United States
Environmental Protection
Agency
Solid Waste And
Emergency Response
(OS-110)
Directive 9200.3-01 D
June 1990
Superfund Program
Management Manual
Fiscal Year 1991
Volume 2 Final
Appendix A
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
Appendix H
Appendix I
Appendix J
FY92 Methodologies
Applicability of the Freedom of
Information Act
Crosswalk for Enforcement Activities and
Remedies
Definitions
CERCLIS Planning and
Accomplishments Coding Sheets
CEPP Program Planning Requirements
Coding for Case Budget
NPL Book
Environmental Indicators
RA Priority Setting
Printed on Recycled
-------
OSWER Directive 9200.3-01D
APPENDIX A
SUPERFUND COMPREHENSIVE ACCOMPLISHMENTS PLANfSCAPV
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEMfSTARS)
METHODOLOGIES FOR TARGETS AND MEASURES
-------
OSWER Directive 9200.3-01D
APPENDIX A
This appendix provides the FY92 methodologies for deriving preliminary SCAP/STARS
targets and projection measures.
If the application of the methodologies result in preliminary targets above the national
budget, a proportional calibration back to budget will be applied. This appendix should be used
as a tool for understanding the initial SCAP targets/measures issued to each region by HQ.
For all activities, final targets and projection measures will be established after HQ/
regional negotiations.
If there are any questions as to applicability of a particular activity to a target/measure,
please refer to Appendix D SCAP/STARS Activity Definitions.
The term "CERCLIS" is used to encompass the CERCLIS, CERHELP and/or WasteLAN
data systems.
-------
OSWER Directive 9200.3-01D
Section 107 Referrals/Settlements <$200,000 A-11
Section 107 Pre-RA (Remival) Referrals/Settlements >$200,000....A-11
Section 107 RA Referrals/Settlements >$200,000 A-12
Section 106 or 106/107 Referrals (w/ Settlement) A-12
UAOs Issued for RD/RA A-12
Section 106 or 106/107 Referrals for RD/RA (w/o Settlement) A-12
Section 106, 106/107, or 107 Case Resolutions A-13
Section 104 (e) Referrals A-13
Section 104 (e) Case Resolutions A-13
FEDERAL FACILITY METHODOLOGIES A-14
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) A-14
Federal Facility RI/FS Starts A-14
Federal Facility RI/FS Completions (ROD) A-14
REMEDIAL DESIGN (RD) A-14
Federal Facility RD Starts A-14
Federal Facility RD Completions A-14
REMEDIAL ACTION (RA) A-14
Federal Facility RA Starts A-14
Federal Facility RA Completions A-15
ENFORCEMENT A-15
IAG at NPL Sites A-15
OIL SPILL PROGRAM METHODOLOGIES A-16
Oil Spills Cleaned Up Using Clean Water Act (CWA) Funds A-16
On-Scene Monitoring of Responses to Oil Spills A-16
SPCC Inspections/Reviews A-16
-------
OSWER Directive 9200.3-01 D
SITE ASSESSMENT METHODOLOGIES
Preliminary Assessment ("PA") Completions
METHODOLOGY: The PA completion measure for Fiscal Year (FY) 1992 reflects the
number of expected PA completions in the budget.
A PA completion measure for a particular Region is established through the following
procedures:
1) Tabulate the number of sites in the Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS) in each Region.
2) Project the number of sites to be added to CERCLIS in FY92 and add this number
to the number of sites in CERCLIS. The projected number of sites is determined
by the number of sites added to CERCLIS between November 1989 and Novem-
ber 1990.
3) Subtract the number of sites with actual PA completions and the FY91 PA com-
pletion planning estimate. The result supplies the universe of sites without PA
completions.
4) Determine each Region's percentage of sites without PA completions.
5) Multiply that percentage by the national budget number.
DIFFERENCE FY91-FY92:
Screening Site Inspections (SSI) Completions
METHODOLOGY: The SSI completion target for FY92 was established as a reasonable
goal given the Agency's program priorities.
Regional SSI completion targets are derived through the following procedures:
1) Determine the number of sites in CERCLIS in each Region.
2) Subtract 1) the sites which have an SSI recorded in CERCLIS; 2) sites with no
further action PA completions; and 3) FY91 SSI completion targets. The results
provide the universe of current sites without SSI completions in each Region.
A-l
-------
OSWER Directive 9200.3-01D
3) Add to the universe of current sites without SSI completions a projection on the
number of sites that will need SSIs as a result of the FY91 PA effort. The projec-
tion is based on the FY91 PA completion planning estimate multiplied by the
Region's No Further Remedial Action Planned (NFRAP) rate. (Sites with PA
completions divided by sites with NFRAP completion). This total represents the
complete universe of sites without SSI completions in each Region.
4) Calculate regional percentages and apply these percentages to the FY92 national
budget target to determine preliminary FY92 regional targets.
DIFFERENCE FY91-FY92: This methodology assumes all Regions met the SARA SSI
goals in FY91.
A-2
-------
OSWER Directive 9200.3-01 D
REMEDIAL methodologies
REMEDIAL INVESTIGATIONIFEASIBIUTY STUDY (RI/FS)
First RI/FS Starts Fund. Potentially Responsible Party fPRP) and PS-Lead
METHODOLOGY: The national target for first RI/FS starts is based on the FY92
budget. The regional targets are determined as a function of 1) unaddressed sites and 2)
regional performance in signing Record of Decisions (RODs). Following is the method-
ology:
1) Multitply the national RI/FS start target by 0.5.
2) Determine the number of unaddressed sites in each Region. The number of unad-
dressed sites is determined by subtracting from the total number of National
Priorities List (NPL) sites 1) the number of Federal Facility sites, 2) sites with SR
and SN lead RI/FS, 3) sites where a remedial event (RI/FS, Remedial Design
(RD), Remedial Action (RA)) was started between FY80 and FY90 and 4) FY91
first RI/FS starts target.
3) Calculate each Region's percentage of the unaddressed sites.
4) Multiply steps 1 and 3 to determine regional target based on unaddressed sites.
5) Determine the regional ROD performance rate in FY89 and FY90. To determine
performance rate, add total RODs signed in the Region in FY89 and FY90 and
divide by the total number of RODs signed nationally (both numbers include first
and subsequent RODs).
6) Multiply step 1 and 5 to determine regional target based on ROD performance.
7) Add steps 4 and 6 to determine total regional first RI/FS start target projection.
8) Multiply step 7 by the national percentage of Fund-financed vs. RP-lead to deter-
mine program specific FY92 regional projections.
PS-lead:
A) The number of PS-lead RI/FS first starts is determined by adjusting the number of
projected PS-lead sites in CERCLIS to meet the FY92 budget.
B) Each Region which plans a PS-lead site in CERCLIS shall receive at least one PS-
lead RI/FS.
A-3
-------
OSWER Directive 9200.3-01D
DIFFERENCE FY91-FY92: Regional performance on first and subsequent RODs was
factored into the methodology. The calculation of the regional ROD performance rate
was revised.
Subsequent RI/FS Starts Fund and PRP
MF.THODOLOG Y: The target for subsequent RI/FS starts is based on the FY92 budget.
Following is the methodology:
1) Determine the number of planned subsequent RI/FS starts identified in CERCLIS.
2) Calculate the percentage each Region's subsequent RI/FS starts represents of the
total number of subsequent starts in CERCLIS. Divide the number of candidates
for each Region by the sum of all candidates.
3) Multiply the regional percentage by the Fund-financed and RP-lead budget
ceiling for subsequent RI/FS starts to determine FY92 regional projections.
DIFFERENCE FY91-FY92:
RI/FS To Public Fund and PRP
ME THODOLOGY: The initial regional target for RI/FS to public equal the number of
RODs planned between second quarter FY92 and first quarter FY93 multiplied by the
regional FY90 ROD performance rate not to exceed 100%. FY90 regional ROD per-
formance rate equals the number of RODs signed in FY90 divided by the number of
RODs targeted in FY90.
DIFFERENCE FY91-FY92:
First RODs Fund and PRP
METHODOLOGY: The initial regional target for first ROD equals the number of Fund
and RP-lead first RODs planned in CERCLIS, multiplied by regional FY90 first ROD
performance ratenot to exceed 100%. FY90 regional ROD performance rate equals the
number of first RODs signed in FY90 divided by the number of first RODs targeted in
FY90.
DIFFERENCE FY91-FY92:
A-4
-------
OSWER Directive 9200.3-01D
Subsequent RODs Fund and PRP
METHODOLOGY: The initial regional target for subsequent RI/FS completions equals
the number of subsequent RODs planned in CERCLIS, multiplied by the regional FY90
subsequent ROD performance ratenot to exceed 100%. FY90 regional subsequent
ROD performance rate equals the number of subsequent RODs signed in FY90 divided
by the number of subsequent RODs targeted in FY90.
DIFFERENCE FY91-FY92:
REMEDIAL DESIGN (RD)
First RD Starts Fund and PRP
METHODOLOGY: The national target for first RD starts is based on the Regions' pro-
jected first RD starts in CERCLIS.
The methodology used to derive regional first RD start targets is as follows:
A) Initial first RD starts in each Region is equal to the first RD starts in FY92 multi-
plied by the regional FY90 RD performance rate. FY90 regional RD performance
rate equals the number of FY90 first RD start accomplishments divided by the
number of first RDs targeted in FY90.
B) Fund-lead:
1) The historical rate of PRP takeovers from a Fund or state lead first ROD is
calculated for each Region. The rate of takeover is derived by calculating
the number of FY89 and FY90 Fund and state lead first RODs resulting in
PRP first RD starts.
2) The Region's Fund-lead first RD starts identified in Step A are multiplied
by the historical rate of PRP takeovers. This results in the projected RP-
lead first RD starts.
3) Subtract the projected RP-lead first RD starts from the Fund-lead first RD
starts identified in Step A.
4) Calculate the regional percentage of first Fund-lead RD starts based on the
remaining events.
5) Multiply the regional percentage by the Fund-financed ceiling.
A-5
-------
OSWER Directive 9200.3-01 D
C) RP-lead:
1) Add the projected RP-lead first RD starts (Step B2) to the RP-lead first
RD starts identified in Step A
2) Calculate the regional percentage of first RP-lead RD starts.
3) Multiply the percentage by the national RP-lead budget target.
DIFFERENCE FY91-FY92: Regional performance was factored into methodology.
Subsequent RD Starts Fund and PRP
METHODOLOGY: The national target for subsequent RD starts is based on the
Region's projected subsequent RD starts identified in CERCLIS.
1) The initial target for regional subsequent RD starts are based on CERCLIS projec-
tions for subsequent RD starts scheduled in FY92.
2) Calculate each Region's percentage of Fund and RP-lead subsequent RD starts
identified in CERCLIS.
3) Multiply these percentages by the national budget targets for Fund and RP-lead
subsequent RD starts.
DIFFERENCE FY91-FY92:
RD Completions Fund and PRP
METHODOLOGY: The initial national and regional targets for RD completions are
based on projected FY92 RD completions in CERCLIS.
DIFFERENCE FY91-FY92:
REMEDIAL ACTION (RA)
Targets for Fund-lead first, subsequent and final RA starts will be determined dur-
ing negotiations in July based on the results of the RA environmental priority setting panel
meeting.
A-6
-------
OSWER Directive 9200.3-0ID
RA Starts RP-Lead
METHODOLOGY: Target for RP-lead RA starts through obligation of funds equals
100% of the Regions' projected first and subsquent RA starts in FY92 in CERCLIS ad-
justed to budget level.
DIFFERENCE FY91-FY92:
Award of RA Contract (First and Subsequent Fund and PRP
METHODOLOGY: Targets for first and subsequent RA starts through contract award
equal 100% of the Regions' projected first and subsequent RA starts through contract
award in FY92 in CERCLIS adjusted to budget levels. Adjustments may also be made
based on the regional Fund-financed target for RA starts through obligation of funds.
DIFFERENCE FY91-FY92: Fund-financed projections may be adjusted based on the
regional target for RA start through obligation of funds.
RA Completions (First. Subsequent and Finals Fund and PRP
METHODOLOGY: Targets for RA completions equal 100% of the candidate sites for
first, subsequent or final RA completions recorded in CERCLIS.
DIFFERENCE FY91-FY92:
NPL Deletion Initiation
METHODOLOGY: Targets for NPL deletion initiation equal the projected deletions in
FY92 in CERCLIS.
DIFFERENCE FY91-FY92:
A-7
-------
OSWER Directive 9200.3-01 D
REMOVAL METHODOLOGIES
NPL Removal Starts - Fund and PRP
METHODOLOGY: The national target for Fund and RP-lead NPL removal starts is
determined as follows:
1) Determine each Region's percentage of the combined number of Fund and PRP
NPL removal starts for FY88 through FY90. This is done by adding the number
of Fund and RP-lead (under an enforcement order or decree) removal starts by
Region and dividing each regional total by the sum of all regional totals.
2) Multiply this percentage by the national Fund-lead NPL removal start target and
by the national RP-lead removal start target to obtain the preliminary NPL re-
gional removal target.
DIFFERENCE FY91-FY92: Using PRP removal starts rather than completions to deter-
mine target.
Non-NPL Removal Starts Fund and PRP
METHODOLOGY:
1) Determine each Region's percentage of FY88 - FY90 non-NPL Fund and PRP
removal starts.
2) Multiply this percentage by the national Fund-lead non-NPL removal starts target
and by the national RP-lead non-NPL removal start target to obtain the prelimi-
nary regional targets.
DIFFERENCE FY91-FY92: Using starts rather than completions for PRP lead removals
to determine target.
Removal Completions Fund and PRP
METHODOLOGY: The initial target for removal completions is based on projected
FY92 completions in CERCLIS. Completion targets should closely match the NPL and
non-NPL start targets.
DIFFERENCE FY91-FY92:
A-8
-------
OSWER Directive 9200.3-01D
NPL Site Completions through Removal Action-Fund and PRP
METHODOLOGY: The initial target for NPL site completions through removal action is
based on projected FY92 completions in CERCLIS.
DIFFERENCE FY91-FY92:
A-9
-------
OSWER Directive 9200.3-01 D
ENFORCEMENT METHODOLOGIES
Non-NPL PRP Search Start
METHODOLOGY: Projections equal 90% of all non-NPL removal starts targeted.
DIFFERENCE FY91-FY92: The percentage was changed from 100% to 90%.
NPL PRP Search Start
METHODOLOGY: Projections equal the number of sites targeted for a first RI/FS start
(Fund and RP-lead) in FY92.
DIFFERENCE FY91-FY92: Changed from all RI/FS starts to first RI/FS starts.
RI/FS Negotiation Starts
METHODOLOGY: Projections equal 90% of the target for FY92 first RI/FS starts
(Fund and RP-lead) and 50% of the target for FY92 subsequent RI/FS starts (Fund and
RP-lead).
DIFFERENCE FY91-FY92: The percentage for subsequent RI/FS starts was added.
RD/RA Negotiation Starts
METHODOLOGY: Targets equal 70% of the Fund and PRP FY92 ROD targets. This
methodology is based on the following principles:
RD/RA negotiations begin the same quarter the ROD is signed;
No PS, SR, SN or FF lead RI/FS completions will be included; and
30% of the RODs will be at sites where there are no viable and liable PRPs and
will not require negotiations.
DIFFERENCE FY91 - FY92: The percentages applied changed from 90% to 70% of the
Fund and PRP RODs and 10% to 30% of the RODs where there are no viable or liable
PRPs.
A-10
-------
OSWER Directive 9200.3-01 D
Completion of RD/RA Negotiations
METHODOLOGY: Targets equal 70% of the Fund and PRP RODs targeted for comple-
tion 91/3 - 92/2. This methodology is based on the following principles:
RD/RA negotiations begin the same quarter the ROD is signed and end two
quarters post-ROD;
No PS, SR, SN or FF lead RI/FS completions will be included; and
10% of the RODs will be at sites where there are no viable or liable PRPs and will
not require negotiations.
DIFFERENCE FY91 - FY92: The percentage applied changed from 90% to 70% of the
Fund and PRP RODs.
Administrative Cost Recovery Settlements
METHODOLOGY: Each Region receives a target of one. The remainder of the budget
ceiling is allocated based on the regional percentage of the sites contained in the Cost
Recovery Category Report (CRCR) Universe 1, categories 9 and 10.
DIFFERENCE FY91 - FY92:
Section 107 Referrals/Settlements <$200.000
METHODOLOGY: Projections equal 5% of the unaddressed removal cost recovery
universe <$200,000 as identified in the CRCR, Universe 1, categories 9, 10, 11 and 12.
DIFFERENCE FY91 - FY92:
Section 107 Pre-RA (Removal^ Referrals/Settlements >$200.000
METHODOLOGY; Each Region will receive a target of at least one.ฎThe remaining
targets will be distributed based on the total unaddressed pre-RA (removal) cost recovery
universe >$200,000 as identified in the CRCR, Universe 2. All potential Statute of
Limitation (SOL) cases will be targeted.
DIFFERENCE FY91 - FY92:
A-ll
-------
OSWER Directive 9200.3-01 D
Section 107 RA Referrals/Settlements >$200.000
METHODOLOGY:
1) An initial universe of candidates is identified in the CRCR, Universe 2.
2) From step 1 above, the Regions should subtract SOL cases identified for no
further cost recovery actions.
3) The total of step 1 minus step 2 is the baseline target. The baseline target will be
adjusted to the budget levels as necessary.
4) If resources exceed the baseline target (step 3), targets will be negotiated with the
Regions based on the sites available and the dollar value of those sites. Priority
will be given to large value cases near SOL.
DIFFERENCE FY91-FY92: All calculations are based on the CRCR, Universe 2.
Section 106 or Section 106/107 Referrals for RD/RA with settlement
METHODOLOGY: Targets equal 50% of RD/RA negotiation completions targeted in
FY92.
DIFFERENCE FY91-FY92: The percentage changed from 75% to 50%.
Unilateral Administrative Orders ("UAOs) issued for RD/RA
METHODOLOGY: Targets equal 30% of RD/RA negotiation completions targeted in
FY92.
DIFFERENCE FY91-FY92: Percentage applied changed from 25% to 30%.
Section 106 or Section 106/107 Referrals for RD/RA without settlement
METHODOLOGY: Targets equal 5% of RD/RA negotiation completions targeted in
FY92. It is pressumed that 5% of negotiations fail.
DIFFERENCE FY91-FY92: Percentage applied changed from 10% to 5% for pressumed
negotiation failures.
A-12
-------
OSWER Directive 9200.3-01D
Section 106. 106/107 or 107 Case Resolution
METHODOLOGY: Projections equal the number of 106, 106/107, or 107 case resolu-
tions scheduled in CERCLIS.
DIFFERENCE FY91-FY92:
Section 104 (el Referrals
METHODOLOGY: Two referrals projected per Region.
DIFFERENCE FY91-FY92: No longer based on a percentage.
Section 104 (c) Case Resolutions
METHODOLOGY: Projections equal the number of 104(e) case resolutions scheduled
in CERCLIS.
DIFFERENCE FY91-FY92:
A-13
-------
OSWER Directive 9200.3-01D
FEDERAL FACILITY METHODOLOGIES
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS)
Federal Facility RI/FS Start
METHODOLOGY: Targets for Federal Facility RI/FS starts equal the number of pro-
jected RI/FS starts for FY92 in CERCLIS adjusted to the budget target.
DIFFERENCE FY91-FY92:
Federal Facility RI/FS Completion (ROD)
METHODOLOGY: Targets for Federal Facility RODs equal the number of projected
Federal Facility RODs in CERCLIS.
DIFFERENCE FY91-FY92:
REMEDIAL DESIGN (RD)
Federal Facility RD Starts
METHODOLOGY: Targets for Federal Facility RD starts equal the number of projected
RD starts for FY92 in CERCLIS adjusted to the budget target.
DIFFERENCE FY91-FY92:
Federal Facility RD Completion
METHODOLOGY: Targets for Federal Facility RD completions equal the number of
projected RD completions for FY92 in CERCLIS.
DIFFERENCE FY91-FY92: New methodology for FY92.
REMEDIAL ACTION (RA)
Federal Facility RA Starts
METHODOLOGY: Targets for Federal Facility RA starts equal the number of projected
A-14
-------
OSWER Directive 9200.3-01 D
RA starts for FY92 in CERCLIS adjusted to the budget target.
DIFFERENCE FY91-FY92:
Federal Facility RA Completion
METHODOLOGY: Targets for Federal Facility RA completions equal the number of
projected RA completions for FY92 in CERCLIS.
DIFFERENCE FY91-FY92:
ENFORCEMENT
Interagency Agreements flAG) at NPL Sites
METHODOLOGY: Targets for IAGs at NPL sites (proposed or final) equal the number
of proposed or final NPL sites without a signed IAG.
