplishments into ACS for all Recovery Act accomplishments.
D.C.9 Reporting and Tracking Systems
Recovery Act funding for the Superfund remedial program will be tracked and reported
from two EPA databases. Financial data will be reported from Compass and program data will be
reported from CERCLIS. The primary device used to automate reports, graphics, and charts for
Superfund remedial program Recovery Act information will be the OSWER Performance
Assessment Tool (PAT) and Superfund eFacts. The following diagram illustrates the flow of data
between these systems to support Superfund remedial program data moving to the EPA
Recovery Act web area.
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Superfund Remedial Program Recovery Act Data Flow
www.epa.recovery.gov
OSWER Performance
Assessment Tool
• Compass: This database will be the primary location of all financial information
related to Recovery Act funds. Compass has been designed to contain the necessary
budget structure and account coding for fiscal year (FY) 2009 Recovery Act funds
(See section D.D for more details on the budget structure and account coding). Data
for reporting actual obligation and expenditure data will be pulled from Compass.
• CERCLIS: This is EPA's primary database to report data for NPL sites and non-NPL
Superfund sites. EPA has modified CERCLIS to track budget accounting codes
related to Recovery Act data elements, including fund account coding and program
priority flags. The Superfund Comprehensive Accomplishment Plan (SCAP) reports
in CERCLIS also reflect new account coding. In addition, CERCLIS data may be
used to populate new eFacts reports, reports from OSWER's PAT, or ReportLink
reports specifically designed to track sites and projects receiving Recovery Act funds.
More detail will follow as EPA specifies additional job-related and progress-related
requirements and procedures for reporting.
• Superfund eFacts: This tool will serve as the primary internal servicing resource tool
for organizing and reporting data on Recovery Act activities. Information will be
extracted from both Compass and CERCLIS and used to populate eFacts to provide
the required Recovery Act reports. It is important to note that eFacts reports provide
CERCLIS data at a certain time (e.g., reports pulled on March 10th reflect
accomplishments in the database as of March 9th). A specific Recovery Act section in
the Superfund eFacts intranet web area will display frequently used charts, forms, and
graphics to report the performance measures previously noted in section D.C.8. Some
of these charts will allow site-specific drilldown capability to provide additional site
detail. For additional information on eFacts or to obtain intranet access to eFacts,
contact Sheldon Selwyn at 703-603-8776, or selwyn.sheldon@epa.gov.
• OSWER Performance Assessment Tool (PAT): This tool will serve as the primary
external servicing resource for organizing and reporting data on Recovery Act
activities. PAT is a central reporting mechanism for OSWER traditional performance
data, which collects information from OSWER program systems, and conforms it for
uniform reporting and data provisioning. OSWER has modified PAT to support not
only traditional OSWER reporting, but also for Recovery Act purposes. PAT will
collect Recovery Act measures data for Superfund, Brownfields, and Leaking
Underground Storage Tanks, then deliver that data to EPA staff and managers via a
business intelligence dashboard interface for analytic and reporting use. OSWER
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developed PAT reporting tools to report Recovery Act site information for program
reporting measures to include sites achieving Construction Completion, Human
Exposure Under Control, and Site-Wide Ready for Anticipated Use. In addition, PAT
will deliver the same data to the Agency's Recovery Act reporting facility for
submission to OMB's Recovery.gov site.