DIFFERENCE FY91-FY92:
A-15
-------
OSWER Directive 9200.3-01D
OIL SPILL PROGRAM METHODOLOGIES
Oil Spills Cleaned Up Using Clean Water Act (ONA) Funds
METHODOLOGY: Determine each Region's percentage of FY88-FY90 spill cleanups.
Multiply this by the national total to establish the Region's share.
DIFFERENCE FY91-FY92:
On-Scene Monitoring of Responses to Oil Spills
METHODOLOGY: Determine each Region's percentage of FY88-FY90 monitoring
actions. Multiply this by the national total to establish the Region's share.
DIFFERENCE FY91-FY92:
Spill Prevention. Control, and Countermeasure (SPCC) Inspections/Reviews
METHODOLOGY: Determine each Region's percentage of FY88-FY90 SPCC inspec-
tions. Multiply this by the national total to establish the Region's share.
DIFFERENCE FY91-FY92:
A-16
-------
OSWER Directive 9200.3-01 D
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
-------
OSWER Directive 9200.3-01 D
APPENDIX B
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT TO SCAP
TABLE OF CONTENTS
APPLICABILITY OF THE FREEDOM OF
INFORMATION ACT TO SCAP B 1
CERCLIS REPORTS RELEASABLE UNDER FOIA B-1
SENSITIVE SCAP-RELATED INFORMATION B-l
Exemption 7 Records or Information Compiled
For Law Enforcement Purposes B-2
Exemption 5 Privileged Interagency or
Intra-Agency Memoranda B-3
AD HOC REPORTING B-5
-------
OSWER Directive 9200.3-01D
APPENDIX B
APPLICABILITY OF THE FREEDOM OF
INFORMATION ACT TO SCAP
CERCLTS REPORTS RELEASABLE UNDER FOIA
There is a set of CERCLIS-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. It includes:
SCAP-11 (Public SCAP NPL Site Summary);
SCAP-12 (Public SCAP Non-NPL Site Summary);
SCAP-22 Target Candidate List;
List-1 (Site Location);
List-3 (Site/Alias Crosswalk);
List-4 (Site/Alias Location);
List-8 (Site/Event Status);
AUDT-11 (Final and Proposed NPL Sites); and
STAT-3 (Program/Event Plans and Accomplishments).
SENSITIVE SCAP-RETATED INFORMATION
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 confidential and therefore not releasable to the public because disclosure
could cause significant harm to the Agency. The following information fits into this
category:
Section 106 and 107 litigation and CDs and all related information
where the planning information indicates that the action has or will be
referred to HQ or to DOJ. If the case is filed, the information may be
released.
PRP lead 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 (FY/Q) can be released. However, no subsequent response dates
are releasable.
RD/RA-AO/CD and all related information where only planning data
exist. This information is only releasable where an actual completion
date exists.
B-l
-------
OSWER Directive 9200.3-01 D
Planned obligation amounts related to Case Budget activity associated
with the following activities:
Litigation (106, 106/107, 107) support;
Removal negotiations;
Non-NPL and NPL PRP search;
RI/FS negotiations;
RD/RA negotiations; and
Cost recovery negotiations.
RD and RA planned events where the lead is the RP with no actual
starts. When there is an actual start, the planned completion can be
released.
RI/FS and RD/RA negotiations planned start and completion dates.
When there is an actual start, the planned completion can be released.
Compliance code and status indicator.
Planned removal/remedial obligations.
All planned activities for sites that have not been designated as final or
proposed NPL sites in the Federal Register.
Information of the financial viability of PRPs.
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 informa-
tion can be exempted if:
Exemption 7(a) Disclosure could reasonably be expected to
interfere with enforcement proceedings. Harm to the
B-2
-------
OSWER Directive 9200.3-01D
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
or information compiled for law enforcement purposes. As long as
some law enforcement authority exists and the record meets the thresh-
old 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, Privilage 1- Deliberate Process Privilege,
and EXEMPTION 5, Privilege 4 - Government Commercial Informa-
tion Privilege.
Exemption 5 Privileged Interagency or Intra-Agencv 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.
This exemption allows the Agency to withhold from disclosure inter-
agency or intra-agency memoranda or letters which fall under the fol-
lowing privileges:
The Deliberative Process Privilege protects the quality of the
Agency's decision-making process (i.e., to protect against pre-
mature disclosure of proposed policies before they are adopted),
to encourage candid and frank discussions among Agency offi-
cials, and to avoid premature disclosure which could mislead the
public.
B-3
-------
OSWER Directive 9200.3-01D
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. Litiga-
tion need not have commenced but it must be reasonably con-
templated. This privilege does not extend to purely factual
documents unless they reflect the results of an attorney's evalu-
ation.
The Attorney-Client Privilege applies to confidential communi-
cations between attorney and client, including communications
between an Agency attorney and an 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.
B-4
-------
OSWER Directive 9200.3-01D
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 SCAP reports should
be referred to the OWPE CERCLA Enforcement Division 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. This includes
the following:
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.
Fees for ad hoc reporting requests will be charged in accordance with
the fee structure used for FOIA requests.
B-5
-------
OSWER Directive 9200.3-01 D
APPENDIX C
CERCLIS CROSSWALK FOR
ENFORCEMENT
ACTIVITIES AND REMEDIES
-------
OSWER Directive 9200.3-01D
Complete guidance on Enforcement activities will be forwarded to the Regions
at the beginning of FY91.
-------
OSWER Directive 9200.3-01 D
APPENDIX P
SIIPERFIJND COMPREHENSIVE ACCOMPLISHMENTS PLAN (SCAPV
STRATEGIC TARGETED ACTTVITTES FOR RESULTS SYSTEM
fSTARS') TECHNICAL DEFINITIONS
-------
OSWER Directive 9200.3-01D
Section I
SCAP/STARS DEFINITIONS FOR TARGETS AND MEASURES
The definitions contained in this Appendix are those that were
available at the time the Manual went to the printer. Every effort has
been made to ensure that the definitions contained herein for SCAP
and STARS targets and measures were consistent. If there are
inconsistencies, the STARS definition is the official definition. If
STARS definitions are revised during the year, an addendum to the
Superfund Program Management Manual will be published.
The term "activity" as used in the definitions applies to a specific
action. It does not relate to the CERCLIS use of the term "activity"
which is applied to enforcement actions.
The term "CERCLIS" is used to encompass the CERCLIS, CER-
HELP and WasteLAN data systems.
-------
OSWER Directive 9200.3-01D
APPENDIX D
SCAP/STARS TECHNICAL DEFINITIONS
TABLE OF CONTENTS
SITE ASSESSMENT DEFINITIONS D-l
INTRODUCTION D-l
PA Completions D-l
SSI Completions (S/F-l) D-2
LSI Starts D-2
Percent SSI Candidates Requiring Further Action (S/F-la) D-2
REMEDIAL DEFINITIONS D-4
INTRODUCTION D-4
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS) D-4
RI/FS Start First and Subsequent D-5
Treatability Study D-7
Sites Nominated for SITE Program D-7
RI/FS to Public D-8
RI/FS Completion (ROD)
First, Subsequent, and Final (S/C-3) D-8
REMEDIAL DESIGN (RD) D-10
RD Starts First and Subsequent D-10
RD Completions First and Subsequent (S/C-5) D-l 1
REMEDIAL A CTION (RA) D-13
RA Start First and Subsequent D-l3
Award of RA Contract (S/C-6) D-14
RA On-site Construction D-14
RA Completion First, Subsequent and Final (S/C-7) D-l5
NPL Deletion Initiation D-l5
RESPONSE DEFINITIONS D-17
INTRODUCTION D-17
Number of Sites Where a Removal Action or
RI/FS has Started (S/C-2) D-17
Percentage NPL Sites Addressed (S/C- 2a) D-17
NPL Sites Where All Remedial/Removal
Implementation Completed D-l8
Type of Media Addressed (S/C-7a) D-19
REMOVAL DEFINITIONS D-21
INTRODUCTION D-21
REMOVAL ACTIVITIES D-21
Removal Investigations at NPL Sites D-22
Removal Starts NPL and Non-NPL D-22
NPL and Non-NPL Removal Completions and NPL
Site Completions through Removals D-23
-------
OSWER Directive 9200.3-01 D
ENFORCEMENT DEFINITIONS D-25
INTRODUCTION D-25
PRP SEARCHES AND NEGOTIATIONS D-25
Issuance of General Notice Letters D-25
Issuance of Special Notice Letters D-26
Section 104(e) Letters Issued D-26
PRP Search Start D-26
PRP Search Completion (NPL and Non-NPL) D-27
RI/FS Negotiation Starts D-27
RI/FS Negotiation Completions D-28
RD/RA Negotiation Starts D-28
RD/RA Negotiation Completions (S/C-4) D-29
SETTLEMENTS, REFERRALS AND OVERSIGHT D-32
Section 104(e) Referrals D-32
Administrative Record Compilation (Remedial and Removal) D-33
Section 106, 106/107, 107 Case Resolution D-33
Cost Recovery Amounts Referred and Settled (S/E-3) D-34
Section 106 or 106/107 Referrals/Settlements
for RD/RA (S/E-4) D-34
Section 106 or 106/107 Referrals/Settlements for
RD/RA (SCAP measure) D-35
Section 107 Referrals/Settlements (>$200,000)(S/E-2) D-36
Section 107 Referrals/Settlements (<$200,000) D-37
Administrative Orders Issued (S/E-l) D-37
Issue Demand Letter D-38
Issue Cost Recovery Decision Document D-38
State Order for RI/FS D-38
State Consent Decree for RD/RA D-39
De Minimis Settlements D-39
FEDERAL FACILITY DEFINITIONS D-44
INTRODUCTION D-44
REMEDIAL D-44
Federal Facility RI/FS Starts D-44
Federal Facility RI/FS Completion (ROD) (S/C-3) D-44
RD Starts D-45
RD Completion (S/C-5) D-45
RA Starts D-45
Award of RA Contract (S/C-6) D-45
RA Completions (S/C-7) D-46
ENFORCEMENT D-46
Signed Interagency Agreements at NPL Sites D-46
OIL SPILL ACTIVITY DEFINITIONS D-49
INTRODUCTION D-49
Oil Spills Cleaned up Using Clean Water Act (CWA) Funds D-49
On-Scene Monitoring of Responses to Oil Spills D-49
Spill Prevention Control and Countermeasure
(SPCC) Inspections/Reviews D-49
-------
OSWER Directive 9200.3-01D
REMEDIAL PROGRAM DEFINITIONS D-52
PROJECT SUPPORT D-52
Community Relations D-52
Design Assistance D-52
Forward Planning D-52
Long Term Remedial Action (LTRA) D-53
Management Assistance/Support Agency Assistance D-54
Operational and Functional D-55
Operation and Maintenance (O&M) D-55
Technical Assistance D-56
Technical Assistance Grants D-56
HAZARDOUS SUBSTANCES RELEASE D-57
Hazardous Substances Release Notification D-57
Hazardous Substances Release Investigations D-57
On-Scene Monitoring of Responses to
Hazardous Substance Releases D-57
FEDERAL FACILITY DEFINITIONS D-58
SSI Completions D-58
-------
OSWER Directive 9200.3-01D
SCAP/STARS DEFINITIONS FOR TARGETS AND MEASURES
SITE ASSESSMENT DEFINITIONS
INTRODUCTION
The site assessment targets/measures track the initial events at Superfund sites. Four site
assessment events are projected and tracked through the SCAP/STARS process:
Preliminary Assessment (PA) Completions;
Screening Site Inspection (SSI) Completions;
Listing Site Inspection (LSI) Starts; and
Percent SSI Candidates Requiring Further Action.
PA completions and LSI starts are SCAP measures only; no corresponding STARS target
or measure is set. SSI completion targets are set on a quarterly basis. LSI starts are established
on an annual basis. Regions propose targets for all site assessment activities in the CERHELP
data system. Funds for site assessment activities are included in the other response Advice of
Allowance (AOA).
ACTIVITY: PA Completions
DEFINITION: A PA is the first stage of site assessment which determines whether a site
should be recommended for further Comprehensive Environmental Response, Compen-
sation, and Liability Act of 1980 (CERCLA) action. Federal, state, and local government
files, geological and hydrological data, and data concerning site practices are reviewed to
complete the PA report. A site reconnaissance is also conducted.
DEFINITION OF ACCOMPLISHMENT: A PA is complete when the report is reviewed
and approved by the Region and CERCLIS contains the PA completion date and the
decision on further activities is shown in the Event Qualifier Field. Although a site can
have multiple PAs, only the first completed PA with an 'S' or 'F' lead counts toward the
target.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: For budget and resource allocations, sepa-
rate projections must be made for Environmental Protection Agency/Field Investigation
Team (EPA/FIT) vs. state PA completions. Accomplishments are reported site specifi-
cally in the Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS).
D-l
-------
OSWER Directive 9200.3-01 D
ACTIVITY: SSI Completions (S/F-n
DEFINITION: The SSI involves collection of field data from a hazardous substance site
for the purpose of characterizing the magnitude and severity of the hazard posed by the
site and/or to support enforcement. An SSI should provide adequate data to determine
the site's Hazard Ranking System (HRS) score.
DEFINITION OF ACCOMPLISHMENT: An SSI is complete when the SSI report is
reviewed and approved by the Region and CERCLIS contains the SSI completion date
and the decision on further activities is shown in the Event Qualifier Field. Although a
site can have multiple SSIs, only the first completed SSI with an 'S' or 'F' lead counts
toward the target. Federal Facility SSIs are not included.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on the sum of
the EPA/FIT and state conducted SSIs. However, for budget and resource allocations,
separate projections must be made for EPA/FIT vs. state SSI completions. Regions
propose targets in the CERHELP non-site data system. Accomplishments are reported
site specifically in CERCLIS.
ACTIVITY: LSI Starts
DEFINITION: LSIs involve the collection and analysis of additional site data including
information pertinent to hazardous waste resources, migration pathways, and receptors.
LSIs are reserved for sites that require the installation of monitoring wells in order to
obtain information to support an HRS groundwater route.
DEFINITION OF ACCOMPLISHMENT: An LSI start is credited when EPA approves
the workplan for the LSI.
CHANGES IN DEFINITION FY90-FY91: LSIs will no longer be used to fully charac-
terize a site prior to National Priorities List (NPL) proposal.
SPECIAL PLANNING REQUIREMENTS: Planned obligations must be associated with
those candidate sites where state conducted LSIs are expected. Accomplishments are
reported site specifically in CERCLIS.
ACTIVITY: Percent SSI Candidates Requiring Further Action (S/F-la)
DEFINITION: The number of SSI candidates is determined by 1) the number of sites in
CERCLIS that have not had a PA completion and 2) based on PA completions that have
not been classified as "No Further Remedial Action." The number of SSIs completed to
date is divided into the number of candidates to determine the percent of SSIs completed
to date.
DEFINITION OF ACCOMPLISHMENT: Same as definition.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: CERCLIS will automatically calculate this
percentage and place it in the CERHELP Targets and Accomplishments file.
D-2
-------
OSWER Directive 9200.3-01D
SITE ASSESSMENT DEFINITIONS
PLANNING REQUIREMENTS
PA
SSI
LSI
% SI
Reg. Further
Action
STARS COMMITMENT?
NO
YES
NO
YES
SCAP COMMITMENT?
YES
YES
YES
NO
TARGET OR MEASURE?
MEASURE
TARGET
MEASURE
MEASURE
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
NO
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
NO
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
NO
NO
YES
NO
IF YES, WHEN?
PRIOR
TO FY
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
FLEPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
NON-SITE
SPECIFIC
AOA CATEGORY?
OTHER
RESPONSE
OTHER
RESPONSE
OTHER
RESPONSE
N/A
BASIS FOR AOA?
NON-SITE
PLANS
NON-SITE
PLANS
SITE SPEC.
PLANS
N/A
D-3
-------
OSWER Directive 9200.3-01D
REMEDIAL DEFINITIONS
INTRODUCTION
The remedial program consists of on-site response actions beginning with the first Reme-
dial Investigation and Feasibility Study (RI/FS) and proceeding through Remedial Design (RD)
and Remedial Action (RA) to eventual deletion of the site from the NPL. All remedial response
actions are planned site specifically with quarterly and annual targets set prior to the beginning
of the Fiscal Year (FY). Remedial response actions at sites are Fund or PRP.
REMEDIAL INVESTIGATION/FEASIBILITY STUDIES (RI/FS)
Following are the SCAP and STARS events tracked for RI/FS:
First RI/FS Starts;
Subsequent RI/FS Starts;
Percent NPL Sites Addressed;
Treatability Studies;
Sites Nominated for the Superfund Innovative Technology Evaluation (SITE)
Program;
RI/FS to Public;
First RI/FS Completion (Record of Decision (ROD)); and
Subsequent RI/FS Completion (ROD).
RI/FS completions (RODs) are a STARS and SCAP target. First RI/FS Starts or First
NPL Removal Starts are a combined target under STARS measure S/C-2 Number of Sites where
Activity has Started. Separate program targets are established in SCAP. Percent NPL sites
addressed is a STARS measure and includes remedial, removal, enforcement or Federal Facility
actions taken. Treatability studies and sites nominated for the SITE program are SCAP meas-
ures. All other RI/FS activities are SCAP targets.
All commitments are made on a combined Fund, Potentially Responsible Party (PRP)
and Federal Facility financed basis. Separate Fund-financed and PRP goals for RI/FS starts are
set prior to the FY and there is a limit on the number of RI/FS starts during the FY. All RI/FS
activities are planned on a site, Operable Unit (OU) and project-specific basis and entered into
CERCLIS. Funds for RI/FS projects are in the RI/FS AOA.
For the definitions below, first and subsequent RI/FS starts have been combined, as have
first and subsequent RI/FS completion. The definition for percent NPL sites addressed is found
in the Response Definitions section.
D-4
-------
LtoWbK uirccuve yzuu.j-uiu
ACTIVITY: RI/FS Start First and Subsequent
DEFINITION: The RI/FS is an investigation designed to characterize the site, assess the
nature and extent of the contamination, evaluate potential risk to human health and the
environment, and develop and evaluate potential remediation alternatives. In order for the
RI/FS to be counted as a first start it must not have had previous RI/FS activity at the site,
a prior CERCLA settlement or prior Fund obligation for RI, FS, or RI/FS. In order for
the RI/FS to be counted in the STARS target S/E-2, Number of NPL sites where a re-
moval action or RI/FS has started, it must not have had previous RI/FS Qr removal activ-
ity at the site. Forward planning, community relations and/or other support activities do
not constitute an RI/FS start. A subsequent RI/FS is any RI/FS that starts after the first
one.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Including F and S lead events.) - A Fund RI/FS start is counted when
funds are obligated. Funds are obligated when:
A contract has been signed by the Contracting Officer (CO);
An Interagency Agreement (IAG) has been signed by the other Federal Agency;
or
A Cooperative Agreement (CA) has been signed by the Regional Administrator or
his designee to conduct an RI/FS; and
Obligations have been recorded in CERCLIS.
If a subsequent RI/FS is initiated without a new obligation of funds, the start date is
defined as EPA approval of the workplan for the subsequent RI/FS.
PRP-financed (Includes RP-, MR-, and PS- lead events) - A RP-lead RI/FS start counts
when one of the following enforcement actions occurs:
An Administrative Order (AO) is signed by the last appropriate official or party.
The RI/FS start date is the AO completion date (last signature date);
A Unilateral Administrative Order (UAO) is signed by the last appropriate EPA
official. The RI/FS start date is the date the PRPs give EPA a notice of intent to
comply, either in writing or by any other documentable means;
A Consent Decree (CD) is referred by the Region to DOJ or HQ. The RI/FS start
date is the date the PRPs give EPA notice they will be starting the RI/FS by
complying with the CD;
A state order or a state CD is signed by the last appropriate official or party and
the site is covered by one of the following:
State enforcement CA that covers the site; or
D-5
-------
OSWER Directive 9200.3-01 D
Superfund Memorandum of Agreement (SMOA) containing a schedule for
RI/FS work at the site; or
Other state/EPA agreement.
The RI/FS start date is the date the state order or state CD is signed by
the last appropriate official.
If a subsequent RI/FS is initiated without a new or amended AO, CD, state order, or state
CD, the start date for the RI/FS is defined as EPA's or the state's approval of the
workplan for the subsequent RI/FS.
If an AO, a state order, or a state CD is amended for the subsequent RI/FS, the start date
is the date the last official signs the amendment. If an EPA CD is amended, the start date
is the date the PRPs give EPA notice they will be starting the RI/FS by complying with
the CD.
EP-lead - An EP-lead RI/FS counts when the Region begins preparation of the
workplans following the initial scoping meeting.
CHANGES IN DEFINITION FY90-FY91: State consent decree was added. The defini-
tion for situations where a CD is negotiated was changed from referral date to date PRPs
give EPA notice they will be starting the RI/FS by complying with the CD.
SPECIAL PLANNING REQUIREMENTS: First RI/FS starts or first NPL removal starts
are a combined target under STARS. Individual targets are established in SCAP for
budget purposes. RI/FS starts include Fund-financed, RP-lead or Federal Facility activi-
ties. Separate Fund-financed, RP-lead and Federal Facility RI/FS start goals will be es-
tablished in SCAP prior to the FY. A limit will be placed on the number of Fund-fi-
nanced, RP and PS lead RI/FS that can be started during the FY. Targets are established
site specifically. For first RI/FS starts, "to be determined" sites are allowed. The Federal
Facility RI/FS start definition can be found with the Federal Facility Definitions.
A shift between a Fund or PRP RI/FS can occur. If a PRP takes over a RI/FS before or at
the RI/FS workplan approval stage, the lead at this site should be changed from Fund to
PRP. If the PRP begins the RI/FS and it is subsequently taken over by the Fund the same
criteria apply.
Regions cannot receive credit for a site under STARS S/C-2, Number of sites where
activity has started, if an RI/FS or NPL removal began or was conducted at the site in a
previous year. Regions also cannot receive credit for both an RI/FS start and a NPL
removal if they are started in the same year. Credit is given for the first activity started
and a site can receive credit only once. Therefore, historical data must be reviewed prior
to reporting accomplishments in STARS. Regions can receive credit for both individual
events in SCAP.
D-6
-------
OSWER Directive 9200.3-01D
ACTIVITY: Treatability Study
DEFINITION: Treatability studies are the field efforts to support the evaluation of
alternatives to determine their applicability for the site.
DEFINITION OF ACCOMPLISHMENT: The start of the treatability study is the obli-
gation of funds specifically for the study. If unexpended RI/FS or RD funds are used for
the treatability study, the start date is the date of EPA approval, as reflected in CERCLIS,
of the treatability study workplan. The completion is the approval of the report on the
results of the treatability study.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Planned and actual start and completion
dates are required in CERCLIS. Funds are planned site specifically.
ACTIVITY: Sites Nominated for SITE Program
DEFINITION: The SITE program assess new technologies for the treatment of hazard-
ous waste. Technologies enter the program through an annual solicitation. Once tech-
nologies are selected, it is necessary to find demonstration sites. Three dates will be
tracked for the SITE program:
Nomination of sites by the Regions;
Start of a SITE demonstration project at a site; and
Completion of the demonstration project.
DEFINITION OF ACCOMPLISHMENT: Nomination for the SITE program is accom-
plished when the Region sends a memorandum to HQ formally submitting the site for
consideration as a location for a demonstration project. An in-house (EP-lead) treatabil-
ity study ("TS") with an Activity/Event Planning Status (C2110) of Alternate ("A") is
entered into CERCLIS. The date of the memorandum nominating the site is placed in the
planned start data field (C2130).
The start of the demonstration project is defined as the planning meeting between EPA
and the demonstrator to discuss the site and the project. The date of the meeting is
entered into CERCLIS with the "TS" event and the Activity/Event Planning Status is
changed from "A" (alternate) to "P" (primary).
The demonstration project is complete when the reports documenting the results of the
project are finalized.
CHANGES IN DEFINITION: New definition for FY91
SPECIAL PLANNING REQUIREMENTS: Planned dates are not required. Accom-
plishments are reported site specifically. Fund-financed or RP-lead sites may be submit-
ted for consideration.
D-7
-------
OSWER Directive 9200.3-01D
ACTIVITY: RI/FS to Public
DEFINITION: The RI/FS is released to the public when the contamination at the site has
been characterized and alternatives for remediation have been evaluated.
DEFINITION OF ACCOMPLISHMENT: An RI/FS to public is accomplished the date
the proposed plan is available to the public, and the public comment period on the RI/FS
report begins.. This date must be recorded in CERCLIS (C3101) with the ROD event
under subevent code "CF".
CHANGES IN DEFINITIONS FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on first and
subsequent RI/FS released to the public regardless of lead.
ACTIVITY: RI/FS Completion CROP') First and Subsequent (S/C-3)
DEFINITION: A RI/FS completion is defined as the signature by the AA SWER, Re-
gional Administrator/Deputy Regional Administrator on the Record of Decision (ROD).
A ROD is the document prepared after completion of the public comment period on the
RI/FS which identifies the Agency's selected remedy for a site or phase of site cleanup.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the Regional
Administrator/Deputy Regional Administrator or the AA SWER is the completion date.
This completion date must be entered in CERCLIS with both the RI/FS and ROD events.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Commitments are made based on RODs that
result from F, S, EP, MR, FF, RP, or PS lead RI/FS. Separate SCAP targets are estab-
lished for Federal Facility RODs. The definition for a Federal Facility ROD can be found
in the Federal Facility Definitions section. RI/FS completion date and ROD completion
date are the same. Planned and actual dates must be entered with both events in CER-
CLIS.
D-8
-------
REMEDIAL DEFINITIONS
Remedial Investigation/Feasibility Studies
PLANNING REQUIREMENTS
FIRST RI/FS
START
SUB. RI/FS
START
RI/FS TO
PUBLIC
FIRST RI/FS
COMP.
SUBS. Rl/FS
COMP.
TREATABILITY
STUDIES
Sites Nominated for
SITE
STARS COMMITMENT?
NO*
NO
NO
YES**
YES**
NO
NO
SCAP COMMITMENT?
YES
YES
YES
YES
YES
YES
YES
TARGET OR MEASURE?
TARGET
TARGET
TARGET
TARGET
TARGET
MEASURE
MEASURE
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
YES
NO
NO
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
YES
YES
YES
NO
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
YES
YES
YES
YES
YES
YES
NO
IF YES, WHEN?
PRIOR
TO FY***
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED/REPORTED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED#
COMBINED#
COMBINED
COMBINED
COMBINED
COMBINED
COMBINED
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OFCERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY IF FUND FINANCED
ACTION?
RI/FS
RI/FS
N/A
N/A
N/A
OTHER
RESPONSE
N/A
AOA CATEGORY FOR PRP OVERSIGHT?
ENFORCEMENT
ENFORCEMENT
N/A
N/A
N/A
ENFORCEMENT
N/A
BASIS FOR AOA?
SITE SPEC.
PLANS
SSSmSSSKIซi!S!i5iS45ป.-4!i
SITE SPEC.
PLANS
N/A
iSSIKiKxSSMMSSSSSBSSil
N/A
>SSSSMSSSSWSSSit&&XiMSe&,
N/A
wssssAttsssssasssssssssm
SITE SPEC.
PLANS
N/A
O
\!d
* FIRST Rl/FS START OR FIRST NPL REMOVAL ARE A COMBINED TARGET UNDER STARS
** THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND, PRP, AND FEDERAL FACILITY RODS.
*** "TO BE DETERMINED" SITES ARE ALLOWED.
# GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS.
-------
OSWER Directive 9200.3-01 D
REMEDIAL DESIGN (RD)
RD activities are planned site, OU and project specifically and reported in CERCLIS.
Initial schedules for RD are established when the RI/FS for the site is initiated. These initial
schedules must be updated in CERCLIS as better planning data become available. The funds for
Fund-financed RDs are pulled directly from CERCLIS and are allocated in the RD AOA. Three
separate SCAP and STARS activities are tracked:
* First RD Start;
* Subsequent RD Start; and
* RD Completions.
Separate targets for first and subsequent and Fund and PRP RD starts are established in
SCAP prior to the FY. Like the RI/FS starts there is a limit on the number of Fund-financed RDs
that can be started during the FY. RD completions is a STAR target. RD completion targets are
made on a combined first and subsequent, and Fund-financed, RP-lead or Federal Facility basis.
In the definitions below, first and subsequent RD starts and first and subsequent RD
completions have been combined.
ACTIVITY: RD Starts First and Subsequent
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. Design assistance or technical assistance do not constitute an RD start.
Under certain circumstances, an RD may be prepared by other parties (i.e., water lines
where the city already prepared plans and specifications); or the plans developed for one
site may be used at a similar site. Subsequent RD starts occur at NPL sites where previ-
ous RD activity has taken place.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Includes F and S lead events.) - The date of the RD obligation is consid-
ered the definition of accomplishment. An obligation is made when:
* The CO signs the Procurement Request (PR);
A CA is signed by the Regional Administrator or his designee; or
* An IAG is signed by the other Federal agency.
In those instances where RD activities are conducted prior to ROD signature, or there is
not a new obligation of funds for a subsequent RD, the start of RD is defined as the
approval of the workplan to conduct these activities. When an RD already exists that can
be used for the site, the RD start is defined as the RA start.
D-10
-------
OSWER Directive 9200.3-01 D
PRP-financed (Includes MR, RP, and PS lead events) - For MR and RP lead, pursuant to
a judgment, CD, UAO or the pre-existing AO, the start is credited on the date the RD
contract is awarded by the PRPs for the RD or RD/RA work specified in the ROD. If the
work is being done under an existing contract, the start date is the notice to proceed with
the RD specified in the ROD. The appropriate date must be entered in CERCLIS.
For PS lead sites, credit will be given based on the issuance of a state order or state CD
for RD (or RD/RA) or, if the RD is covered by a pre-existing state order, the RD notice to
proceed date.
If PRPs are doing the work "in-house" pursuant to an enforcement settlement document,
the start date is the notice to proceed.
CHANGES IN DEFINITION FY90-FY91: Definition for RP-lead has changed
SPECIAL PLANNING REQUIREMENTS: Separate first and subsequent start targets
are established. Separate Fund and PRP financed RD start goals are established prior to
the FY. A limit will be placed on the number of RDs that can be started during the FY.
The date of the judgment, UAO or CD referral for RD must also be recorded in CER-
CLIS. Funds for oversight of RP-lead RDs can be obligated prior to the RD start if the
PRPs have initiated work at the site.
ACTIVITY: RD Completions First and Subsequent (S/C-5)
DEFINITION: An RD is complete when the final plans and specifications and, in the
case of a Fund-financed RD, a Fund-financed RA solicitation package for the selected
remedy are developed.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (Includes F and S lead events) - An RD completion is the date that EPA
concurs on or approves and accepts the final plans, specifications and RA solicitation
package.
PRP-financed (Includes MR, RP, and PS lead events) - An RD is complete on the date
that EPA concurs on or approves and accepts the final plans and specifications. For PS-
lead RDs, the RD is complete when the state concurs on or approves and accepts the final
plans and specifications.
For Fund and PRP financed RDs, the state should concur on the design prior to EPA
concurrence or approval.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Under STARS, the RD completion commit-
ment includes Fund-financed, RP-lead or Federal Facility first and subsequent RD com-
pletions. Separate targets are established in SCAP for first vs. subsequent RD comple-
tions. Separate SCAP targets are also established for Federal Facility RD completions.
The Federal Facility RD completion definition can be found in the Federal Facility
Definitions section.
D-ll
-------
OSWER Directive 9200.3-01 D
REMEDIAL DEFINITIONS
Remedial Design
PLANNING REQUIREMENTS
FIRST RD
START
SUB. RD
START
FIRST RD
COMP.
SUB. RD U
COMP. H
STARS COMMITMENT?
NO
NO
YES*
YES* I
SCAP COMMITMENT?
YES
YES
YES
YES I
TARGET OR MEASURE?
TARGET
TARGET
TARGET
TARGET I
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
YES
YES 1
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR I
TO FY J
PLANNED SITE SPECIFICALLY?
YES
YES
YES
YES I
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR j
TO FY I
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLEI
UNIT I
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED#
COMBINED#
COMBINED
COMBINED
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY IF FUND FINANCED
ACTION?
REMEDIAL
DESIGN
REMEDIAL
DESIGN
N/A
N/A
AOA CATEGORY FOR PRP OVERSIGHT?
OTHER
RESPONSE
OTHER
RESPONSE
N/A
N/A
BASIS FOR AOA?
SITE SPEC.
PLANS
SITE SPEC.
PLANS
N/A
N/A
* THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND, PRP AND FEDERAL
FACILITY RD COMPLETIONS.
# GOALS ARE ESTABLISHED ON A PROGRAM SPECIFIC BASIS.
D-12
-------
OSWER Directive 9200.3-01 D
REM EDI A L A CTION (RA)
Following are the SCAP and STARS activities tracked for RA:
First RA Start Through Obligation of Funds;
First Award of RA Contract;
Subsequent RA Start;
Subsequent Award of RA Contract;
RA On-site Construction;
First RA Completion;
Subsequent RA Completion;
Final RA Completion; and
NPL Deletion Initiation.
RAs are planned site, OU and project specifically and reported in CERCLIS. Initial
schedules for RA are established when the RI/FS for the site is initiated. These initial schedules
must be updated in CERCLIS as better planning data become available. Funds are allocated site
specifically in the RA AOA.
Award of RA contract and RA completions are combined STARS targets. Separate
targets are established in SCAP for first and subsequent award of RA contract and for first, sub-
sequent and final RA completions. Final RA completions and NPL sites completions through
removal actions are a combined SCAP measure NPL sites where all remedial/removal implem-
entation completed. Separate targets are also established in SCAP for Fund, PRP and Federal
Facility Award of RA contract and RA completions. RA starts is a SCAP target. Individual
targets are established for first vs subsequent and Fund vs PRP RA start targets. RA on-site con-
struction and NPL deletion initiation are SCAP measures.
In the definitions below, first and subsequent RA starts and first, subsequent and final RA
completions have been combined.
ACTIVITY: RA Start First and Subsequent
DEFINITION: An RA start is the first step toward implementation of the remedy se-
lected in the ROD.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (F or S lead events) - Credit for an RA start through obligation of funds is
given on the date a contract, IAG or CA is awarded and funds are obligated. This date is
entered into CERCLIS with the RA event.
D-13
-------
OSWER Directive 9200.3-01D
PRP-financed (RP, MR or PS lead events) - Credit for an RA start is given when one of
the following occurs and has been recorded in CERCLIS:
If work os performed by the PRPs under a CD or AO, the RA start is the date
EPA approves the PRP RD package;
If the PRP is doing work under a state order or CD, and the site is covered by a
state enforcement cooperative agreement or Superfund Memorandum of Agree-
ment (SMOA) with a schedule for RA work at the site, and EPA approved the
ROD, the RA start is the date EPA approves the PRP RD package;
Where the Fund perfromed the RD and the PRPs are doing the RA under the
terms of a CD, UAO or judgment, the RA start is the date on which the PRPs
provide notice of intent to comply with the UAO (C2801 = "NC) or the date the
CD is referred to HQ or DOJ (as recorded in CERCLIS). Where the PRP is in
significant non-compliance with the UAO, credit will be withdrawn.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: A limit will be placed on the number of
Fund-financed RAs that can be started during the FY.
ACTIVITY: Award of RA Contract (S/C-6)
DEFINITION: Award of RA contract is the initiation of on-site construction activities
for the remedy selected in the ROD.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed (F or S lead events) - Credit is given for an award of RA contract when
the EPA, a state, U.S. Army Corps of Engineers (USACE) or Bureau of Reclamation
(BUREC) has awarded a contract to initiate a Fund-financed RA. This date must be
entered into CERCLIS subevent (C3101) "AC" (RA contract award).
PRP-financed (RP, MR or PS lead events) - Credit is given for the award of RA contract
when the PRPs have begun substantial and continuous physical action, which is equiva-
lent to an EPA contract award, or where the PRP has taken equivalent action with its own
work force. This date should be entered in CERCLIS with the AC subevent.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91
SPECIAL PLANNING REQUIREMENTS: First and subsequent, Fund, PRP and Fed-
eral Facility RA contract awards are a single target. Individual targets are negotiated in
SCAP.
The definition for a Federal Facility award of RA contract can be found in the Federal
Facilities Definitions section.
ACTIVITY: RA Qn-Site Construction
DEFINITION: RA on-site construction begins when the EPA, USACE, BUREC or state
contractor for a Fund-financed RA, PRP or PRP's contractor for a PRP RA, mobilizes to
start implementation of the selected remedy.
D-14
-------
OSWER Directive 9200.3-01 D
DEFINITION OF ACCOMPLISHMENT: The date of mobilization must be placed in
CERCLIS against the RA subevent (3101) "RO" (on-site construction).
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: Planned RA on-site construction dates for
Fund-financed RAs must be placed in CERCLIS when the RA contract is awarded. This
date is used for planning cost recovery actions and establishing Statute of Limitations
(SOL) dates.
ACTIVITY: RA Completion First. Subsequent and Final (S/C-7)
DEFINITION: A first and subsequent RA is complete when construction activities are
complete, a final inspection has been conducted, the remedy is operational and functional
(see definition for operational and functional in Appendix D, Section II) and an Operable
Unit RA Report has been prepared. This report summarizes site conditions and con-
struction activities for the OU. The final RA requires preparation of a Superfund Site
Close-Out Report. This report summarizes the site conditions and construction activities
and demonstrates that the NCP criteria for deletion has been met. If the only activity re-
maining is performance monitoring or Long Term Remedial Action (LTRA), an Interim
Superfund Site Close-out Report must be prepared.
DEFINITION OF ACCOMPLISHMENT: The date the Regional Administrator signs the
Operable Unit RA Report or the Superfund Site Close-Out Report is the accomplishment
of the RA completion. The appropriate dates must be recorded in CERCLIS with the
event. The date the Regional Administrator signs the Interim Superfund Site Close-Out
Report must be recorded in CERCLIS against the RA subevent (C3101) "RC" (RA
physical construction completed).
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Commitments are made on a combined
Fund, PRP and Federal Facility basis. First, subsequent and final RA completions are a
combined STARS target. Separate targets are established in SCAP for first, subsequent
and final RA completions. Separate Federal Facility targets are established in SCAP.
The definition for a Federal Facility RA completion can be found in the Federal Facility
Definitions section.
ACTIVITY: NPL Deletion Initiation
DEFINITION: The deletion process is initiated when performance monitoring of the
completed remedy or remedies for the site has verified the integrity of the action and it
has been determined that no further response action is required at the site.
DEFINITION OF ACCOMPLISHMENT: The deletion process is credited when a notice
of intent to delete the site is published in the Federal Register.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS:
D-15
-------
REMEDIAL DEFINITIONS
Remedial Action
PLANNING REQUIREMENTS
FIRST RA
START
SUB. RA
START
FIRST RA
CONTRACT
AWARD
SUB. RA
CONTRACT
AWARD
ON-SITE
CONSTR.
RA
COM PL
SUB RA
COMPL.
FINAL RA
COMPL.
NPL DEL.
PROC. I NIT.
I
STARS COMMITMENT?
NO
NO
YES*
YES*
NO
YES*
YES*
YES*
NO
1
SCAP COMMITMENT?
YES
YES
YES
YES
YES
YES
YES
YES
YES
I
TARGET OR MEASURE?
TARGET
TARGET
TARGET
TARGET
MEASURE
TARGET
TARGET
TARGET
MEASURE
1
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
NO
YES
YES
YES
NO
I
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
YES
YES
NO
YES
YES
YES
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
l
PLANNED SITE SPECIFICALLY?
YES
YES
YES
YES
YES
YES
YES
YES
NO
:ป
"a
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
RA
CONTRACT
AWARD
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
WHOLE
SITE
i
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED#
COMBINED#
COMBLN'ED
COMBINED
COMBINED
COMBINED
COMBINED
COMBINED
COMBINED
i
1
i
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
1
1
AOA CATEGORY IF FUND
FINANCED?
RA
RA
N/A
N/A
N/A
N/A
N/A
N/A
N/A
j
AOA CATEGORY FOR PRP
OVERSIGHT?
OTHER
RESPONSE
OTHER
RESPONSE
N/A
N/A
N/A
N/A
N/A
N/A
N/A
1
&
BASIS FOR AOA?
SITE SPEC.
PLANS
SITE SPEC.
PLANS
N/A
N/A
N/A
N/A
N/A
N/A
n/a
1
as
1
iiililfiii
ง
~ THESE ARE A COMBINED TARGET UNDER STARS AND INCLUDE FUND, PRP AND FEDERAL FACILITY ACTIONS
# GOALS ARE ESTABLISHED AND REPORTED IN SCAP ON A PROGRAM SPECIFIC BASIS.
-------
OSWER Directive 9200.3-01 D
RESPONSE DEFINITIONS
INTRODUCTION
There are a subset of FY91 SCAP/STARS targets/measures that reflect the start and
completion of response activities and the accomplishment of cleanup goals at NPL sites. Ac-
complishments for these measures are based on information reported in CERCLIS for removal
and/or remedial events. Following are the response activities tracked in SCAP/STARS:
Number of NPL Sites where a Removal Action or RI/FS has Started;
Percent of NPL Sites Addressed;
NPL Sites where All Remedial/Removal Implementation Completed; and
Type of Media Addressed.
Number of NPL sites where a removal action or RI/FS has started is a STARS target.