D.D RECOVERY ACT BUDGET EXECUTION GUIDANCE FOR THE
SUPERFUND REMEDIAL PROGRAM
D.D.I Budget Structure and Coding
To maximize the transparency of Recovery Act spending, agencies must separately track
Recovery Act apportionments, allotments, obligations, and expenditures. The following table
provides an outline of the budget structure and coding that EPA has established for Recovery Act
Superfund resources:
Recovery Act: Superfund Remedial Actions
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activity Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
Recovery Act: Reimbursable Superfund Remedial Actions
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activity Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
Recovery Act: Superfund Management and Oversight
Appropriation Code:
Fund Code:
Budget Fiscal Years:
NPM:
NPM Code:
PRC Codes:
Activity Codes:
Add-On Codes:(positions 5-7 of Budget Org Field):
T
TS
2009/2010
OSWER
D
302DD2
C,D,E
T
TRS
2009/2010
OSWER
D
302DD2
C,D,E
B
BS
2009/2011
OSWER:
D
ZZZDJ8
C,D,E
RSF
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D.D.2 Allocating Recovery Act General Resources
OSRTI is responsible for allocating "Recovery Act: Superfund Remedial Actions" (Fund
Code: TS) to the regions. By law, these resources were available for obligation until September
30, 2010, with contract funds available for expenditure until September 30, 2017 (September 30,
2013 for grant resources. In order to identify and track the allocation of TS funds, OSRTI
developed a region-specific "FY 2009 Recovery Act Remedial Action (RA) Funding Plan". This
plan contained information on a site/project-specific basis (site/RAT/ACT codes), including the
total amount of funds planned for allocation to the regions during FY 2009, the actual allocated
amounts, and the amounts remaining to be allocated for the remainder of the year. Although the
plan primarily pertained to funding RA activity, it also supported a small number of pipeline
(remedial design) activities in support of remedial action projects. Although no further
obligations will take place, EPA will maintain and update the plan in subsequent years until the
Agency expends or deobligates all TS funds. The plan does not include project obligations and
expenditures information; however, such information can be found elsewhere, as described in the
following sections.
The Recovery Act funding plan documents funding decisions and any later modifications
to those decisions. Throughout the FY2009 & FY2010, OSRTI monitored this plan in
partnership with the regions to accommodate changing project circumstances and to adjust
project-specific funding decisions. Regions immediately discussed any modifications to the plan
with their OSRTI/Assessment and Remediation Division (ARD) regional coordinator for
design/construction.
The Recovery Act RA Funding Plan is updated continuously as necessary and is
reviewed by OSRTI management on a bi-weekly (i.e., twice monthly) basis. OSRTI management
will also review Superfund eFacts reports to monitor the financial status of each project on the
Recovery Act RA Funding Plan. Also, in addition to routine staff level interaction with the
regions, OSRTI will use scheduled Superfund Remedial Program work planning discussions
with the regions to assess progress in using Recovery Act resources in a timely and efficient
manner and meeting Superfund program and Recovery Act objectives.
D.D.3 Allocating Recovery Act Management and Operation Resources
*Note: this section is pending further edits*
OSRTI is also responsible for allocating "Recovery Act: Superfund Management and
Oversight" ("BS") resources to the regions. These resources were available for obligation until
September 30, 2011. Because BS resources are used for management and oversight purposes,
they were allocated on a region-specific rather than site-specific basis over a three year period.
Pursuant to the pending Program/Project Description Book narrative for the new Recovery Act
Program/Project "J8", Superfund management and oversight resources were used to:
• Coordinate, monitor, and evaluate an analytical, technical, and financial aspects of
Recovery Act funded Superfund remedial cleanups, including making site visits and
overseeing contracts, contract modifications, lAs, and CAs;
• Provide liaison to states and communities affected by Recovery Act funded
Superfund remedial cleanups, including managing state cost share agreements (SSCs
or CAs);
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• Provide high level review and analysis of project and financial information submitted
to EPA and reported to Agency management and the public (e.g., Recovery.gov);
• Provide resources to states and tribes through support Agency CAs to support
Recovery Act funded Superfund remedial cleanups; and
• Modify existing information technology (IT) systems to address collection and
reporting requirements of Recovery Act required data and information.
OCFO has subdivided the BS budget into three portions, to be allocated each of three
years. In FY 2009, OSRTI will reprogram the FY 2009 BS resource allotment to the regions
based on the following methodology:
• Each region will first receive a fixed share (5%) of FY 2009 BS resources, based on
the presumption that each region has a minimal BS requirement, regardless of the
amount of Recovery Act remedial resources it receives.
• The remainder of "BS" resources will be allocated to each region based on the total
amount of Recovery Act remedial construction resources it will receive based on the
OSRTI Recovery Act Remedial Construction Funding Plan.
HQ intends to retain this methodology for allocating subsequent years BS resources but
minor adjustments will be considered based on regional utilization and changes in regional plans.
D.D.4 Reprogramming of Recovery Act Funds
*Note: This section is pending further edits*
OSRTI reprogrammed BS resources from another 9R account in Compass to the
appropriate region pursuant to the Management and Operations (M&O) methodology described
in the previous section. As noted in the table above, OSRTI reprogrammed all BS resources to
the "ZZZDJ8" Program Results Code (PRC) and will use the "RSF" add-on code in the fifth
through seventh positions of the Budget Organization field of the Compass account number.