Percent of NPL sites addressed is a STARS measure. NPL sites where all remedial/removal
implementation completed is SCAP measure. Type of media addresses is a STAR measure.
ACTIVITY: Number of NPL Sites where a Removal Action or RI/FS has Started (S/C-2)
DEFINITION: Number of NPL sites (final and proposed) where on-site activity has
begun. On-site activity is characterized by either a removal action under the direction of
EPA or through an AO, CD or judgment; or implementation of a first RI/FS (Fund, PRP
or Federal Facility) at the site, but not both.
DEFINITION OF ACCOMPLISHMENT: See RI/FS start definitions in the Remedial
Definitions section and the Federal Facility Definitions section and removal start defini-
tion in the Removal Definitions section.
CHANGES IN DEFINITION FY90 - FY91:
SPECIAL PLANNING REQUIREMENTS: First NPL removal starts or first RI/FS starts
are a combined target under STARS. Separate targets are negotiated in SCAP for RI/FS
starts and removal starts. Regions cannot receive credit under STARS if an RI/FS or
NPL removal began or was conducted at the site in a previous year. Similarily, Regions
cannot receive credit for both an RI/FS start and a NPL removal if they are started in the
same year. Credit is given for the first activity started and a site can only receive credit
once. Therefore, historical data must be reviewed prior to targeting and reporting accom-
plishments in STARS.
ACTIVITY: Percent NPL Sites Addressed (S/C-2a^
DEFINITION: The number of proposed or final NPL sites where a removal action, RI/
FS, enforcement action (Section 106 referral or UAO) or Resource Conservation and
Recovery Act (RCRA) corrective action has taken place divided by the total number of
sites on the NPL.
DEFINITION OF ACCOMPLISHMENT: See Definition.
D-17
-------
OSWER Directive 9200.3-0ID
CHANGES IN DEFINITIONS FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: RI/FS starts include Fund-financed, PRP,
Federal Facility, State Enforcement (with or without EPA involvement), and State fi-
nanced projects. CERCLIS will automatically review the site specific records, calculate
the percentage and place it in the CERHELP Targets and Accomplishments file. Regions
must contact HQ if site activities are started as a result of RCRA corrective actions.
ACTIVITY: NPL Sites where All Remedial/Removal Implementation Completed
DEFINITION: An NPL site is completed when the conditions specified in the Action
Memorandum or ROD have been met and no further remedial or removal response
actions are necessary.
DEFINITION OF ACCOMPLISHMENT:
Removal - See definition for removal completions in the Removal Definitions section.
RA - The RA implementation is complete when RA construction activities at the final OU
are complete, a final inspection has been conducted, the remedy is operating, and a
Superfund Site Close-Out Report has been prepared. If the only remaining activities are
performance monitoring, operation and maintenance (O&M) or LTRA an Interim Super-
fund Site Close-Out Report is prepared. A Superfund Site Close-Out Report is prepared
after final RA construction activities are complete, a final inspection has been conducted
and the remedy is operational and functional. (See definition of operational and functinal
in Appendix D, Section II.)
The date the Regional Administrator signs the Interim Superfund Site Close-Out Report
or the Superfund Site Close-Out Report is the accomplishment of remedial implementa-
tion completion. The date of the Interim Superfund Site Close-Out Report must be
entered into CERCLIS against the RA subevent (C3101) "RC" (RA physical construction
complete). The date of the Superfund Site Close-Out Report must be recorded in CER-
CLIS with the RA event.
ROD - The remedial implementation is complete when the ROD for the final OU requires
no further action. The date the ROD is signed by the AA SWER, Regional Administra-
tor/Deputy Regional Administrator is the accomplishment date and must be entered into
CERCLIS. There should be no RD or RA activities at this OU. The remedial technology
type in the Technical Information Qualifier (C3402 through C3411) for the ROD should
be "NA" (No Action).
CHANGES IN DEFINITION FY90 - FY91:
SPECIAL PLANNING REQUIREMENTS:
D-18
-------
OSWER Directive 9200.3-01 D
ACTIVITY: Type of Media Addressed (S/C-la)
DEFINITION: This measure results from the Environmental Indicators program. It
reports the type of media where the goal established in the ROD has been achieved
through implementation of a RA. This measure applies to those RA activities that com-
pletely address the contamination of one or more media. Media addressed for a perma-
nent or interim remedy must be reported. A permanent remedy indicates that all human
health and environmental goals for the media have been addressed and completed. In-
terim remedy is defined as a temporary or partial action that controls exposure or other-
wise temporarily protects human health and the environment. The site may need to be re-
visited for further clean up under the terms of an interim remedy. In reporting the interim
remedy, Regions should also report whether the remedy is partial or complete with
respect to that pathway. If the remedy does not completely address all of the pathway,
the result is a partial action. Otherwise, the remedy is an interim temporary action. (See
Volume I, Chapter III for additional information on the Environmental Indicators pro-
gram.)
DEFINITION OF ACCOMPLISHMENT: Same as definition.
CHANGES IN DEFINITION FY90 - FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: Accomplishments will be recorded in
CERCLIS as part of the regional update of the Environmental Indicators program. The
type of media addressed should be reflected in the comment field of the STARS data
base.
D-19
-------
RESPONSE DEFINITIONS
PLANNING REQUIREMENTS
NPL SITES WHERE
REMOVAL OR RI/FS
STARTED
% NPL
SITES ADDRESSED
NPL SITES WHERE ALL
REMEDIAL/REMOVAL
IMPLEMENTATION
COMPLETED
MEDIA |
ADDRESSED
STARS COMMITMENT?
YES#
YES*
NO
YES |
SCAP COMMITMENT?
NO
NO
YES
NO 1
TARGET OR MEASURE?
TARGET
MEASURE
MEASURE
MEASURE
>1;
ANNUAL TARGETS/MEASURES SET?
YES
NO
NO
NO
%
1
QUARTERLY TARGETS/MEASURES
SET?
YES
NO
NO
NO
i
IF YES, WHEN?
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
YES
NO
NO
NO
|
IF YES, WHEN?
PRIOR
TO FY
|
PLANNED ON OPERABLE UNIT
OR WHOLE SITE BASIS?
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
OPERABLE
UNIT
I?
PLANNED/REPORTED ON COMBINED
PROGRAM LEAD OR ON A PROGRAM
SPECIFIC BASIS?
COMBINED
COMBINED
COMBINED
COMBINED
|
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
1
A OA CATEGORY?
N/A
N/A
N/A
N/A
BASIS FOR AO A?
WMMWMM'MMKWdWMflJmsw&wsm
N/A
N/A
N/A
N/A
ซ
# INCLUDES FUND, ENFORCEMENT ACTION, PRPOR FEDERAL FACILITY ACTIVITY.
* INCLUDES REMOVAL, RI/FS, ENFORCEMENT ACTION OR RCRA ACTION WITH F, S,
RP, FE, SE, PS, SN, SR, MR LEAD.
-------
OSWER Directive 9200.3-01 D
REMOVAL DEFINITIONS
INTRODUCTION
Requirements for the removal program differ from the remedial program due to the
nature of removal activities. The removal program responds to emergency, time-critical and
non-time-critical situations at NPL and non-NPL sites. Since so much of the removal work
cannot be anticipated in advance, the planning horizon of these activities is significantly shorter
than for remedial activities. Thus, quarterly commitments are not required. All SCAP/STARS
targets, however, are established on an annual basis. Targets are planned site-specifically prior
to the quarter the removal is projected to begin. Site specific removal funding needs are placed
in CERCLIS the quarter prior to the expected obligation date. The annual removal commitments
are placed in the Targets and Accomplishments portion of the CERHELP non-site data system.
Credit will be given for NPL or non-NPL activities depending on the NPL status recorded
in CERCLIS on the date accomplishment reports are pulled.
REMOVAL ACTIVITIES
The following removal activities are tracked in SCAP and STARS:
Removal Investigations at NPL Sites;
NPL Removal Starts;
Non-NPL Removal Starts;
Removal Completions;
NPL Site Completions through Removal Actions; and
Percent NPL Sites Addressed
First NPL removal starts or first RI/FS starts are a single STARS target under S/C-2 num-
ber of sites where activity was started. Separate RI/FS and removal targets are established in
SCAP. Percent NPL sites addressed is a STARS measure which includes remedial, removal,
enforcement or Federal Facility activities.
Non-NPL and NPL removal starts and NPL site completions through removal actions are
SCAP targets. NPL site completions through removal action are combined with final RAs as the
SCAP measure NPL sites where all remedial/removal implementation completed. SCAP com-
mitments for removal starts are made on a combined program basis. Separate goals for Fund-
financed and RP-lead removals are negotiated prior to the FY. Accomplishments are reported on
a combined program basis. Removal investigations and removal completions are SCAP meas-
ures.
NPL and non-NPL removal start definitions have been combined. Definitions for re-
moval completions and NPL site completions through removal actions have also been combined.
The definition for percent NPL sites addressed is found in the Response Definitions section.
D-21
-------
OSWER Directive 9200.3-01 D
ACTIVITY: Removal Investigations at NPL Sites
DEFINITION: A removal investigation at an NPL site is the process of collecting field
data at an NPL site for the purpose of characterizing the magnitude and severity of the
problem to determine if a removal action is warranted.
Investigations may be conducted by the state, EPA and/or Technical Assistance Team
(TAT), and must include an on-site component, such as a walk around survey or sam-
pling to be counted.
DEFINITION OF ACCOMPLISHMENT: The start of the removal investigation at NPL
sites is defined as the date of the site visit. The completion is defined as the signature of
an Action Memorandum or the date of a memorandum to the file documenting the deci-
sion not to perform a removal action.
CHANGES IN DEFINITION FY90 - FY91:
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure. Accom-
plishments should be reported site specifically in CERCLIS.
ACTIVITY: Removal Starts NPL and Non-NPL
DEFINITION: A removal is a response action taken to prevent or mitigate a threat to
public health, welfare or the environment posed by the release or potential release of a
CERCLA hazardous substance, or an imminent or substantial risk posed by a pollutant or
contaminant. For first removal starts, no prior activity may have occurred, either Fund-fi-
nanced or under the direction of EPA or through an AO, CD or judgment.
In order for the NPL removal to be counted in the STARS target S/E-2, Number of NPL
sites where a removal action or RI/FS has started, it must not have had previous removal
or RI/FS activity at the site.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed A Fund-financed removal counts when on-site removal work is begun as
documented in a POLREP. Prior to on-site work beginning, the following actions usually
occur:
The Action Memorandum is approved by the On-Scene Coordinator (OSC), Re-
gional Administrator or AA SWER;
A contract has been signed for an EPA or U.S. Coast Guard (USCG) on-site
removal; and
An obligation for the removal has been recorded in CERCLIS and the Integrated
Financial Management System (EFMS) or the OSC activates $50,000.
D-22
-------
OSWER Directive 9200.3-01 D
PRP-financed - A PRP removal counts when there is on-site removal activity financed by
the PRP in compliance with a Federal AO (unilateral or consent), or CD or judgment.
The date the PRPs begin actual on-site work (as entered in CERCLIS) is the start date.
Where the PRP is in substantial non-compliance, credit will be withdrawn. If the PRPs
do not comply with a UAO, credit is not given. No credit will be provided where a PRP
is conducting a response without an enforcement document.
CHANGES IN DEFINITION FY90-FY91: Credit is not given if the PRPs do not com-
ply with a UAO; credit is withdrawn if PRPs are in substantial non-compliance.
SPECIAL PLANNING REQUIREMENTS: Plans are made site specifically prior to the
quarter the removal is expected to begin; "to be determined" sites are allowed. Annual
targets for removals are established in the Targets and Accomplishments portion of the
CERHELP data base. Commitments for non-NPL removals are made based on a com-
bined Fund and PRP financed and first and subsequent basis.
First NPL removal starts or first RI/FS starts are a combined target under STARS. Sepa-
rate targets are established in SCAP for RI/FS starts and removal starts. Regions cannot
receive credit for a site under STARS S/C-2, number of sites where activity has started, if
an RI/FS or NPL removal began or was conducted at the site in a previous year. Regions
also cannot receive credit for both an RI/FS start and a removal if they are started in the
same year. Credit is given for the first activity started and a site can receive credit only
once. Therefore, historical data need to be reviewed prior to recording accomplishments
in STARS. Regions can receive credit for both activities under SCAP.
ACTIVITY: NPL and Non-NPL Removal Completions and NPL Site Completions through Re-
movals
DEFINITION: The definition for removal completion is when the conditions specified in
the Action Memorandum have been met even if the OSC determines that additional
response work may be necessary.
An NPL site is completed through a removal action when the conditions specified in the
Action Memorandum or ROD have been met and no further remedial or removal re-
sponse actions are necessary.
DEFINITION OF ACCOMPLISHMENT:
Fund-financed Completions are counted on the day the cleanup contractor(s) has demo-
bilized and left the site, as documented in a POLREP and recorded in CERCLIS.
PRP-financed Completions will count when the Region has certified, by entering a date
in CERCLIS, that the PRPs or their contractors have completed a removal action and
fully met the terms of an AO, CD or judgment.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Measures are reported based on combined
Fund and PRP-financed and first and subsequent NPL and non-NPL removal comple-
tions. Projections on the number of NPL removal completions are placed in the Targets
and Accomplishments portion of the CERHELP non-site data system. NPL site comple-
tions through removal are planned site specifically and include Fund-financed and PRP
removals. n.9^
-------
OSWER Directive 9200.3-01D
REMOVAL PROGRAM DEFINITIONS
PLANNING REQUIREMENTS
NPL
REM. START
NON-NPL
REM. START
REM.
COMP
NPL
REMOVAL
SITE COMP.
NPL REMOVAL |g
INVESTIGATIONS m
STARS COMMITMENT?
NO*
NO
NO
NO
NO j|
SCAP COMMITMENT?
YES
YES
YES
YES
YES Bj
TARGET OR MEASURE?
TARGET
TARGET
MEASURE
TARGET
MEASURE M
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
NO j
QUARTERLY TARGETS/MEASURES
SETT?
NO
NO
NO
NO
NO i
IF YES, WHEN?
8
PLANNED SITE SPECIFICALLY?
YES **
YES**
YES
YES
NO I
IF YES, WHEN?
PRIOR
TO QUART.
PRIOR
TO QUART.
PRIOR
TO QUART.
PRIOR
TO QUART.
I
PLANNED/REPORTED ON OPERABLE UNIT
WHOLE
WHOLE
WHOLE
WHOLE
WHOLE ||
OR WHOLE SITE BASIS?
SITE
SITE
SITE
SITE
SITE I
REPORTED ON COMBINED PROGRAM
li
LEAD OR ON A PROGRAM SPECIFIC
COMBINED#
COMBINED#
COMBINED
COMBINED
N/A III
BASIS?
1
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OFCERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SPECIFIC 1
AOA CATEGORY IF FUND FINANCED?
REMOVAL
REMOVAL
N/A
N/A
REMOVAL M
AOA CATEGORY FOR PRP OVERSIGHT?
ENFORCEMENT
ENFORCEMENT
N/A
N/A
N/A I
SITE SPEC.
SITE SPEC.
SITE SPECIFIC li
PLANS li
BASIS FOR AOA?
PLANS &
CONTINGENCY
PLANS &
CONTINGENCY
UWWWIMWIMA'MUiUWiWWl
N/A
N/A
* FIRST RI/FS STARTS OR FIRST NPL REMOVALS ARE A COMBINED TARGET UNDER STARS.
** 'TO BE DETERMINED" SITES ARE ALLOWED.
# SEPARATE PROGRAM SPECIFIC GOALS ARE ESTABLISHED PRIOR TO THE FY.
A LIMIT IS PLACED ON THE NUMBER OF FUND-FINANCED NPL REMOVAL STARTS.
D-24
-------
OSWER Directive 9200.3-01 D
ENFORCEMENT DEFINITIONS
INTRODUCTION
The planning requirements for RP-lead response activities parallel those used under the
remedial and removal programs. These requirements are discussed in the previous sections.
Funding for the enforcement targets/measures are provided through the Case Budget. Enforce-
ment definitions have been divided into two categories: PRP Searches and Negotiations, and Set-
tlements, Referrals, and Oversight.
PRP SEARCHES AND NEGOTIA TIONS
Following are the search and negotiation activities tracked in SCAP and STARS:
Issuance of General Notice Letters;
Issuance of Special Notice Letters;
Section 104(e) Letter Issued;
NPL PRP Search Starts;
Non-NPL PRP Search Starts;
NPL PRP Search Completions;
Non-NPL PRP Search Completions;
RI/FS Negotiation Starts;
RI/FS Negotiation Completions;
RD/RA Negotiation Starts; and
RD/RA Negotiation Completions.
RD/RA negotiation completions is a STARS target. The remainder of the activities are
SCAP targets or measures.
The definitions for start of PRP search at NPL and non-NPL sites and the completion of
PRP search at NPL and non-NPL sites have been combined.
ACTIVITY: Issuance of General Notice Letters
DEFINITION: Letter sent by EPA under Section 122 of the Superfund Amendments and
Reauthorization Act of 1986 (SARA) 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: Credit for this activity is given on the date the
General Notice letter is signed by the appropriate EPA official.
D-25
-------
OSWER Directive 9200.3-01D
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS; This is a SCAP reporting measure and is
recorded at the milestone level.
ACTIVITY: Issuance of Special Notice Letters
DEFINITION: A special notice letter is a letter from EPA to the PRPs informing them of their
potential liability and inviting them to offer to conduct the planned response action(s) at the
site. This letter, under Section 122 of SARA, triggers a negotiation moratorium allowing the
PRPs to consider EPA's invitation to negotiate. The moratorium period varies depending on
the response action (RI/FS, RD/RA) and can be extended if necessary.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
special notice letter is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure and is
recorded at the milestone level.
ACTIVITY: Section 104(e) Letters Issued
DEFINITION: This is a letter issued under Section 104(e)of SARA. It requests information
from PRPs on matters such as: the nature and extent of a release or threatened release at a site;
nature and quantity of materials; indemnification; financial ability ofPRP to pay for response
actions.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
information request letter is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure and is
recorded at the milestone level.
ACTIVITY: PRP Search Starts (NPL and Non-NPL)
DEFINITION: The purpose of the PRP search is to identify PRPs. At NPL sites the PRP
search should be initiated at the same time as the LSI or, at the latest, with the listing of
the site. It should be completed in time to send general notice which should be approxi-
mately two months before the special notice date and at least 90 days prior to the obliga-
tion of funds for a RI/FS. At sites where a removal will be conducted, it should be done
prior to the start of the action when possible or very soon after the initiation of the emer-
gency response.
DEFINITION OF ACCOMPLISHMENT: If the search is being conducted by a contrac-
tor, the start date is considered to be the date the work assignment is procured. If it is
conducted by EPA, the start date is the day the EPA staff begins the PRP search activi-
ties.
D-26
-------
OSWER Directive 9200.3-01 D
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Removal PRP searches should be planned
site specifically to the maximum extent possible. Funds for removal PRP searches are
requested in CERHELP. Projections for removal PRP searches should be placed in the
Targets and Accomplishments portion of CERHELP. NPL PRP searches are planned and
funds requested on a site specific basis. PRP searches should be planned for all sites
listed on the NPL and for all removals conducted during the fiscal year.
ACTIVITY: PRP Search Completion (NPL and Non-NPL)
DEFINITION: A PRP search is the action taken by the Region to identify the respon-
sible parties at a site.
DEFINITION OF ACCOMPLISHMENT: The PRP search is complete when:
The Region has gathered information required by the program guidance including
information on generators and necessary information on financial viability, and
has sufficient information to mail special notice letters (names and addresses of
PRPs, volume and nature of substances contributed by each PRP; volumetric
ranking) and, at NPL sites, the outcome of the search has been determined, or
If no PRPs are found, the date and the outcome of the search are entered into
CERCLIS.
This definition applies to both Phase I (single owner, operator site) and Phase n (multi-
generator site) PRP search accomplishments.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: NPL PRP searches completions are planned
on a site specific basis; removal searches should be planned site-specifically to the maxi-
mum extent possible. All targeted non-NPL removal starts should have an associated
projection for a removal PRP search. These projections should be placed in the Targets
and Accomplishments portion of CERHELP.
ACTIVITY: RI/FS Negotiation Starts
DEFINITION: RI/FS negotiations are discussions between EPA and the PRPs on their
liability, willingness, and ability to conduct the RI/FS.
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations start when:
The first special notice letter is signed, or
When a waiver of special notice letter is signed, or
When the general notice letter that outlines negotiation time frames is signed.
The RI/FS negotiations start date is the date the letter is signed.
D-27
-------
OSWER Directive 9200.3-01 D
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: If the Region does not plan to perform RV
FS negotiations at a site, negotiation dates should not be placed in CERCLIS. The start
of RI/FS negotiations should be planned site specifically.
ACTIVITY: RI/FS Negotiation Completions
DEFINITION: RI/FS negotiations end when the Region decides how to proceed with the
RI/FS activities.
DEFINITION OF ACCOMPLISHMENT: RI/FS negotiations end when:
A UAO or Administrative Order on Consent (AOC) for RI/FS is signed by the
last official;
A signed CD for RI/FS is referred by the Region to HQ or Department of Justice
(DOJ); or
Funds are obligated for a Fund-financed RI/FS.
The negotiations conclusion date is the order signature date, the date on the transmittal
letter referring the CD, or the date funds for RI/FS are obligated.
CHANGES IN DEFINITION FY90-FY91: The conclusion of the negotiation period per
special notice was deleted from the definition.
SPECIAL PLANNING REQUIREMENTS: The activity is planned site specifically in
CERCLIS.
ACTIVITY: RD/RA Negotiation Starts
DEFINITION: RD/RA negotiations are discussions between EPA and the PRPs on their
liability, willingness and ability to implement the remedy selected in the ROD for the site
or operable unit.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations start when:
The first special notice letter is signed, or
When a waiver of special notice letter is signed, or
When the general notice letter that outlines negotiation time frames is signed.
The RD/RA negotiations start date is the date the letter is signed.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: If the Region does not plan to conduct RD/
RA negotiations, dates should not be entered into CERCLIS. The start of RD/RA nego-
tiations is planned site specifically.
D-28
-------
OSWER Directive 9200.3-01 D
ACTIVITY: RD/RA Negotiation Completions (S/C-41
DEFINITION: RD/RA negotiations end when the Region decides how to proceed with
the RD/RA.
DEFINITION OF ACCOMPLISHMENT: RD/RA negotiations end when:
A signed CD (Section 106 or 106/107 referral with settlement) for RD/RA and 10
point analysis are referred by the Region to either DOJ or HQ;
A Section 106 or 106/107 referral for RD/RA without settlement is referred to
DOJ or HQ;
A UAO for RD and/or RA to initiate site work is signed and the PRP is in compli-
ance;
A UAO for RD and/or RA to initiate site work is signed but a non-compliance de-
termination is made; or
Funds are obligated for a Fund-lead RD, where a UAO has beeen considered not
appropriate.
If RD funds are not available and the Region decides a UAO is not appropriate; and HQ
concurs with this decision in writing, the negotiation completion date is the date of the
HQ memorandum concurring with the UAO decision.
The negotiation conclusion date is: the date on the transmittal letter for the CD, the date
on the transmittal letter with the referral without settlement, the date the PRP sends EPA
a notice of intent to comply with the UAO, the date a UAO non-compliance determina-
tion is made, or the date funds are obligated.
CHANGES IN DEFINITION FY90-FY91: The definition makes a distinction between
situations where a UAO is issued and the PRPs either comply or non-comply with the
order. Credit is given when RD funds are awarded only in situations where a UAO is not
issued. A completion definition was added in the event RD funds are not available.
SPECIAL PLANNING REQUIREMENTS: The activity is planned site specifically in
CERCLIS.
D-29
-------
OSWER Directive 9200.3-01 D
ENFORCEMENT DEFINITIONS
Searches and Negotiations
PLANNING REQUIREMENTS
NPL
PRP
SEARCH
NON-NPL
PRP
SEARCH
NPL PRP
SEARCH
COMP
REMOVAL
PRP SEARCH
COMP
SEC. I04e
LETTERS
STARS COMMITMENT?
NO
NO
NO
NO
NO
SCAP COMMITMENT?
YES
YES
YES
YES
YES
TARGET OR MEASURE?
MEASURE
MEASURE
MEASURE
MEASURE
MEASURE
ANNUAL TARGETS/MEASURES SET?
NO
NO
NO
NO
NO
QUARTERLY TARGETS/MEASURES
SET?
NO
NO
NO
NO
NO
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
YES
NO
YES
NO
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
WHOLE
SITE
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY?
ENFORCE-
MENT
ENFORCE-
MENT
N/A
N/A
N/A
BASIS FOR AOA?
SITE SPEC.
PLANS
NON-SITE
PLANS
N/A
N/A
N/A
D-30
-------
ENFORCEMENT DEFINITIONS
PRP SEARCHES AND NEGOTIATIONS
PLANNING REQUIREMENTS
GENERAL
NOTICE
LETTERS
SPECIAL
NOTICE
LETTERS
RI/FS
NEG
START
RI/FS
NEG
COMP.
RD/RA
NEG
START
RD/RA
NEG
COMP
STARS COMMITMENT?
NO
NO
NO
NO
NO
YES
SCAP COMMITMENT?
YES
YES
YES
YES
YES
YES
TARGET OR MEASURE?
MEASURE
MEASURE
MEASURE
MEASURE
TARGET
TARGET
ANNUAL TARGETS/MEASURES SET?
NO
NO
NO
NO
YES
YES
QUARTERLY TARGETS/MEASURES
SET?
NO
NO
NO
NO
YES
YES
IF YES, WHEN?
PRIOR
TO FY
PRIOR |
TO FY |
PLANNED SITE SPECIFICALLY?
NO
NO
YES
YES
YES
YES |
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR H
TO FY H
PLANNED/REPORTED ON OPERABLE
UNIT OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE H
UNIT |
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC BASIS?
N/A
N/A
N/A
N/A
N/A
N/A 1
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE |
SPECIFIC |
AOA CATEGORY?
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
N/A
ENFORCE-
MENT
N/A
BASIS FOR AOA?
SITE/NON
SITE SPEC.
PLANS
SITE/NON
SITE SPEC.
PLANS
SITE SPEC.
PLANS
N/A
SITE SPEC.
PLANS
N/A
II
-------
OSWER Directive 9200.3-01D
SETTLEMENTS. REFERRALS AND OVERSIGHT
SCAP and STARS track the following enforcement activities:
Section 104(e) Referrals;
Administrative Record Compilation Completion (removal and remedial);
Section 106, 106/107, 107 Case Resolution;
Cost Recovery Amounts Referred and Settled;
Section 107 Referrrals/Settlements (>$200,000);
Section 106 or 106/107 Referrals/Settlements for RD/RA;
Section 107 Referrals/Settlements (<$200,000);
Administrative Orders issued;
Demand Letters Issued;
Issue Cost Recovery Decision Document;
State CDs for RD/RA Issued;
State orders for RI/FS Issued; and
D& minimus Settlements Achieved.
Section 106 or 106/107 Referrals/Settlements for RD/RA is a SCAP/STARS targeted
activity (S/E-4) and a SCAP measure. The definitions are slightly different. Both definitions ar
presented in this section.
ACTIVITY: Section 104Ce') Referrals
DEFINITION: Section 104(e) referrals are enforcement actions to compel parties to
respond to EPA requests for information.
DEFINITION OF ACCOMPLISHMENT: Credit is given when the Regional Adminis-
trator signs the transmittal letter referring the action to HQ or DOJ. The signature date
must be recorded in CERCLIS as the activity start date.
CHANGES IN DEFINITION FY90-FY91: Referrals with settlement and UAOs were
eliminated.
SPECIAL PLANNING REQUIREMENTS: Targets are established on a site specific
basis; "to be determined" sites are allowed with an explanation.
D-32
-------
OSWER Directive 9200.3-01 D
ACTIVITY: Administrative Record Compilation (Remedial and Removal)
DEFINITION: An Administrative Record is a compilation of all documents which EPA
used to make a specific decision on the appropriate response action to be taken at a
Superfund site. SARA specifies that Administrative Records be compiled at sites where
remedial or removal responses are planned or are occuring, or where EPA is issuing a
UAO or initiating litigation.
DEFINITION OF ACCOMPLISHMENT: The Administrative Record compilation
begins when the Administrative Record is received at the site repository and the start date
is entered into CERCLIS. The Administrative Record compilation is complete when the
compilation is verified via ORC certification.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: The number of Administrative Records
compiled must be reported quarterly in the CERHELP Targets and Accomplishments
data base.
ACTIVITY: Section 106. 106/107. 107 Case Resolution
DEFINITION: Case resolution is the conclusion of a Section 106, 106/107, or 107
judicial action by a full settlement, a final judgment, a case dismissal, or a case with-
drawal.
DEFINITION OF ACCOMPLISHMENT: Credit for case resolution is given when:
A CD is entered in the court fullv addressing the complaint with all parties;
The case is withdrawn;
The case is dismissed; or
A trial concluded and a judgment entered fully addressing the complaint.
The case resolution date (activity actual completion date) is the same as the milestone
date and is defined as follows:
Date CD is entered;
Date case is withdrawn;
Date case is dismissed; or
Date judgment is entered.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Commitments are established site specifi-
cally.
D-33
-------
OSWER Directive 9200.3-01 D
ACTIVITY: Cost Recovery Amounts Referred and Settled (S/E-3)
DEFINITION: This is the sum of all cost recovery dollars referred and settled. This
includes:
Value of past costs sought in Section 106/107 or Section 107 referrals (referred to
DOJ or HQ);
Value of past costs recovered in Section 106/107, Section 107 or Section 122 set-
tlements, including:
CDs, upon referral to HQ or DOJ;
AOs, upon execution of last signature by EPA or the PRPs;
Cash outs (normally minimis):
Administrative Settlements:
Voluntary Cost Recovery (payment in direct response to demand letters);
or
Section 106/107 or Section 107 judgments in compliance.
This category does not include the amount of bankruptcy settlements, or the amount of
oversight costs billed.
DEFINITION OF ACCOMPLISHMENT: Credit is given for the amount entered in
CERCLIS.
CHANGES IN DEFINITION FY90-FY91: Bankruptcy settlements and recovery of
oversight costs are not included.
SPECIAL PLANNING REQUIREMENTS: This is a STARS reporting measure only,
not a targeted activity.
ACTIVITY: Section 106 or 106/107 Referrals/Settlements for RD/RA CS/E-4")
DEFINITION: These are the enforcement actions to compel the PRPs to conduct the RD
and/or RA.
DEFINITION OF ACCOMPLISHMENT:
1) Section 106 or 106/107 Referrals without Settlement - This measure includes all
referrals for RD/RA to HQ or DOJ seeking injunctive relief. Credit is given on the date
of the transmittal letter accompanying the referral to Office of Enforcement (OE) or DOJ.
This target will automatically decrease by one should a site in this category reach a
settlement (CD or UAO in compliance) prior to referral. The target for category 2,
below, will automatically increase by one.
Referrals seeking preliminary relief or penalties do not count toward this measure.
D-34
-------
OSWER Directive 9200.3-01 D
2) Section 106 or 106/107 CD for RD/RA or RD/RA UAO where PRPs are in compli-
ance - This measure includes CDs for RD and/or RA or RD/RA cashouts referred to HQ
or DOJ. The CD referral package must contain all signatures (EPA and PRPs), and a
complete 10-point analysis document. Credit will be based on the date of the transmittal
letter accompanying the referral to OE or DOJ.
This measure also includes UAOs for RD/RA where the PRPs are in compliance. Should
the PRP become substantially in non-compliance with the UAO, credit will be withdrawn
from this category and will only be reinstated when the PRP returns to compliance or will
be counted in category 1 upon referral to HQ or DOJ. Credit for UAO in compliance is
based on the milestone "Notice of Intent to Comply" date (C2801 = NC) entered into
CERCLIS.
Should a site targeted in this category fail to reach a settlement and the region refers the
case without settlement, this target will automatically decrease by one, while the target in
category 1 will increase by one.
CHANGES IN DEFINITION FY90-FY91: The notice of intent to comply with the UAO
must be entered into CERCLIS.
SPECIAL PLANNING REQUIREMENTS: Separate targets are established site specifi-
cally for category 1 and category 2 activities. STARS accomplishments are reported as a
combination of category 1 and category 2 activities. "To be determined" sites are al-
lowed with an explanation. Credit will be withdrawn if a case is returned by OE or DOJ
for additional work. Credit will be reinstated upon re-referral and will be based on the
quarter of re-referral. In the event a case is referred in one year and returned to the
Region in subsequent years, no credit will be provided for re-referral.
ACTIVITY: Section 106 or 106/107 Referrals/Settlements for RD/RA (SCAP measure')
DEFINITION: These are the enforcement actions to compel the PRPs to conduct the RD
and/or RA.
DEFINITION OF ACCOMPLISHMENT:
1) Section 106 or 106/107 Referrals without Settlement - This measure includes all
referrals for RD/RA to HQ seeking injunctive relief. Credit is given on the date of the
transmittal letter to OE or DOJ. Referrals seeking preliminary relief or penalities do not
count toward this measure.
2) Section 106 or 106/107 CD for RD/RA - This measure includes CDs for RD and/or
RA, RD/RA cashouts referred to HQ or DOJ, and UAOs for RD/RA where the PRPs are
in compliance. (If the PRPs are not in compliance, no credit will be provided.) The CD
referral package must contain all signatures (EPA and PRPs), and a complete 10-point
analysis document. Credit is based on the date of the transmittal letter accompanying the
referral to OE or DOJ. Credit for the UAO is based on the date the PRPs provide their
notice of intent to comply with the UAO. This date must be entered into CERCLIS
(C2901 = "NC").
3) UAOs - This measure includes all UAOs issued for RD/RA. Credit is given on the
date the Regional Administrator signs the UAO.
D-35
-------
OSWER Directive 9200.3-01 D
If the PRPs are in compliance with the UAO, credit is also given in category 2.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure, targets
are established for these activities under S/E-4 and S/E-l. Credit will be withdrawn if a
case is returned by OE or DOJ for additional work. Credit will be reinstated upon re-
referral and will be based on the quarter of re-referral. In the event a case is referred in
one year and returned to the Region in subsequent years, no credit will be provided for
re-referral.
ACTIVITY: Section 107 Referrals/Settlements (>$200.000') (S/E-2)
DEFINITION: This is an enforcement action under Section 107 of SARA seeking
recovery of Trust Fund dollars spent for removal or remedial response at a site. The
amount spent (direct and indirect costs) and sought must be at least $200,000. Future
costs do not count toward the $200,000.
DEFINITION OF ACCOMPLISHMENT:
Credit is based on the Regional Administrator's signature date on the referral transmittal
letter (as entered in CERCLIS) to OE or DOJ. Entry of the following information into
CERCLIS is required for credit: 1) date referred to HQ/DOJ (C1716); cost recovery
remedy type (C2731); 3) cost recovery financial type (C2903); 4) cost recovery financial
amount (C2907); and 5) settlement status (C1721).
1) Section 107 pre-RA Referral - Credit is given for cost recovery referrals seeking
reimbursement of Trust Fund dollars spent for Fund-financed removals, Initial Remedial
Measures (IRM), Expedited Response Actions (ERA), RI/FS, or RDs at a site.
Should a Region reach an administrative settlement for a case where the amount recov-
ered is greater than or equal to $200,000, which fully resolves all cost recovery for the
operable unit, the Region will receive credit. Credit shall not be given for Bankruptcy
settlements.
Sites where the PRP is conducting the RA, and Fund monies will only be used for over-
sight are included in this categoiy.
2) Section 107 RA Referral - Credit is given for cost recoveiy referrals seeking reim-
bursement of Trust Fund dollars spent for a Fund-financed RA, plus any previous Fund-
financed site work (i.e., removals, ERA, IRM, RI/FS, RD) where direct and indirect costs
at the site are valued at $200,000 or greater.
Should a Region reach an administrative settlement for RA, or for cost recovery of RA
where the amount recovered is greater than or equal to $200,000 which fully resolves the
operable unit, the Region will receive credit.
CHANGES IN DEFINITION FY90-FY91: Section 106/107 referrals were deleted from
this target/measure. Administrative settlements greater than $200,000 were added.
D-36
-------
OSWER Directive 9200.3-01D
SPECIAL PLANNING REQUIREMENTS: Targets are based on the number of sites
addressed in the referral package and must include responses where there are potential
SOL problems and viable PRPs have been identified. If a Region fails to refer a SOL
site, it will be considered to have missed its target, even if it refers more cases than its
target. Credit will be withdrawn if a case is returned to the Region by OE or DOJ for
additional work, but will be reinstated upon re-referral and will be based on the quarter of
re-referral. Credit will not be given for bankruptcy settlements.
ACTIVITY: Section 107 Referrals/Settlements (<$200.000')
DEFINITION: This category includes Section 107 referrals (with and without settle-
ment), administrative settlements (Section 122), and judgments in compliance, for reim-
bursement of Trust Fund amounts of less than $200,000.
DEFINITION OF ACCOMPLISHMENT:
1) Voluntary cost recovery - Credit is given on the date on which the Financial Manage-
ment Division or the regional office receives a payment from the PRPs in direct response
to a demand letter (no formal settlement document exists).
2) AOC - Credit is given on the date the Regional Administrator signs the AOC.
3) Referral with or without settlement - Credit is given on the date the Regional Admin-
istrator signs the transmittal letter accompanying the referral to HQ or DOJ.
4) Judgment - Credit is given on the date the PRPs comply with the judgment.
CHANGES IN DEFINITION FY90-FY91: Definition includes referrals with settlement
and judgments.
SPECIAL PLANNING REQUIREMENTS: Credit is based on the AO or referral pack-
age per se, not on the number of sites. Regions are constrained to a maximum of one
small case referral. Targets are established non-site specifically.
ACTIVITY: Administrative Orders Issued (S/E-l)
DEFINITION: Issuance of an AOC that compels the PRPs to assume responsibility for
removal actions, RI/FS, RD, and cost recovery.
Issuance of a UAO that compels the PRPs to assume responsibility for removals, RI/FS
and RD/RA.
Excluded from this measure are Section 104 administrative orders for site access and
orders for operation and maintenance.
DEFINITION OF ACCOMPLISHMENT: Credit is provided where a Section 106 or
Section 122 UAO or AOC for removal actions, RI/FS or RD has been signed by the Re-
gional Administrator or designated official.
D-37
-------
OSWER Directive 9200.3-01D
Credit is provided where a Section 106 or 122 AOC for cost recovery has been signed by
the Regional Administrator or designated official.
Credit is provided where a Section 106 or 122 UAO for RD/RA has been signed by the
Regional Administrator or designated official.
The completion date (C1717), compliance status (C1726), remedy code (C2731) and the
settlement status flag (CI721) are entered in CERCLIS.
CHANGES IN DEFINITION FY90-FY91: Includes all Section 106 and 122 UAOs and
AOCs issued.
SPECIAL PLANNING REQUIREMENTS: Projections for AOs for removal actions are
made in the Targets and Accomplishments portion of the CERHELP non-site data base.
AOCs or UAOs issued for removals, RI/FS, RD and cost recovery is a SCAP/STARS
reporting measure. UAOs issues for RD/RA is a SCAP/STARS target. Targets for RD/
RA UAOs are planned site specifically in CERCLIS and are not dependent on compli-
ance.
ACTIVITY: Issue Demand Letter
DEFINITION: A Section 122(e) letter issued pursuant to Section 107 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 re-
sponse activity.
DEFINITION OF ACCOMPLISHMENT: Credit for this activity is given on the date the
demand letter is signed by the appropriate EPA official.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure and is
recorded at the milestone level.
ACTIVITY: Issue Cost Recovery Decision Document
DEFINITION: Document prepared by EPA regional office specifying EPA rationale for
not pursuing cost recovery against PRPs at a site, event or OU.
DEFINITION OF ACCOMPLISHMENT: Date the document is issued by the regional
office.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure.
ACTIVITY: State Order for RI/FS
DEFINITION: AO or CD signed by the state and the PRPs for the PRPs to conduct the
RI/FS.
D-38
-------
OSWER Directive 9200.3-01 D
DEFINITION OF ACCOMPLISHMENT: The date the last official or party signs the
order or CD. All CERCLIS coding requirements for AOs and CDs apply. The enforce-
ment activity type (C1701) should be state decree ("SD") or state order ("SO") and the
date should be placed in C1717. In addition, the remedy field must denote that the AO/
CD was issued for an RI/FS.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure not a
targeted activity.
ACTIVITY: State Consent Decree for RD/RA
DEFINITION: Judicial agreement between the state and the PRPs fully or partially
setding a claim under CERCLA. The settlement may be for response work, or both
response and cost recovery work.
DEFINITION OF ACCOMPLISHMENT: Date the state CD is signed by the last official
or party. All CERCLIS Coding requirements for CDs apply. The enforcement activity
type (C1701) should be state decree decree ("SD") and the date should be reported in
C1717. In addition, the remedy field must denote that the CD was issued for RD and/or
RA.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: This is a SCAP reporting measure not a
targeted activity.
ACTIVITY: De minimis Settlements
DEFINITION: Administrative or judicial settlement under Sections 106 or 107 and
Section 122 (g) of SARA. This settlement involves a minor portion of the response costs
at the site and is embodied as a CD or in an AO. If the total response costs at the site
exceed $500,000 (excluding interest), the AO can only be issued with DOJ's prior written
approval. If DOJ does not approve or disapprove the order within 30 days, the order is
considered approved and can be issued. (DOJ and the Administrator can agree to extend
this 30-day period).