A region could choose which Budget Object Class (BOC) and which Allowance Holder
should receive BS resources ("A" or "O" account). "A" account resources are for extramural
(BOCs 36, 37, 41) remedial program purposes only and their use must be planned out in
CERCLIS. Payroll (BOC 10) and site travel resources (BOC 28) should be reprogrammed to the
"0" account, though other BOCs may also be used in the "0" account. Although OSRTI expects
that most BS resources will be used site-specifically, BS resources may also be used non-site-
specifically but they must directly support implementation of Recovery Act Superfund remedial
program activities. Regions may only use BS resources for costs incurred from 3/15/2009
forward. Site travel resources may only be used at sites that are receiving TS funds.
D.D.5 CERCLIS Planning
The CERCLIS database will be used to plan obligations of TS and BS resources.
Appropriate revisions to CERCLIS planning screens and reports contain the required code
structures.
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Management and Oversight (Fund Code: BS) resources have significantly more coding
requirements than TS resources. The BS resources not only use different fund and PRC codes
(akin to Environmental Programs and Management (EPM) resources), but also require the use of
add-on codes in the Budget Organization field of the Compass account number that override the
Site Allowance code. CERCLIS has been modified to automatically assign the appropriate PRC
and add-on codes to any planned obligation that used the BS fund code.
Since BS resources are three-year appropriations, both the BFY (budget fiscal year) and
EFY(end fiscal year) must also be included in the Compass account number. Procurement
officials must take care to add the appropriate data ("2011") into the EFY field (or alternatively
"2009-20011" into the BFY field, as appropriate) in procurement request forms and when
entering commitment and obligation information for BS resources into Compass. Once a region
obligates Recovery Act BS resources, it must make a corresponding adjustment to its approved
planned obligation financial transaction data in CERCLIS. Planning data may not be modified at
the time of resource commitment.
D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds
On September 30, 2010, budget authority to incur new obligations against the Recovery
Act appropriation of TS resources expired. Once this budget authority ended, no new obligations
can be incurred against the appropriation. Expired obligated contract balances (unliquidated
obligations) and unobligated balances will remain available until September 30, 2017
(September 30, 2013 for grant resources), to liquidate obligations (expended funds) that were
properly incurred prior to September 30, 2010.
D.D.7 Cost Recovery
For cost recovery purposes, the Recovery Act is a supplemental appropriation and thus
should be treated the same as the annual Superfund remedial program appropriation. Any cost
recovery funds must be returned to the Trust Fund for future appropriations as required by 26
U.S. C. 9507 or, if future work is anticipated at the site, placed into a special account, under the
authority of CERCLA 122(b)(3). Unlike annual Superfund remedial program "no-year"
appropriations, by law Recovery Act funds had to be obligated by September 30, 2010, and
therefore, expenditures of contract stimulus funds were included in any reclassification of special
account resources unless they could have been recertified and obligated before September 30,
2010 and liquidated by September 30, 2017 (September 30, 2013 for grant resources). There are
no stimulus-specific coding requirements for recoveries of EPA costs incurred using Recovery
Act funds or for the establishment of special accounts using such recoveries.
D.E RECOVERY ACT SUPERFUND CONTRACTS, INTERAGENCY
AGREEMENTS, AND COOPERATIVE AGREEMENTS
D.E.I Recovery Act Financial Award Vehicles
The support for Superfund remedial program activities under the Recovery Act occurred
through three types of financial awards: EPA contracts, interagency agreements, and CAs. The
following table identifies the type of financial vehicle in conjunction with the anticipated
recipient and description.
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Type of Financial Vehicle
EPA Response Action Contracts (RACs), Site-
Specific Contracts, and Emergency and Rapid
Response Services (ERRS) Contracts
lAs with the US Army Corps of Engineers
(USAGE), primarily Interagency Assisted
Acquisitions (lAAs)
CAs
Type of
Recipient/Beneficiary
Contractors
Contractors
states, political
subdivisions, or tribes
Description
Use of existing competitively
awarded contracts and some new
awards to site-specific contracts
Use of lAs with existing
competitively awarded contracts and
some new awards
All CAs with states, political
subdivisions, or tribes are non-
competitively funded
Each of these vehicles has unique programmatic and administrative procedures as
described in the following sections. For acquisition or contract guidance, please refer to the
contract guidance issued by the OAM. http://oamintra.epa.gov/files/OAM/recoveyact.pdf. For IA
and CA guidance, there are separate guidance documents prepared for each by the OGD.