DEFINITION OF ACCOMPLISHMENT: Credit is given on the date the Regional
Administrator signs the referral transmittal letter to OE or DOJ for the minimis CD or
the date the Regional Administrator signs the AO after obtaining approval from DOJ. If
the Regional Administrator signs the order before obtaining approval from DOJ, credit is
given on the date DOJ approves the order, or on the day the 30-day approval period
expires.
CHANGES IN DEFINITION FY90-FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: This is a reporting measure only. The
remedy qualifier for de minimis must be entered into CERCLIS (C2741-C2750 = "DL"
or "DG"). For planning purposes, each Region will have a projected total of two settle-
ments in FY91.
D-39
i i
-------
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
8
a
.fa
Q
oC
PLANNING REQUIREMENTS
ADMIN. RECORD
COMPILATION
DEMAND
LTRS
104(c)
REFERRALS
COST RECOVERY
DECISION DOC.
STARS COMMITMENT?
NO
NO
NO
NO
SCAP COMMITMENT?
YES
YES
YES
YES |
TARGET OR MEASURE?
MEASURE
MEASURE
MEASURE
MEASURE !
ANNUAL TARGETS/MEASURES SET?
NO
NO
NO
NO
QUARTERLY TARGETS/MEASURES
SET?
NO
NO
NO
NO
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
NO
NO
NO
NO I
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
WHOLE
SITE
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
COMBINED
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR
IN NON-SITE PORTION OF CERCLIS?
N ON-SITE
SITE SPECIFIC
SITE SPECIFIC
SITE SPECIFIC j
AOA CATEGORY?
ENFORCEMENT
OR OTHER
RESPONSE
ENFORCEMENT
ENFORCEMENT
ENFORCEMENT
BASIS FOR AOA?
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON- 1
SITE SPECIFIC |
PLANS |
ฉ
o
-------
OSWER Directive 9200.3-01 D
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
PLANNING REQUIREMENTS
1
2
3
4
5 ]
STARS COMMITMENT?
NO
NO
YES
YES
YES
SCAP COMMITMENT?
YES
YES
YES
YES
NO
TARGET OR MEASURE?
MEASURE
TARGET
TARGET
MEASURE
MEASURE
ANNUAL TARGETS/MEASURES SET?
NO
YES
YES
NO
NO
QUARTERLY TARGETS/MEASURES
SET?
NO
YES
YES
NO
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
NO
YES
YES
NO
NO
IF YES, WHEN?
PRIOR
TO FY*
PRIOR
TO FY
|
PLANNED/REPORTED ON
IbkERABLE UNIT
ฆ WHOLE SITE BASIS?
OPERABLE
UNIT
WHOLE
SITE
OPERABLE
UNIT
OPERABLE
UNIT
WHOLE
SITE
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC |
AOA CATEGORY?
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
N/A
BASIS FOR AOA?
SITE SPEC.
PLANS
wjMWMmssmm
SITE SPEC.
PLANS
SITE SPEC.
PLANS
wmwmiMw-.
SITE SPEC.
PLANS
mmmmmmd
N/A
* "TBD" SITES ARE ALLOWED.
1. S. 106,106/107, & 107 CASE RESOLUTION
2. S. 107 REFERRALS/SETTLEMENTS (<$200,000)
3. UAO FOR RD/RA
4. ADMINISTRATIVE ORDER FOR REMOVAL, RI/FS, RD OR COST RECOVERY
5. COST RECOVERY AMOUNTS REFERRED AND SETTLED
D-41
-------
OSWER Directive 9200.3-01D
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight (Cont.)
PLANNING REQUIREMENTS
107
REFERRALS/SETTLEMENT
(>$200,000)
106 OR 106/107 RD/RA
REFERRAL /SETTLEMENT
106, 106/107
REFERRAIVSET
FOR RD/RA
PRE-RA
RA
W/O
SETTLEMENT
WITH
SETTLEMENT
WITH OR W/O
SETTLEMENT
STARS COMMITMENT?
YES
YES
YES*
YES*
NO
SCAP COMMITMENT?
YES
YES
YES
YES
YES
TARGET OR MEASURE?
TARGET
TARGET
TARGET
TARGET
MEASURE
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
NO
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
YES
YES
NO
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
YES
YES
YES
YES
YES
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY?
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
BASIS FOR AOA?
SITE SPEC.
PLANS
SITE SPEC.
PLANS
SITE SPEC.
PLANS
SITE SPEC.
PLANS
SITE SPEC.
PLANS
* Separate targets are established, but accomplishments are reported against a combined target.
D-42
-------
OSWER Directive 9200.3-01D
ENFORCEMENT DEFINITIONS
Settlements, Referrals and Oversight
PLANNtt
JG REQUIREMENTS
STATE CD
FOR RD/RA
STATE ORDER
FOR RI/FS
DE MINIMIS
SETTLEMENTS
STARS C(
5MMITMENT?
NO
NO
NO
SCAP COl
VIMITMENT?
YES
YES
YES
TARGET
OR MEASURE?
MEASURE
MEASURE
MEASURE
ANNUAL
TARGETS/MEASURES SET?
NO
NO
NO
QUARTEF
SET?
ILY TARGETS/MEASURES
NO
NO
NO
IF YES, W
HEN?
PLANNEE
) SITE SPECIFICALLY?
NO
NO
NO
IF YES, W
HEN?
PLANNEE
OPERABL
OR WHOL
J/REPORTED ON
EUNIT
-E SITE BASIS?
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTE
LEAD OR
BASIS?
D ON COMBINED PROGRAM
ON A PROGRAM SPECIFIC
N/A
N/A
N/A
REPORTE
NON-SITE
D SITE SPECIFICALLY OR IN
PORTION OF CERCLIS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CAT
EGORY?
ENFORCE-
MENT
ENFORCE-
MENT
ENFORCE-
MENT
BASIS FO
R AOA?
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
SITE OR NON-
SITE SPECIFIC
PLANS
S*' 'A? '
D-43
-------
OSWER Directive 9200.3-01 D
FEDERAL FACILITY DEFINITIONS
INTRODUCTION
Definitions for Federal Facility activities are generally the same as those used for RP-
financed actions. The Federal Facility activity definitions have been divided into two categories:
Remedial and Enforcement. The STARS target, NPL sites where a removal action or RI/FS has
started and the STARS measures, NPL sites addressed (S/C-2a), and type of media addressed
(S/C-7a), includes remedial, removal, enforcement and Federal Facilities activities. These defi-
nitions can be found in the Response Definitions section.
REMEDIAL
The following Federal Facility remedial activities are tracked through STARS and SCAP.
The definitions encompasses first and subsequent activities.
ACTIVITY: Federal Facility RI/FS Starts
DEFINITION: An RI/FS is a study designed to characterize the site, assess the nature
and extent of the contamination, evaluate potential risk to human health and the environ-
ment, and develop and evaluate potential remediation alternatives. Federal Facility RI/FS
are conducted by the Federal entity. The Federal agency is required to start an RI/FS
within six months of site listing on the NPL.
DEFINITION OF ACCQMPI .ISHMRNT: The start date is either 1) A signed LAG or 2)
Publication of timetables and deadlines in consultation with the state for expeditious
completion of the RI/FS. Subsequent RI/FS start is defined as the receipt of the RI/FS
workplan within the context of the I AG.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: First and subsequent RI/FS starts are a
combined SCAP target. First RI/FS starts is a STARS target under S/C-2 number of NPL
sites where a removal action or RI/FS has started.
ACTIVITY: Federal Facility RI/FS Completion (ROD-) fS/C-3^
DEFINITION: The ROD is the document which details the selection of remedy. The
Federal entity and EPA jointly select the remedy at the facility.
DEFINITION OF ACCOMPLISHMENT: The date the ROD is signed by the Regional
Administrator or the AA SWER is the completion date. This date must be entered in
CERCLIS.
CHANGES IN DEFINITION FY90-FY91 :
SPECIAL PLANNING REQUIREMENTS: First and subsequent RODs are combined
STARS and SCAP targets. Federal Facility RODs are included in S/C-3 Number of
Remedies Selected at NPL Sites.
D-44
-------
OSWER Directive 9200.3-01 D
ACTIVITY: RD Starts
DEFINITION: An RD is the process of developing plans and specifications for the
selected remedy. The Federal agency and/or its contractor performs the RD.
DEFINITION OF ACCOMPLISHMENT: The RD start is defined as the date the RD
workplan is received by EPA, as recorded in CERCLIS, within the context of the IAG.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: First and subsequent RDs are a combined
SCAP target.
ACTIVITY: RD Completion (S/C.-S)
x
DEFINITION: An RD is complete when plans and specifications for the selected remedy
have been developed.
DEFINITION OF ACCOMPLISHMENT: Credit is given when EPA approves the RD
within the context of an IAG.
CHANGES IN DEFINITION FY90 - FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: First and subsequent RD completions are
combined STARS and SCAP targets. Federal Facility RD completions are included in
S/C-5 number of sites where RD has completed.
ACTIVITY: RA Starts
DEFINITION: An RD represents construction activities to address a release or potential
release of a hazardous substance at a site. The Federal agency or its contractor performs
the RA at the Federal Facility.
DEFINITION OF ACCOMPLISHMENT: An RA start is defined as the date, as re-
corded in CERCLIS, that EPA receives the RA workplan within the context of an IAG..
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Separate projections are made for first and
subsequent RA starts..
ACTIVITY: Award of RA Contract (S/C-6^
DEFINITION: An RA represents construction activities to address a release or potential
release of a hazardous substance at a site. The Federal agency or its contractor performs
the RA at the Federal Facility.
D-45
-------
OSWER Directive 9200.3-01D
DEFINITION OF ACCOMPLISHMENT: Credit is given when substantial and continu-
ous on-site work has begun at sites where EPA has concurred on the ROD and an IAG
isin place. This is equivalent to an EPA contract award for Fund-financed RAs. The date
substantial and continuous on-site work begins must be recorded and documented in
CERCLIS.
CHANGES IN DEFINITION FY90-FY91: The definition is the start of on-site work
instead of receipt of the workplan.
SPECIAL PLANNING REQUIREMENTS: Projections are made for first and subse-
quent RA starts in STARS. Federal Facility RA starts are included in S/C-6 number of
RA activities started through award of contract.
ACTIVITY: RA Completion (S/C-l)
DEFINITION: An RA is complete when construction activities are complete, a final
inspection has been conducted, the remedy is operating as designed and an Operable Unit
RA Report or Site Close Out Report has been prepared.
DEFINITION OF ACCOMPLISHMENT: The date the Regional Administrator signs the
Operable Unit RA report or Site Close Out Report is the accomplishment of an RA
completion.
CHANGES IN DEFINITION FY90 - FY91: New definition for FY91.
SPECIAL PLANNING REQUIREMENTS: Federal Facility RA completions are in-
cluded in S/C-7 number of RA activites completed at NPL sites.
ENFORCEMENT
ACTIVITY: Signed Interagency Agreements at NPL Sites
DEFINITION: Under ง120 of SARA, Federal agencies are required to enter into a Fed-
eral Facility IAG with EPA within six months of EPA review of RI/FS regarding:
A schedule for completion of the remedy; and
Arrangements for O&M at the facility.
OSWER policy is to enter into an IAG for the RI/FS and RD/RA phases. IAGs should be
signed at NPL or proposed NPL Federal Facilities.
DEFINITION OF ACCOMPLISHMENT: Credit is given for any of the following: 1) A
signed ง120 IAG for an RI/FS/RD/RA or RD/RA only; 2) Issuance of a ง3008(h) correc-
tive action order that addresses all releases; 3) Referral of a Section 106 AO to DOJ for
concurrence; 4) Issuance of a RCRA permit addressing all releases and all CERCLA
requirements; or 5) A formal referral has been made to the AA SWER for dispute resolu-
tion. A site can only receive credit once under this measure.
D-46
-------
OSWER Directive 9200.3-01 D
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Issuance of a Section 3008(h) Order, issu-
ance of a RCRA permit and formal referral to OSWER are not currently tracked in
CERCLIS and must be reported separately to HQ.
D-47
-------
FEDERAL FACILITY DEFINITIONS
PLANNING REQUIREMENTS
SIGNED I AGS
AT NPL SITES
RI/FS
START
FF RI/FS
COMP.
RD
START
RD
COMP.
RA
START
RA CONTRACT
AWARD
RA
COMP.
STARS COMMITMENT?
YES
NO
YES
NO
YES
NO
YES
YES
SCAP COMMITMENT?
YES
YES
YES
YES
YES
YES
YES
YES
TARGET OR MEASURE?
TARGET
TARGET
TARGET
TARGET
TARGET
TARGET
TARGET
TARGET
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
YES
YES
YES
YES
YES
QUARTERLY TARGETS/MEASURES
SET?
YES
YES
YES
YES
YES
YES
YES
YES
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED SITE SPECIFICALLY?
YES
YES
YES
YES
YES
YES
YES
YES
IF YES, WHEN?
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PRIOR
TO FY
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
WHOLE
SITE
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
OPERABLE
UNIT
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR IN
NON-SITE PORTION OF CERCUS?
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
SITE
SPECIFIC
AOA CATEGORY?
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
BASIS FOR AOA?
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
-------
OSWER Directive 9200.3-01D
OTI, SPILL ACTIVITY DEFINITIONS
INTRODUCTION
There are three oil spill activities that are planned and tracked through the SCAP process.
They are planned on a non-site specific basis and do not require Regions to plan obligations.
Accomplishments are reported in CERHELP in the aggregate, not at the site level. These activi-
ties are the following:
Oil Spills Cleaned up Using Clean Water Act (CWA) Funds;
On-Scene Monitoring of Responses to Oil Spills; and
Spill Prevention Control and Countermeasure (SPCC) Inspections/Reviews.
ACTIVITY: Oil Spills Cleaned up Using Clean Water Act CCWA") Funds
DEFINITION: CWA-funded oil spill cleanups are oil spills cleaned up by EPA using
Section 311 (k) funds. A single incident should be counted only once regardless of how
many times an EPA OSC or TAT goes back on-scene or how many phases the response
entails.
DEFINITION OF ACCOMPLISHMENT: Completion of the cleanup activities is de-
fined as oil spills cleaned up by EPA using CWA funds.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: On-Scene Monitoring of Responses to Oil Spills
DEFINITION: On-scene monitoring occurs when the PRP, state, local authorities or
other party responds and ง31 l(k) funds are not invoked, but where EPA or a TAT pro-
vides on-scene oversight or technical assistance to ensure adequate cleanup takes place.
DEFINITION OF ACCOMPLISHMENT: Activation of EPA or TAT personnel in
response to activities conducted by other entities to cleanup oil spills.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: SPCC Inspections/Reviews
DEFINITION: Spill prevention compliance reviews performed by EPA and/or a TAT
defines the SPCC inspections/reviews. The count should include both on-site inspections
and detailed plan reviews. Follow-up inspections at a single facility may be counted
separately.
D-49
-------
OSWER Directive 9200.3-01 D
DEFINITION OF ACCOMPLISHMENT: Completion of the review.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS:
D-50
-------
OSWER Directive 9200.3-01D
OIL SPILL ACTIVITY DEFINITIONS
PLANNING REQUIREMENTS
CWA-FUNDED
OIL SPILLS*
OIL SPILLS
RESPONSES
SPCC
INSPECTION/
REVIEW
STARS COMMITMENT?
NO
NO
NO
SCAP COMMITMENT?
YES
YES
YES
TARGET OR MEASURE?
MEASURE
MEASURE
MEASURE
ANNUAL TARGETS/MEASURES SET?
YES
YES
YES
QUARTERLY TARGETS/MEASURES?
NO
NO
NO
IF YES, WHEN?
PLANNED SITE SPECIFICALLY?
NO
NO
NO
IF YES, WHEN?
PLANNED/REPORTED ON
OPERABLE UNIT
OR WHOLE SITE BASIS?
N/A
N/A
N/A
REPORTED ON COMBINED PROGRAM
LEAD OR ON A PROGRAM SPECIFIC
BASIS?
N/A
N/A
N/A
REPORTED SITE SPECIFICALLY OR
IN NON-SITE PORTION OF CERCLIS?
NON-SITE
NON-SITE
NON-SITE
AOA CATEGORY?
N/A
N/A
N/A
BASIS FOR AOA?
N/A
N/A
N/A
CLEANED UP BY EPA
D-51
-------
OSWER Directive 92003-01D
SECTION II
MISCELLANEOUS DEFINITIONS
-------
OSWER Directive 9200.3-01D
REMEDIAL PROGRAM DEFINITIONS
PROJECT SUPPORT
ACTIVITY: Community Relations
DEFINITION: Community Relations (CR) are the activities conducted in accordance
with the SARA, the National Contigency Plan (NCP) and the Community Relations
Handbook to involve the community in response activities conducted at a site.
DEFINITION OF ACCOMPLISHMENT: The start of CR is the obligation of funds for
the development of the Community Relations Plan (CRP). For RP-lead sites where the
PRP is preparing the CRP in accordance with an AO or CD, the start of CR is defined as
EPA approval of the CRP. The completion of CR is the deletion of the site from the NPL
or the conclusion of a removal action.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: CR activities at PRP sites are paid for by the
Case Budget. Planned and actual start and completion dates are not required in CER-
CLIS. Funds may be planned site or non-site specifically; however, they must be obli-
gated site specifically. Once funds are obligated, the non-site specific amount must be
reduced. Funds for CR activities are in the enforcement or other response AOAs.
ACTIVITY: Design Assistance
DEFINITION: Design assistance activities are undertaken by USACE in preparation for
initiating RD activities. This includes
Synopsize RD requirements in the Commerce Business Daily (CBD);
Develop architect/engineer (A/E) firm pre-selection list;
Contact A/E firms on the pre-selection list to ascertain interest in project;
Develop A/E selection list; and
Tentative selection of A/E firm.
DEFINITION OF ACCOMPLISHMENT: The initiation of design assistance is the
obligation of funds. The completion of design assistance is the start of RD.
CHANGES IN DEFINITION FY9Q-FY91:
SPECIAL PLANNING REQUIREMENTS: Funds for design assistance should be
obligated prior to the signature of the ROD. Planned and actual start and completion
dates are not required in CERCLIS. Funds may be planned site or non-site specifically;
however, they must be obligated site specifically. Once funds are obligated, the non-site
specific amount must be reduced. Funds for design assistance are in the other response
AOA.
D-52
-------
OSWER Directive 9200.3-01 D
ACTIVITY: Forward Planning
DEFINITION: Forward planning activities are
The development of technical/financial information to support requests for funds
for RI/FS activities;
The evaluation of the extent and utility of available data and the identification of
additional data needs; and
The identification of administrative or procedural problems that may affect
project implementation.
DEFINITION OF ACCOMPLISHMENT: The start of forward planning is the obligation
of funds for forward planning. The completion of forward planning is the start of the
RI/FS.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Planned and actual start and completion
dates are not required in CERCLIS. Funds must be planned site specifically. Once funds
are obligated, the non-site specific amount must be reduced. Funds for foward planning
are in the RI/FS AOA.
ACTIVITY: Long Term Remedial Action (LTRA~)
DEFINITION: LTRA is a response action undertaken for the purpose of restoring
ground or surface water quality. These actions require a continuous period of on-site
activity before cleanup levels, specified in the ROD or an Action Memorandum, are
achieved.
For Fund-financed RAs involving treatment or other measures to restore contaminated
ground or surface water quality, the operation of such treatment or measures for a period
up to 10 years after the construction or installation and commencement of operation will
be considered part of RA.
Activities required to maintain the effectiveness of such treatment or measures following
the 10 year period, or after RA is complete, whichever is earlier, shall be considered
O&M. The following shall not be considered treatment or other measure to restore
contaminated ground or surface water:
Source control measures initiated to prevent contamination of ground or surface
water; and
Ground or surface water measures initiated for the primary purpose of providing
drinking water, not for the purpose of restoring ground or surface water.
D-53
-------
OSWER Directive 9200.3-01D
DEFINITION OF ACCOMPLISHMENT: An LTRA begins when EPA and the state
have jointly determined that the RA is operational and functional. (See definition of op-
erational and functional.) Typically this is when the Operable Unit RA Report or Super-
fund Site Close-Out Report is accepted. The completion date is the point at which the
levels specified in the ROD or Action Memorandum have been achieved and no further
Superfund response is required to protect human health or the environment, or ten years
after the remedy becomes operational and functional, whichever is earliest.
CHANGES IN DEFINITION FY90-FY91: Added term operational and functional.
Applies only to ground and surface water restoration.
SPECIAL PLANNING REQUIREMENTS: LTRA is planned on a site specific basis in
CERCLIS and is used for resource allocation purposes only. Funds for LTRA are issued
site specifically in the RA AOA.