(http ://epa. gov/ogd/).
D.E.2 Contracts
Typically, Superfund remedial activities are conducted using RACs, site-specific
contracts, or task orders awarded under the ERRS contracts. Information regarding other vehicles
for Superfund remedial work appears in subsequent sections.
When adding funding to an existing contracting vehicle, regions needed to issue a new
tasking document to the contractor to ensure segregation of Recovery Act activities and funds
and to comply with OMB's contract guidance. Regions could "cross-over" to another region to
obtain additional contract capacity, although the region should consult the headquarters RAC
liaison in OSRTI prior to making a RAC "cross-over" decision.
D.E.3 Interagency Agreements and Interagency Assisted Acquisitions
Superfund remedial program activities conducted through lAs are typically agreements
with the U.S. Army Corps of Engineers (USAGE) for their support in the acquisition and
management of remedial contracts (i.e., lAAs). For ongoing work, the regions may choose to
amend existing lAs, provided that the amendment is within scope of the existing lAs, or award
new lAs. If the region intends to use an IA amendment, that IA amendment must show how the
Recovery Act work will be segregated and tracked. Regions should work with the USAGE to
ensure site-specific monthly progress reports adequately segregate Recovery Act funded
activities and associated costs. The Interagency Agreement Shared Service Center (IASSC) Web
site, http://intranet.epa.gov/ogd/IASSC/main/index.htm contains the applicable IA forms and
terms and conditions for lAs with the USAGE.
D.E.4 Best Interest Reviews for Assisted Acquisitions
USACE's IAs utilizing contractors for remedial work are considered lAAs. Only new lAs
with contracting require best interest determinations. OSWER requested a class best interest
determination, which OAM approved on April 7, 2009. OAM has provided a cover
memorandum outlining the roles and responsibilities of project officers and contracting officers
in implementing the determination. The class determination and the form for Contracting Officer
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(CO) review can be found on the IASSC Web site. Additionally, as part of the class
determination, regions must continue to follow the justification and documentation requirements
of OSRTI's April 3, 2008 policy on selecting another federal agency to acquire and manage
remedial contracts, http://www.epa.gov/superfund/cleanup/pdfs/rdra/iagpolicv2008.pdf
D.E.5 Direct Cite Programs
Obligation and payment of Superfund Remedial Program work through lAAs with the
USAGE follow a unique procedure.
http://www.epa.gov/superfund/cleanup/pdfs/rdra/payment.pdf.
Under the "EPA/U.S. Army Corps of Engineers Payment Process, Direct Cite/Revised
Reimbursement Methods," issued March 21, 1990, the USAGE receives the contractor invoices
and after review and approval, submits them to EPA's Cincinnati Financial Management Center
for payment directly from EPA's appropriation. A copy of the payment request is sent by
USAGE to the Remedial Project Manager for review. The USAGE staff time, or in-house costs,
is reimbursed by EPA through the standard intergovernmental payment process. Regions may
use the Superfund Remedial Program Recovery Act appropriation (TS) for both revised
reimbursable and direct cite costs.
D.E.6 Cooperative Agreements
Superfund Recovery Act remedial activities may also be conducted through CAs with
states, tribes or political subdivisions. EPA's OGD has issued guidance regarding the use of
Recovery Act funds under grants and CAs. This guidance, which includes standard terms and
conditions for Recovery Act funds, can be found on the OGD website: http://epa.gov/ogd/.
Integrated Grants Management System (IGMS) will use program code 2S to track all Recovery
Act-related CAs.
D.E.7 Superfund State Contract Payment Schedules
On March 9, 2009, EPA issued a class deviation to permit an additional option for the
timing of EPA's invoice to the state for final payment under the state's payment schedule. The
two options for EPA to invoice a state for its final payment, with the exception of any change
orders and claims handled during reconciliation of the SSC, are: 1) upon completion of activities
in the site-specific statement of work (SOW) (currently permitted), or 2) after the final payment
date as negotiated by the signatories in the SSC (additional option), whichever is later. This class
deviation will permit signatories to an SSC to negotiate a payment schedule that extends beyond
the completion of activities in the site-specific SOW. The payment schedule negotiated should
generally not exceed five years after completion of SOW activities.