ACTIVITY: Management Assistance/Support Agency Assistance
DEFINITION: Management assistance/support agency assistance are the activities per-
formed by another entity in support of EPA. 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 responsiblities via a support agency CA to ensure their
meaningful and substantial involvement in response activities.
DEFINITION OF ACCOMPLISHMENT: The start of management assistance/support
agency assistance is the signature of the CA by the Regional Administrator or his desig-
nee which awards funds to the support agency. The completion of management assis-
tance is the completion of all remedial activities at the site.
CHANGES IN DEFINITION FY90-FY91: The support agency concept in the NCP was
included.
SPECIAL PLANNING REQUIREMENTS: Management assistance/support agency
assistance activities at RP and PS-lead sites are paid for by the Enforcement Program and
are contained in the Case Budget. Planned and actual start and completion dates are not
required in CERCLIS. Funds may be planned site or non-site specifically; however, they
must be obligated site specifically. Once funds are obligated, the non-site specific
amount must be reduced.
Unless otherwise specified in the CA, all support agency costs, with the exception of RA
support agency costs, may be documented under a single Superfund account number
designated specifically for support agency activities. RA support agency activities must
be documented site specifically and require cost share provisions. Funds for support
agency CAs are in the enforcement or other response AOA.
D-54
-------
OSWER Directive 9200.3-01D
ACTIVITY: Operational and Functional
DEFINITION: Operational and functional means the activities required to determine that
the remedy is functioning properly and is performing as designed. Operational and
functional activities are part of RA. EPA funds these activities for a period up to one
year after construction is complete, or until EPA and the state jointly determine that the
remedy is functioning properly and is performing as designed, whichever is earliest.
EPA may extend the one-year period, as appropriate.
DEFINITION OF ACCOMPLISHMENT: The start of the operational and functional
period is defined as the point at which the lead agency determines that construction has
been completed and (where appropriate) the remedy is operating. The completion of
operational and functional is the date upon which the lead and support agencies agree to
accept the Operable Unit RA Report or Superfund Site Close-Out Report documenting
that the remedy is operational and functional. Normally, operational and functional com-
pletion will occur within one year following completion of construction.
CHANGES IN DEFINITION FY90-FY91: New definition
SPECIAL PLANNING REQUIREMENTS:
ACTIVITY: Operation and Maintenance fO&M*)
DEFINITION: O&M means the activities required to maintain the effectiveness or the
integrity of the remedy, and, in the case of measures to restore ground or surface waters,
continued operation of such measures beyond a period of ten years. Except for ground or
surface water actions covered under Section 300.435(f)(3) of the NCP, O&M measures
are initiated after the remedy has achieved the RA objectives and remediation goals in the
ROD or CD, and is determined to be operational and functional. The state or PRP is
totally responsible for these activities for the time period specified in the ROD or other
appropriate documents.
DEFINITION OF ACCOMPLISHMENT: The start of O&M is defined as the date upon
which the lead and support agencies agree to accept the Operable Unit RA Report or
Superfund Site Close-Out Report, following their joint inspection. These reports docu-
ment that work has been performed within desired specifications and that the remedy is
operational and functional. The lead agency prepares the report after construction activi-
ties are complete and the contractor has demobilized. The completion (where appropri-
ate) of O&M is defined as the date normally specified in a CA, Superfund State Contract
(SSC), or CD.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: O&M is planned site specifically in CER-
CLIS and is used for resource allocation purposes only. Funds for O&M are contained in
the RA AOA.
D-55
-------
OSWER Directive 9200.3-01D
ACTIVITY: Technical Assistance
DEFINITION: Technical assistance is support provided by a third party to EPA in the
conduct of response activities.
DEFINITION OF ACCOMPLISHMENT: The start of technical assistance is the obliga-
tion of funds for technical assistance. The completion is defined as the completion of the
response activities for which technical assistance was requested.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Planned and actual start and completion
dates are not required in CERCLIS. Funds may be planned site or non-site specifically;
however, they must be obligated site specifically. Once funds are obligated, the non-site
specific amount must be reduced. Funds for technical assistance are contained in the
other response AOA.
ACTIVITY: Technical Assistance Grants
DEFINITION: Technical Assistance Grants (TAG) are grants provided under SARA to a
community for technical assistance in dealing with Superfund issues at NPL sites.
DEFINITION OF ACCOMPLISHMENT: The start of the TAG is the signature of the
CA to the community group. The completion of the TAG is the completion of the final
RA or the deletion of the site from the NPL.
CHANGES IN DEFINITION FY90-FY91: The completion definition was expanded to
include deletion.
SPECIAL PLANNING REQUIREMENTS: Planned and actual start and completion
dates are not required in CERCLIS. Funds may be planned site or non-site specifically;
however, they must be obligated site-specifically. Once funds are obligated, the non-site
specific amount must be reduced. Funds for TAGs are contained in the response budget
and are found in the other response AOA.
D-56
-------
OSWER Directive 9200.3-0ID
HAZARDOUS SUBSTANCES RELEASE
ACTIVITY: Hazardous Substances Release Notification
DEFINITION: The definition of hazardous substances release notification is a report to
EPA of a hazardous substance released into the environment.
DEFINITION OF ACCOMPLISHMENT: The definition for release notifications is the
number of sites/incidents where a release notification is received. A release notification
is counted when a report of a hazardous substances release is received, processed and
logged by EPA.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: The count for hazardous substances release
notifications should not include state or USCG notifications forwarded ex-post facto
through monthly summaries unless followed up by EPA. Count should include potential
releases, notifications not recognized through CERCLA and spills at waste sites if re-
ported to EPA. Accomplishments should be reported in CERHELP.
ACTIVITY: Hazardous Substances Release Investigations
DEFINITION: A release investigation is the process of collecting field data on an actual
or potential hazardous substance site or spill for the purpose of characterizing the magni-
tude and severity of the hazard and/or to support enforcement. This activity includes all
efforts from the decision to conduct an investigation up to the decision to prepare an
action memorandum for removal action.
DEFINITION OF ACCOMPLISHMENT: Investigations may be conducted by EPA and>
or a TAT, and must include an on-site component, such as a walk around survey or
sampling to be counted.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: Investigations conducted entirely by the
state do not count. Accomplishments should be reported in CERHELP.
ACTIVITY: On-Scene Monitoring of Responses to Hazardous Substance Releases
DEFINITION: On-scene monitoring of responses to hazardous substance release occurs
when CERCLA funds are not obligated for cleanup work, but EPA provides on-scene
oversight and technical assistance to ensure that all CERCLA statutes/regulations are
adhered to in site cleanup or stabilization.
DEFINITION OF ACCOMPLISHMENT: Credit is given for on-scene monitoring when
EPA goes on-site to monitor cleanup activities.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: State removals conducted through CAs do
not count toward this activity. Accomplishments should be reported in CERHELP.
D-57
-------
OSWER Directive 9200.3-01D
FFDERAT, FACILITY DEFINITIONS
ACTIVITY: SSI Completions
DEFINITION: The screening site inspection involves collecting field data for the pur-
pose of characterizing the magnitude and severity of the hazards posed by the facility.
An SSI should provide adequate data for EPA (using FIT resources) to determine the
site's HRS score. Federal agencies are required to conduct SSIs at their facilities.
DEFINITION OF ACCOMPLISHMENT: An SSI is complete when EPA reviews the
SSI report, a draft HRS score has been derived, and the completion date is entered into
CERCLIS.
CHANGES IN DEFINITION FY90-FY91:
SPECIAL PLANNING REQUIREMENTS: A projection must be made in CERHELP of
the FIT resources needed for HRS development.
D-58
-------
OSWER Directive 9200.3-01D
APPENDIX E
CERCLTS PLANNING AND ACCOMPLISHMENT CODING SHEETS
-------
OSWER Directive 9200.3-01 D
APPENDIX E
FY91 TARGETS AND ACCOMPLISHMENTS
CODING SHEETS
-------
OSWER Directive 9200.3-01 D
APPENDIX E
FY91 TARGETS CODING SHEET
INTRODUCTION
The attached coding sheets provide the coding requirements necessary for credit in
each Target and Accomplishment category. Many of the categories are separated by
lead because credit may vary by lead in certain categories. Please note that the
indicated fields (fields containing values) represent only those fields tested for Target
and Accomplishment credit; all required fields must be entered to correctly code the
status of a site.
HOW TO USE
To use the Coding Sheets, select the category of interest, i.e., First RI/FS Plan Starts
(PRP, EP). Locate RI/FS Starts/Completions in the Plans Section of the Table of
Contents and turn to the appropriate page (in this case, E-l). Select the line item (row)
'RI/FS First Start (PRP, EP)'. The columns represent the CERCLIS fields which must
be entered with one of the specified values to receive credit for a First RI/FS Plan Start
(PRP, EP). The names, definitions, and list of all possible values for these CERCLIS
fields can be found by referencing the CERCLIS Data Element Dictionary. Every
CERCLIS field with specified values must be entered with one of the listed values.
Again, the CERCLIS fields with specified values represent only those fields needed for
credit in the line item category (in this case, First RI/FS Plan Starts (PRP, EP)), not all
the fields needed for the correct coding of a site (see Exhibit I).
EXHIBIT I
C135
C305
C2101 C2110
C2115
C2116 C2117
C2132 C2133 C3101
RI/FS FIRST START
(PRP, EP)
D, N
P,FAD3
RI, FSL CO P
A.B
RP, MR.
EP, PS
91/1
THROUGH
91/4
In some cases it is possible to receive credit for a single line item category using more
than one coding scheme. In these cases, a bracket and a line with the word 'OR' is
used to separate the different paths that can be taken for credit (see Exhibit II).
-------
OSWER Directive 9200.3-01 D
EXHIBIT H
C135
C305
C2101
C2110 C2115 C2116 C2117
C2132
C2133
C2140
RD FIRST COMPL. D, N
F, D
P AB
F ** 8 MR, EP, PS
.. . O T?
91/1
THROUGH
H/4
AB F, S, FE, RP
MR, EP, PS
91/1
THROUGH
91/4
EXISTS
As the above exhibit shows,
following two ways:
credit for a RD First Complete can be obtained in the
By coding:
C135
C305
C2101
C2110 C2115 C2116 C2117
C2132
C2133
C2140
RD FIRST COMPL. d, n
F, D
RD
F, S, FE, RP
P A, B MR, EP, PS
91/1
THROUGH
91/4
or by coding:
C135
C305
C2101
C2110 C2115 C2116 C2117
C2132
C2133
C2140
RD FIRST COMPL. d,n
F, D
RD
. _ F, SvFE, RP
^ B MR, EP, PS
91/1
THROUGH
91/4
EXISTS
When the value for a field is 'EXISTS' as in C2140 in Exhibit n, the field must have a
valid value as specified in the Data Element Dictionary. When the value for a field is
another CERCLIS field, the entry in these two fields must be the same (see Exhibit HI).
EXHIBIT III
CI 35
C305
C2101
C2110 C2115
C2117
C2132 C3202
C3218
C3225
RD FIRST START
(F,S)
D, N
P, F, D, S
RD
P A, B
F, S
91/1
THROUGH P
91/4
C2132
APR
-------
OSWER Directive 9200.3-01D
As the above exhibit shows, the value in C3218 must be the same as the value in
C2132. Since these are date values, to receive credit in this category in the dates in
C3218 and C2132 must be the same.
-------
OSWER Directive 9200.3-01 D
APPENDIX E
FY91 TARGETS CODING SHEETS
TABLE OF CONTENTS
PLANS E-l
RI/FS iTART&MAWLimONS E-l
RI/FS First Start (PRP, EP) E-l
RI/FS First Start (F, S) E-l
RI/FS First Start (Fund Ceiling) (E, P) E-l
RI/FS First Start (Fund Ceiling) (F, S) E-l
RI/FS Subsequent Start (PRP, EP) E-l
RI/FS Subsequent Start (F, S) E-l
RI/FS Subsequent Start (Fund Ceiling) (EP) E-l
RI/FS Subsequent Start (Fund Ceiling) (F, S) E-l
RI/FS First Start (Fed. Facility) E-l
RI/FS Subsequent Start (Fed. Facility) E-l
RI/FS Completion (FS to PUB.) E-l
RI/FS Completion (First ROD) E-l
RI/FS First Compl. (First ROD) (Fed. Facility) E-l
RI/FS Subs. Compl. (Subsequent ROD) E-l
RI/FS Subs. Compl. (Subs. ROD) (Fed. Facility) E-l
RD STARTS E-2
RD First Start (PRP, EP) E-2
RD First Start (F, S) E-2
RD First Start (Fund Ceiling) (EP) E-2
RD First Start (Fund Ceiling) (F, S) E-2
RD Subsequent Start (PRP, EP) E-2
RD Subsequent Start (F, S) E-2
RD Subsequent Start (Fund Ceiling) (EP) E-2
RD Subsequent Start (Fund Ceiling) (F, S) E-2
RD First Start (Fed. Facility) E-2
RD Subsequent Start (Fed. Facility) E-2
RD COMPLETIONS E-3
RD First Compl E-3
RD First Compl. (Fed. Facility) E-3
RD Subs. Compl E-3
RD Subs. Compl. (Fed. Facility) E-3
-------
OSWER Directive 9200.3-01 D
RA STARTS E-4
RA First Start (PRP, EP) E-4
RA First Start (F, S) E-4
RA First Start (Fed. Facility) E4
RA Subsequent Start (PRP, EP) E4
RA Subsequent Start (F, S) &4
RA Subsequent Start (Fed. Facility) E4
Award of RA Contract (F, S, EP) E4
Award of RA Contract (RP, PS, MR, FF) E4
RA COMPLETIONS E-5
RA First Compl E-5
RA First Compl. (Fed. Facility) E-5
RA Subs. Compl E-5
RA Subs. Compl. (Fed. Facility) E-5
RA Final Compl E-5
RA Final Compl. (Fed. Facility) E-5
REMOVAL STARTS/NPL SITES E-6
NPL Removal Start (PRP) E-6
NPL Removal Start (F) E-6
NPL Removal Start (Fund Ceiling) (F) E-6
NON-NPL Removal Start (PRP, CG) E-6
NON-NPL Removal Start (F) E-6
NON-NPL Removal Start (Fund Ceiling) (F,CG) E-6
ENFORCEMENT E-7
106 or 106/107 Ref for RD/RA w/o Settlement E-7
Administrative Cost Recovery Settlement E-7
106 Ref./Settlement for RD/RA E-7
Cost Recov. Ref. Actions < $200,000 E-7
RD/RA Negotiations Start E-7
RD/RA Negotiation Compl E-7
107 Remed. (RA) Cost Recov. Ref. > $200,000 E-7
107 Rmvl. (Pre-RA) Cost Recov. Ref. > $200,000 E-7
UAO Issued for RD/RA E-7
Signed LAG E-7
-------
OSWER Directive 9200.3-01 D
ACCOMPLISHMENTS E-8
SI COMPLETIONS AND RI/FS STARTS/COMPLETIONS E-8
SI Completion E-8
RI/FS First Start E-8
RI/FS First Start (Fund Ceiling) E-8
RI/FS First Start (Fed. Facility) E-8
RI/FS Subsequent Start E-8
RI/FS Subsequent Start (Fund Ceiling) E-8
RI/FS Subsequent Start (Fed. Facility) E-8
RI/FS Compl. (FS to Public) E-8
RI/FS Completion (First ROD) E-8
RI/FS First Compl. (First ROD) (Fed. Facility) E-8
RI/FS Subs. Compl. (Subs. ROD) E-8
RI/FS Subs. Compl. (Subs. ROD) (Fed. Facility) E-8
RD STARTS/COMPLETIONS E-9
RD First Start E-9
RD First Start (Fund Ceiling) E-9
RD First Start (Fed. Facility) E-9
RD Subsequent Start E-9
RD Subsequent Start (Fund Ceiling) E-9
RD Subsequent Start (Fed. Facility) ! E-9
RD First Completion v E-9
RD First Completion (Fed. Facility) E-9
RD Subsequent Completion E-9
RD Subsequent Completion (Fed. Facility) E-9
RA STARTS/COMPLETIONS E-10
RA First Start (F, S, EP) !... E-10
RA First Start (PRP) E-10
RA First Start (Fed. Facility) E-10
RA Subsequent Start (F, S, EP) E-10
RA Subsequent Start (PRP) E-10
RA Subsequent Start (Fed. Facility) E-10
Award of RA Contract (F, S, EP) E-10
Award of RA Contract (PRP) E-10
Award of RA Contract (Fed. Facility) E-10
RA First Completion (F, S, EP) E-10
RA First Completion (PRP) E-10
RA First Completion (Fed. Facility) E-10
RA Subsequent Completion (F, S, EP) E-10
RA Subsequent Completion (PRP) E-10
RA Subs. Compl. (Fed. Facility) E-10
-------
OSWER Directive 9200.3-01 D
RA Final Completion (F, S, EP) E-10
RA Final Completion (PRP) E-10
RA Final Completion (Fed. Facility) E-10
REMOVAL STARTS/NPL SITES E- 11
NPL Removal Start E-ll
NPL Removal Start (Fund Ceiling) E-ll
Non-NPL Removal Start E-ll
NOn-NPL Removal Start (Fund Ceiling) E-ll
NPL Sites Addressed thru RI/FS or Removal E-ll
NPL Sites Completions through Removal Action E-ll
ENFORCEMENT E-12
106 or 106/107 Ref. for RD/RA w/o Settlement E-12
Administrative Cost Recovery Settlement E-12
106 Ref./Settlement for RD/RA E-12
Cost Recovery Ref Actions < $200,000 E-12
RD/RA Negotiations Start E-12
RD/RA Negotiations Completion ... E-12
107 Remed. (RA) Cost Recovery Ref. > $200,000 E-12
107 Rmvl. (Pre-RA) Cost Recov. Ref. > $200,000 E-12
UAO Issued for RD/RA E-12
Signed IAG E-12
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
Rl/FS STARTS/COMPLETIONS
C135
C305
C2101
C2110
C2115
C2116
C2U7
C2132
C2133
C3101
C3129
C3202
C3218
cms
C3;i32
RI/FS FIRST START
(PRP, EP)
D,N
P,F,R,05
RIB. CO
p
A.B
RP. MR,
EP, PS
91/1
THROUGH
91/4
RI/FS FIRST START
(F,S)
D,N
P,F,R.D,S
rl re, co
p
A.B
F,S
91/1
THROUGH
91/4
C
p
C2132
C\
APR
r>
c
GREATER
THAN
ซ
RI/FS FIRST START
(FUND CEILING)
(EP)
D, N
P,F,R.D,S
ri, re, co
p
A.B
EP
91/1
THROUGH
91/4
RI/FS FIRST START
(FUND CEILING)
(F,S)
0. N
P,F,R.D,S
Ri,re,co
p
A.B
F,S
91/1
THROUGH
91/4
c
p
C2132
APR
T>
c
GREATER
THAN
(1
RI/FS SUBSQ. START
(PRP, EP)
D, N
P,F,R,D,S
Ri.re.co
p
CD
RP, MR.
EP, PS
91/1
THROUGH
91/4
RI/FS SUBSQ. START
(F,S)
D, N
P,F,R.D5
ri, re, co
p
CD
F, S
91/1
THROUGH
91/4
c
p
C2132
. o
APR
p
c
GREATER
THAN
(l
RI/FS SUBSQ. START
(FUND CEILING)
(EP)
D, N
P,F,R,D5
ri, re, co
P
CD
EP
91/1
THROUGH
91/4
RI/FS SUBSQ. START
(FUND CEILING)
(F,S)
D, N
P,F,R.Dฃ
ri, re, co
p
CD
F, S
91/1
THROUGH
91/4
c
p
C2132
C\
APR
T>
c
\J
GREATER
TH*lN
0
RI/FS FIRST START
(FED. FACILITY)
Y
P,F,R.D,S
ri. re, co
p
A.B
FF
91/1
THROUGH
91/4
RI/F5 SUBSQ. START
(FED. FACILITY)
Y
P,F,R.D5
R], re, co
p
CD
FF
91/1
THROUCH
91/4
RI/P5 COMPL.
(PS TO PUB.)
D, N
P. F. S, D
PS^CO
A.B.CD
F, s, re. RP,
MR.EP, PS
CF
91/1
THROUCH
91/4
RI/F3 COMPL.
(FIRST ROD)
D.N
P. F.S.D
RO
A.B
F, FE
91/1
THROUGH
91/4
RI/FS FIRST COMPL.
(FIRST ROD)
(FED. FACILITY)
Y
P. F, 5, D
RO
A.B
FF
91/1
THROUGH
91/4
RI/FS SUBS. COMPL.
(SUBSQ. ROD)
D,N
P, F. 5, D
RO
CD
F, FE
91/1
THROUCH
91/4
RI/F5 SUBS. COMPL.