While EPA issued this class deviation to facilitate Recovery Act implementation, it is
only available for SSCs signed or amended from February 17, 2009 through September 30, 2010,
at which time the deviation will expire (See Attachment C of this Appendix). Note: Although a
state cost share is required for remedial actions under both the SSC and a cooperative agreement,
under a cooperative agreement states generally satisfy the cost share requirement without making
payments to EPA. Therefore, this guidance does not address a state payment schedule under a
cooperative agreement.
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D.E.8 Socio-Economic Goals
EPA regions are encouraged to award Superfund remedial program appropriations,
including Recovery Act funds, to contractors meeting EPA's socio-economic goals. The
Administration and the Agency would like to see overall improvement in this area; therefore,
Regions should keep the utilization of such contractors in mind when determining their
Superfund remedial program contracting strategy.
EPA anticipates the use of standard reporting tools for tracking progress in achieving
socio-economic goals, including the Federal Procurement Data Systems' New Generation
(FPDS-NG). Thus, obligations using the EPA treasury symbol established for the Superfund
remedial program's Recovery Act appropriation will be used to track and report socio-economic
contract utilization. Obligations under both EPA contracts and USAGE contracts will be entered
into FPDS-NG using the EPA treasury symbol by the respective agencies and credited towards
EPA's socio-economic goals. Obligations through CAs are not reported in FPDS-NG and, thus,
are not included in EPA's socio-economic calculations.
D.E.9 Bona Fide Needs Rule
All funds appropriated under the Recovery Act were obligated by September 30, 2010 to
meet bona fide needs that arose prior to that date. If the Bona Fide Needs Rule is satisfied, the
work may extend beyond September 30, 2010, unless the funds are used for severable services. If
Superfund remedial activities are deemed to be non-severable, the contractor may perform work
and costs may be incurred after September 30, 2010. See section D.D of this Guidance for more
details on OSRTI's goals for timely obligations and expenditures.
The Bona Fide Needs Rule applies differently to Superfund CAs and EPA contracts and
lAs. For Superfund CAs, the award of the cooperative agreement meets a bona fide need to
provide financial assistance to the eligible recipient that arises on the day of the award. The fact
that the cooperative agreement recipient performs the work funded by EPA after September 30,
2010 does not implicate the "severable versus non-severable services" concept that applies to
contracts and lAs. If a contractor's services for Superfund remedial activities under EPA
contracts or lAs are non-severable, the Agency must have obligated funds prior to September 30,
2010 even though the contractor performs all or part of the service after that date.
The severable versus non-severable services analysis may be made on a case by case
basis in consultation with the Office of General Counsel.
D.E. 10 Infrastructure and Buy American Provisions
Division A, Title XVI, 1605 of the Recovery Act (Buy American) requires that Recovery
Act funded projects for the construction, alteration, maintenance or repair of a public building or
public work, use only iron steel and manufactured goods produced in the United States. OMB
has implemented this provision for direct procurement in Federal Acquisition Regulation; FAR
Case 2009-008, American Recovery and Reinvestment Act of 2009 (the Recovery Act)-Buy
American Requirements for Construction Material, 48 CFR Part 25, Subpart 25.6. The Buy
American provision as applied to assistance agreements is implemented in 2 CFR Part 176,
Subpart B and the provisions contained therein are uploaded into IGMS as terms and conditions
for all Recovery Act assistance agreements. Under Superfund CAs, projects that are subject to
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the Buy American provision include, but are not limited to, projects for the construction,
alteration, maintenance, or repair of caps, wells, reservoirs, water distribution systems, and water
treatment plants. The Recovery Act provides some exceptions to the Buy American requirement.
The exceptions involve complex issues that are addressed in the OMB regulations and are
beyond the scope of this guidance3.
Some Superfund remedial activities conducted by states and local governments pursuant
to a CERCLA 104(d) cooperative agreement may be considered infrastructure investments for
purposes of the Recovery Act under the Agency's interpretation of the term "infrastructure."
Examples include, but are not limited to, projects where the principal purpose is to
construct a cap to be directly incorporated into a public building or public work project as
defined in 2 CFR 176.140(a)), or to extend a municipal water supply to residents and businesses
affected by contaminated drinking water. If a project is an infrastructure investment, the grantee
must comply with Division A, Title XVI, 1602 (Preference for Quick-Start Activities). If the
grantee is a state or local government and the project is an infrastructure investment, then the
grantee must also comply with Division A, Title XV, Subtitle A, 1511 (Certifications). Also, if
the grantee is a state or local government conducting a project that constitutes an infrastructure
investment, there are additional reporting requirements for the infrastructure investment imposed
under Division A, Title XV, Subtitle A, 1512(c)(3)(E). The Recovery Act terms and conditions
uploaded into IGMS define infrastructure investment and set forth the reporting, preference for
quick-start activities, and certification requirements applicable to infrastructure investments. The
Recovery Act does not require infrastructure investment certification or reporting requirements
for contracts and I As.
D.E.ll Davis Bacon Act
As a practical matter, the Davis Bacon Act applies to expenditures of Superfund
Recovery Act funds to the same extent as it does to remedial activities funded from EPA's annual
Superfund appropriation. Division A, Title XVI, 1606 of the Recovery Act (section 1606).
section 1606 requires that contractors and subcontractors on projects funded directly by or
assisted in whole or in part with Recovery Act funds pay prevailing wages as determined by the
Secretary of Labor under the Davis Bacon Act. However, pursuant to CERCLA, section
104(g)(l), the Davis Bacon Act already applies to "construction repair, or alteration work"
funded with annual Superfund appropriations.
Detailed information on how EPA applies the Davis Bacon Act to Superfund Remedial
work is found in the January 27, 1992, memorandum entitled "Superfund Guidance on the
Applicability and Incorporation of the Davis Bacon Act and Service Contract Acts into
Superfund Acquisitions" ("1992 Davis Bacon Guidance"). EPA will continue to insert the Davis
Bacon clauses required by FAR Part 22 when applicable into Agency contracts funded with
Recovery Act appropriations. EPA will include the term and condition that OMB prescribed at 2
CFR 176.190 for compliance with the Davis Bacon wage rate requirements in section 1606 of
the Recovery Act for Superfund CAs awarded with Recovery Act funds.
3 The Buy American provision, however, will not be applied if doing so is inconsistent with United States
obligations under international agreements. Additionally, EPA, in certain circumstances, may waive the Buy
American provision.
FY 12 SPIM D-21 March 20, 2012
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OSWER Directive 9200.3-14-1G-W
D.E.12Funds-In Interagency Agreements for Federal Facility Oversight
EPA's Federal Facility program oversees Superfund cleanups at certain properties owned
and operated by other federal Agencies. EPA may receive Recovery Act funds from other federal
Agencies to support increased oversight requirements for accelerated cleanup actions at their
facilities. These funds would be transferred to EPA through lAs for Regional Oversight Contract
support and/or EPA intramural expenses. Funds-In agreements for Federal Facilities are outside
of the scope of this guidance. Regions should work with their Federal Facility Restoration and
Reuse Office (FFRRO) counterparts for additional information.
March 20, 2012 D-22 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
Exhibits
D.I. ATTACHMENT A: FUNDING AWARD NOTIFICATION TEMPLATE
Funding Notification Version 1.3
Agency Name:
Sub mission Date:
Submitter Name:
Submitter
Contact Info:
Funding
Notification
Amount
(020) Enivronmental
Protection Agency
OX/OX/2009
Name
E-mail
Award Type
Contract
Interagcy Agreement
Cooperative Agreement
CFDA
Program
Number
CFDA
Program
Title
Program
Description
Superfijnd
Superfand
Superftind
US Indicator
Y-US
v-us
Y-US
Place of
Perform
ance
County
Place
of
Perfor
mance
State
Place of
Performa
nee Zip
Code
Performa
nee
Congress
ional
District
Program
Source/Treas
ury Account
Symbol:
Account Code
Source/Treasury
Account
Symbol:
SubAccount
Code
For clarification, the table categories are:
Agency Name
Submission Date
Submitter Name
Submitter Contact Info
Funding Notification Amount
- Award Type
CFDA Program Number (if applicable)
CFDA Program Title (if applicable)
Program Description
US Indicator
Place of Performance County
- Place of performance state
- Place of Performance Zip Code
Place of Performance Congressional District
- Program Source/Treasury Account Symbol: Account Code
Program Source/Treasury Account Symbol: SubAccount Code (Optional)
FY 12 SPIM
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March 20, 2012 D-24 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
D.2. ATTACHMENT B: OMB DEFINITION OF OBLIGATION AND OUTLAY
The table below defines Obligations and Gross Outlays for purposes of the reporting
required in the Office of Management and Budget (OMB) guidance. Please note that the title
"Total Expenditures" has now been updated to Total Gross Outlays (As noted in OMB Circular
A-l 1, Gross Outlays are also called Disbursements).
Term
Obligations, as adjusted
Gross Outlays, as adjusted
Definition
A binding agreement that will result in outlays, immediately or in the future.
Budgetary resources must be available before obligations can be incurred
legally. This term includes obligations as well as recoveries of the current and
prior year obligations. Recoveries of prior year obligations are reported as
budgetary resources in budget execution reporting rather than as obligations.
Here is a link to the definition in OMB Circular A-l 1.
iyyBLL/Zwvw_^^
Amount of obligations paid. Includes payments in the form of cash (currency,
checks, or electronic fund transfers) and in the form of debt instruments (bonds,
debentures, notes, or monetary credits) when they are used to pay obligations.
This term includes obligations paid as well as refunds of payments made in
current and prior years. Refunds collected from prior year obligations that have
been paid are reported as budgetary resources in budget execution reporting
rather than as gross outlays. Here is a link to the definition in OMB Circular A-
11.
iyyjLL/Zwi^^
FY 12 SPIM
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March 20, 2012 D-26 FY 12 SPIM
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OSWER Directive 9200.3-14-1G-W
D.3. ATTACHMENT C: CLASS DEVIATION APPROVAL 3/9/09
MEMORANDUM March 9, 2009
SUBJECT: Class Deviation from 40 C.F.R. §35 .6805(j)(3)
FROM: Howard F. Corcoran, Director
Office of Grants and Debarment
TO: James E. Woolford, Director
Office of Superfund Remediation and Technology Innovation (OSRTI)
This responds to your request (copy attached) for a class deviation from the requirements
of 40 C.F.R. §35.6805(j)(3) under the regulation, "Subpart 0 — Cooperative Agreements and
Superfund State Contracts for Superfund Response Actions". This provision requires EPA to
invoice a state for its final payment, with the exception of any change orders and claims handled
during reconciliation of the Superfund State Contract (SSC), upon completion of activities in the
site-specific Statement of Work (SOW). Specifically, OSRTI is requesting an exception from
these requirements to add an additional option for when EPA invoices a state for its final
payment under a SSC for all SSCs signed or amended from February 17, 2009 - September 30,
2010. An exception would permit EPA to invoice a state for its final payment on a final payment
date as negotiated by the signatories to the SSC.
As explained in your request, OSRTI believes a deviation is necessary because states will
need to match 10% (or more) of the American Recovery and Reinvestment Act of 2009 (ARRA)
funding amount ($600 million), in addition to the normally appropriated funding (approximately
$600 million for FY 2009 and FY 2010) for Superfund remedial cleanup. During the current
recession, this places a huge burden on the states to pay their cost share match by completion of
activities in site-specific SOWs for Superfund remedial clean-ups. If states cannot provide the
assurances for matching funds, EPA may not be able to obligate the ARRA's $600 million by
September 30, 20 10.
The requirements in 40 C.F.R. §35.6805(j)(3) are regulatory and not a statutory mandate.
Under these circumstances, to expedite the award of the ARRA funds, I am approving your
request. If you have any questions, please contact me at (202) 564-1903.
cc: Lauren Willis, OGC
Steve Pressman, OGC
Janet Kasper, OIG
Doug Ammon, OSRTI
Angelo Carasea, OSRTI
Barbara McDonough, OSRTI
Phyllis Anderson, OSRTI
Elizabeth Southerland, OSRTI
Robin Richardson, OSRTI
Sue Priftis, OPM
Denise Benjamin-Sirmons
Catherine Vass
Jeanne Conklin
FY 12 SPIM D-27 March 20, 2012
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