(SUBSQ. ROD)
(FED. FACILITY)
Y
P. F, S. D
RO
CD
FF
91/1
THROUCH
91/4
E-l
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
RD STARTS
CI 35
C305
C2101
C2110
C2115
C2116
C2117
C2132
C2133
C2140
C3129
C3202
C3218
C3225
C3232
RD FIRST START
(PRP, EP)
D.N
P, F. D.S
RD
P
A. B
RP, MR
EP, PS
91/1
THROUGH
91/4
RD FIRST START
(F,S)
D.N
P. F. D. S
RD
P
A.B
F.S
91/1
THROUGH
91/4
{
p
C2132
n
APR
c
GREATER
THAN
0
RD FIRST START
(FUND CEILING)
(EP)
D.N
P. F. D. S
RD
P
A.B
EP
91/1
THROUGH
91/4
RDRRST START
(FUND CEILING)
(F, S)
D.N
P.F.D.S
RD
P
A. B
F.S
91 n
THROUGH
91/4
{
p
C2132
n
APR
T>
c
GREATER
THAN
0
RD SUBSQ. START
(PRP, EP)
D.N
P. F. D, S
RD
P
C, D
RP, MR.
EP, PS
91/1
THROUGH
91/4
RD SUBSQ. START
(F,S)
D.N
P. F. D, S
RD
P
C, D
F.S
91/1
THROUGH
91/4
C
p
C2132
n
APR
T>
c
CHEATER
THAN
0
RD SUBSQ. START
(FUND CEILING)
(EP)
D,N
P. F. D. S
RD
P
C, D
EP
91/1
THROUGH
91/4
RD SUBSQ. START
(FUND CEILING)
(F, S)
D.N
P.F.D.S
RD
P
CD
F.S
91/1
THROUGH
91/4
c
p
C2133
A
APR
rป
c
U
K
GREATER
THAN
0
RD FIRST START
(FED FACILITY)
Y
P. F, D. 5
RD
P
A. B
FF
91/1
THROUGH
91/4
RD SUBSQ. START
(FED. FACILITY)
Y
P, F, D.S
RD
P
C,D
FF
91/1
THROUGH
91/4
E-2
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
RD COMPLETIONS
C135
C305
C2101
C2110
C2115
C2116
C2117
C2132
C2133
C2140
C3129
C3202
C3218
C3225
C3?32
RDHRSTCOMPL.
D,N
F.D
i
p
r\
A, B
rป
F, S, FE, RP
MR. RP. PS
91/1
THROUCH
91/4
U
A.B
F. S, FE, RP
MR. RP, PS
91/1
THROUGH
91/4
exiyre
RDHRSTCOMPL.
(FED. FACILITY)
Y
F,D
L
p
n
A.B
n
FF
91/1
THROUCH
91/4
A, B
FF
91/1
THROUCH
91/4
EXISTS
RD SUBS. COMPL.
D,N
F, D
1
p
n
C D
P
F, 5, FE, RP
MR, EP, PS
91/1
THROUCH
91/4
CD
F, S, FE, RP
MR, EP, PS
91/1
THROUCH
91/4
EXISTS
RD S.UBS. COMPL.
(FED. FACILITY)
Y
F.D
L
p
C\
CD
jy
FF
91/1
THROUCH
91/4
CD
FF
91/1
THROUCH
91/4
EXISTS
E-3
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
RA STARTS
C135
C305
C2101
C2110
C2115
C2U7
C2132
C2140
C3101
C3125
C3129
C3202
C3218
C3225
C3232
RA FIRST START
(PRP, EP)
D.N
P.F.S
RA
p
A, B
RP. MR,
PS, RP
91/1
THROUGH
91/4
RA FIRST START
(F,S)
D.N
P.F.S
RA
p
A, 5
" F,S
91/1
THROUGH
91/4
ฆ
p
C2132
o
APR
T>
c
GREATER
THAN
0
RA FIRST START
(FED. FACILITY)
Y
P,F,S
RA
p
A.B
FF
91/1
THROUGH
91/4
RA SUBSQ. START
(PRP, EP)
D.N
P.F.S
RA
p
CD
RP, MR,
PS, EP
91/1
THROUGH
91/4
RA SUBSQ. START
(F, S)
D.N
P.F.S
RA
p
CD
F.S
91/1
THROUGH
91/4
-
p
C2132
o
APR
T>
c
GREATER
THAN
0
RA SUBSQ. START
(FED. FACILITY)
y
P.F.S
RA
p
CD
FF
91/1
THROUCH
91/4
AWARD OF RA
CONTRACT
(F, S, EP)
D, N
F.D
i
p
n
F, S, EP
p
1
Si
Hnt C3125
ซnddซtซi
10/16/89
through
10/1S/91
n
n
FAILS
Rnt C3129
tnd dates
Cutt. Qtr.
through
91/4
F,S,EP
EXISTS
AC -
Hi*t C3125
Old dMfl
10/16/89
' "through
10/1S/91
n
i?
FAILS
Hist 0129
tnddcta
Cutt. Qtr.
through
91/4
u
AWARD OF RA
CONTRACT
(RP, PS, MR, FF)
D.N
P, F, D
"C
p
o
RP, PS. MR.
FF
17
AC -
RntC3123
and dcts
,10/16/89
through
10/15/91
n
D
FAILS
Rrrt C3129
tnddcta
Cutt. Qtr.
through
91/4
RP. PS, MR,
FF
EXISTS
AC -
r
First C3125
and dctM
10/16/89
thnxjjh
10/15/91
T?
-
FAILS
Pint 0129
dctM
Cun. Qtr.
through
91/4
u
E-4
-------
OSWER Directive 92003-01D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
RA COMPLETIONS
C135
C305
C2101
C2110
C2115
C2116
C2117
C2132
C2133
C2140
C3129
C3202
C3218
C3225
C3222
RA FIRST COMPL
D,N
P, R, S, F. D
ฆI
p
r\
A, B
T?
F, S> BP, FR
RP, MR, PS
91/1
THROUGH
91/4
U
A, B
P,*EP,FK
RP, MR, PS
91/1
THROUGH
ซ/~
EXISTS
RA FIRST COMPL
(FED. FACILITY)
Y
P, R, S, F, D
ฆI
p
o
A, B
T>
FF
91/1
THROUCH
91/4
A.B
FF
91/1
THROUGH
91/4
EXISTS
RA SIJBSQ. COMPL.
D,N
P, R, S, F, D
"C
p
C\
CD
T>
F, 4 BP, FR
RP, MR, PS
91/1
THROUCH
91/4
CD
F, S, EP, FE.
RP, MR, PS
91/1
THROUGH
91/4
EXISTS
RA SIJBSQ. COMPL.
(FED. FACILITY)
Y
P. R, 5, F, D
-I
p
o
CD
T>
FF
91/1
THROUCH
91/4
CD
FF
91/1
THROUGH
91/4
EXISTC
RA FINAL COMPL.
D.N
P. 5, F
i
n
A, D
T?
F, ^ EP. F&
RP, MR, PS
91/1
THROUGH
91/4
; f
' "'1
A, D
F, 4 BP, FE
RP, MR, PS
91/1
THROUCH
91/4
EXISTS
t
RA FINAL COMPL.
(FED. FACILITY)
Y
F.D
i
' t
.i !
o
A, D
T>
FF
91/1
THROUCH
91/4
-ปi1
V >1
If
A, D
FF
91/1
THROUCH
91/4
EXISTS
E-5
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
PLANS
REMEDIAL
REMOVAL STARTS/NPL SITES
C135
C305
C2101
C2110
C2115
C2116
C2117
C2132
C2133
C3101
C3129
C3202
C3218
C3225
C3232
NPL RMVL START
(PRP)
P. F, D. S
RV
p
A.B.C.D
RP
91/1
THROUGH
ปl/4
NPL RMVL. START
(F)
P. F, D, S
RV
p
A. B, C, D
F
91/1
THROUGH
ปl/4
-
p
C2132
r\
APR
T>
c
U
GREATER
THAN
0
NPL RMVL. START
(FUND CEILING)
(F)
P. F, D, S
RV
p
A.B.CD
F
ป1/1
THROUGH
9\/A
-
p
C2132
APR
TO
c
K
GREATER
THAN
0
NON-NPL RMVL.
START
(PRP, CG)
N, R
RV
p
A. B, C, D
RP, CC
9^/^
THROUGH
91/4
NON-NPL RMVL.
START
(F)
N. R
RV
p
A.B.CO
F
ป1/1
THROUGH
91/4
-
p
C2132
o
APR
n
c
GREATER
THAN
0
NON-NPL RMVL.
START -
(FUND CEILING)
(F,CG)
N, R
RV
p
A. B, C, D
F, CC
ป1/1
THROUGH
ปl/4
.
-
p
C2132
APR
TO
c
u
GREATER
THAN
0
E-6
-------
OSWER Directive 9200.3-0 ID
FY91 TARGETS CODING SHEET
PLANS
ENFORCEMENT
C135
C305
CI 701
CI 707
CI 713
C1715
CI 725
CI 726
C2731
C2731
C2771
C2903
C2907
106. OR 106/107
REF. FOR RD/RA
W/OUT STLEMNT.
SX, CL
FB
91/1
THROUCH
91/4
p
RQRA
ADMINISTRATIVE
COST RECOVERY
STLEMNT.
r
AV.AC
o
n
T>
91/1
THROUCH
91/4
p
p
91/1
THROUCH
91/4
p
p
106. REF./STLEMNT.
r
CD
o
UA
FE
P
91/1
THROUCH
91/4
p
RD, RA
FOR RD/RA
L
PE
91/1
THROUCH
91/4
p
RD,RA
CC>ST RECOVERY
REF. ACTIONS
< $200,000
SV
re
91/1
THROUCH
91/4
p
F
LESS THAN
y^nnn
RD/RA
NEGOTIATIONS
START
D,N
P, F. D, S
AN
FE
91/1
THROUGH
91/4
p
RD/RA
NEGOTIATIONS
COMPL.
D,N
P, F, D, S
AN
FE
91/1
THROUCH
91/4
p
107 REMED. (RA)
COST RECOVERY
REF. > $200,000
D.N
SV, CD
FE
91/1
THROUCH
91/4
p
VA
P
CREATES
THAN
200000
107RMVL. (PRE-RA)
COST RECOVERY
REF. > $200,000
D,N
SV, CD
- FE
91/1
THROUCH
91/4
p
VM. VO, VD
NOT
CONTAINS
VA
P
CREATER
THAN
UAO ISSUED FOR
RD/RA
UA
FE
91/1
THROUCH
91/4
p
RD, RA
SIGNED IAG
P.F.S, D
FI
FE
91/1
THROUCH
91/4
p
E-7
-------
FY91 TARGETS CODING SHEET Dm-chve 92003-01D
ACCOMPLISHMENTS
REMEDIAL
SI COMPLETIONS
RI/FS STARTS/COMPLETIONS
CI 35
C305
C2101
C2103
C2110
C2115
C2116
C2117
C2132
C2140
C2141
C3101
C3125
C3401
SI COMPLETION
BLANK,
ON
P. P, R, D,
S,N
SI
R,D,N.
at
F,S
AmC2l41
ซd dates
10/1/90
through
9/30/91
RI/FS FIRST START
D.N
P. F. R, D
RIPS, CO
A.B
P. S, RP,
MR, EP. PS
10/01/90
THROUGH
9/30/91
RI/FS FIRST START
(FUND CEILING)
D.N
P, F, R, D
RIPS. CO
A.B
F, St EP
10/01/90
THROUGH
9/30/91
RI/FS FIRST START
(FED. FACILITY)
Y
P. F, R, D
RIPS, CO
A. B
FF
10/01/90
THROUGH
9/30/91
RI/FS SUBSQ. START
D, N
P, F, R, D
RIPS. CO
CD
F. S, RP,
MR, EP. PS
10/01/90
THROUGH
9/30/91
RI/FS SUBSQ. START
(FUND CEILING)
D,N
P. F, R, D
m ps. co
CD
F.S, EP
10/01/90
THROUCH
9/30/Sl
RI/FS SUBSQ. START
(FED. FACILITY)
Y
P, F, R, D
m ps, co
CD
FF
10/01/90
THROUCH
9/30/91
RI/FS COMPL.
(FS TO PUBLIC)
D.N
P, F. R, D
re, eo
A.B.CD
F, S, RP,
FE, MR.
BP, PS
CF
10/01/90
THROUGH
9/30/S1
RI/FS COMPL.
(FIRST ROD)
D,N
P. F, R, D
RO
A. B
F, S, RP.
FE. MR,
EP. PS
ป
i
i
10/01/90
THROUCH
9/30/SI
RI/FS FIRST COMPL.
(FIRST ROD)
(FED. FACILITY)
Y
P, F. R, D
RO
A.B
FF. FE
f
i
10/01/90
THROUCH
9/30/91
RI/FS SUBSQ.
COMPL.
(SUBSQ. ROD)
D.N
P, F, R, D
RO
CD
F.SE.FE
10/01/90
THROUCH
9/30/91
RI/FS SUBS. COMPL.
(SUBSQ. ROD)
(FED. FACILITY)
Y
?, F, R, D
RO
CD
FF, FE
10/01/90
THROUCH
9/30/91
E-8
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
ACCOMPLISHMENTS
REMEDIAL
RD STARTS/COMPLETIONS
Cl 35
C305
C2101
C2103
C2110
C2115
C2116
C2117
C2132
C2140
C2141
C3101
C3125
C3401
RD FIRST START
D, N
P, F, D
RD
A.B
F, S, RP.
MR, BP, PS
10/01/90
THROUGH
9/30/91
RD FIRST START
(FUND CEILING)
D, N
P.P.D
RD
A, B
F, SwEP
10/01/90
THROUGH
9/30/91
RD FIRST START
(FED. FACILITY)
Y
p.f,d
RD
A, B
FF
10/01/90
THROUGH
9/30/91
RDSUBSQ. START
D, N
P. F, D
RD
C, D
F, S, RP,
MR, EP, PS
10/01/90
THROUGH
9/30/91
RDSUBSQ. START
(FUND CEILING)
D.N
P. F, D
RD
C.D
F, S, EP
10/01/90
THROUGH
9/30/91
RDSUBSQ. START
(FED. FACILITY)
Y
P.F,D
RD
C.D
FF
10/01/90
THROUGH
9/30/91
RD FIRST COMPL.
D.N
P,F,D
RD
A, B
F, S, FR RP,
MR, EP, PS
10/01/90
THROUGH
9/30/91
RD FIRST COMPL.
(FED. FACILITY)
Y
P, P, D
RD
A, B
FF
10/01/90
THROUGH
9/30/91
RDSUBSQ. COMPL
D, N
P, F, D
RD
CD
F, S, FR RP,
MR, EP, PS
10/01/90
THROUGH
9/30/91
RDSUBSQ. COMPL.
(FED. FACILITY)
Y
P. F, D
RD
CD
FF
10/01/90
THROUCH
9/30/91
E-9
-------
OSWER Directive 92003-01D
FY91 TARGETS CODING SHEET
ACCOMPLISHMENTS
REMEDIAL
RA STARTS/COMPLETIONS
C135
C305
C2101
C2103
C2110
C2111
C2115
C2U6
C2117
C2132
C2140
C2141
C3101
C3125
C3401
RA FIRST START
(F, S, EP)
D.N
F.D
RA
A. B
F.S.EP
10/01/90
THROUGH
9/30/91
RT
RA FIRST START
(PRP)
D, N
P.F.D
RA
A. B
RP. MR, PS
10/01/90
THROUGH
9/30/91
RT
RA FIRST START
(FED. FACILITY)
Y
P. F.D
RA
A. B
FF
10/01/90
THROUGH
9/30/91
RA SUBSQ. START
(F,S, EP)
D.N
F.D
RA
CD
F.S.EP
10/01/90
THROUGH
9/30/91
RT
RA SUBSQ. START
(PRP)
D.N
P. F.D
RA
CD
RP, MR. PS
10/01/90
THROUGH
9/30/91
RT
RA SUBSQ. START
(FED. FACILITY)
Y
P. F.D
RA
CD
FF
10/01/90
THROUGH
9/30/91
AWARD OF RA
CONTRACT
(F,S,EP)
D, N
F.D
RA
F.S.EP
AC
Pkvt C312S
anddftas
10/16/99
through
10/15/91
RT
AWARD OF RA
CONTRACT
(PRP)
D.N
P, F, D
RA
RP. MX. PS
AC
Km0125
aaddtta
10/16/09
through
10/15/91
RT
AWARD OF RA
CONTRACT
(FED. FACILITY)
D.N
P.F.D
RA
FF
AC
AmC312S
nd date*
10/16/89
through
10/15/91
RA FIRST COMPL.
(FA EP)
UN
F.D
RA
A. B
F.S.EP
10/01/90
THROUCH
9/30/91
RA FIRST COMPL.
(PRP)
D.N
P.F.D
RA
A. B
RP, MR, PS
10/01/90
THROUCH
9/30/91
RA FIRST COMPL.
(FED. FACILITY)
Y
P.F.D
RA
A. B
FF
10/01/90
THROUCH
9/30/91
RA SUBS. COMPL.
(F, S, EP)
D.N
F.D
RA
CD
F.S.EP
10/01/90
THROUGH
9/30/91
RASLTBS. COMPL.
(PRP)
D.N
P. F, D
RA
CD
RP, MR. PS
10/01/90
THROUCH
9/30/91
RA SUBS. COMPL.
(FED. FACILITY)
Y
P.F.D
RA
CD
FF
10/01/90
THROUCH
9/30/91
RA FINAL
COMPL.
(F,S, EP)
D, N
F.D
RA
A. D
F.S.EP
10/01/90
THROUCH
9/30/91
RA FINAL
COMPL.
(PRP)
D.N
P.F.D
RA
A. D
RP, MR, PS
10/01/90
THROUGH
9/30/91
RA FINAL
COMPL.
(FED. FACILITY)
Y
P.F.D
RA
A. D
FF
10/01/90
THROUGH
9/30/91
E-10
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
ACCOMPLISHMENTS
REMEDIAL
REMOVAL STARTS/NPL SITES
CI 35
C305
C2101
C2103
C2110
C2111
C2115
C2116
C2117
C2132
C2140
C2141
C3101
C3125
C3401
NPL RMVL. START
P, F, D
RV
A.B.QD
RP, P
10/01/90
THROUGH
9/30/91
NPL RMVL. START
(FUND CEILING)
P, F, D
RV
A.B.C, D
F
10/01/90
THROUGH
9/30/91
NON-NPL RMVL.
START
N, R,S
RV
A.B,C,D
RP, F,CC
10/01/90
THROUGH
9/30/91
NON-NPL RMVL.
START
(FUND CEILING)
N, R,S
RV
A. B, C, D
ฅ, CC
10/01/90
THROUCH
9/30/91
NPL SITES
ADDRESSED THRU
RI/FSOR RMVL.
D,N
P, F, D
RI, PS.
CO, RV
A. B
Hrat C2140
and Date*
10/01/90
through
9/30/91
NPL SITES COMPL.
THROUGH
RMVL ACTION
P. F, D
1R, PR, RV
c
10/01/90
THROUCH
9/30/91
E-ll
-------
OSWER Directive 9200.3-01 D
FY91 TARGETS CODING SHEET
ACCOMPLISHMENTS
ENFORCEMENT
CI 35
C305
CI 701
CI 707
CI 716
CI 717
C1725
CI 726
C2731
C2731
C2771
C2771
C2903
C2907
106 OR 106/107
REF. FOR RD/RA
W/OUT STLEMNT.
SX. CL
FE
10/01/90
THROUGH
9/30/91
RD. RA
ADMINISTRATIVE
COST RECOVERY
STLEMNT.
ฆ
AV, AC
o
F1
to
10/01/90
THROUGH
9/30/91
VM. VO.
VD.VA
F
GREATER
THAN 0
10/01/90
THROUGH
9/30/91
F
106REF./STELMNT.
FOR RD/RA
-
CD
o
UA
FE
TO
10/01/90
THROUGH
9/30/91
RD, RA
FE
10/01/90
THROUGH
9/30/91
XR.J
RD. RA
COST RECOVERY
REF. ACTIONS
< $200,000
sv
FE
10/01/90
THROUCH
9/30/91
F
LESS THAN
yxywo
RD/RA
NEGOTIATIONS
START
D,N
P, F, D,
R
AN
FE
10/01/90
THROUCH
9/30/91
RD/RA
NEGOTIATIONS
COMPL.
D.N
P. F, D,
R
AN
FE
10/01/90
THROUCH
9/30/91
107 REMED. (RA)
COST RECOVERY
REF. > $200,000
D,N
SV. CD
FE
10/01/90
THROUCH
9/30/91
VA
F
CREATE*
THAN
200,000
107 RMVL. (PRE-RA)
COST RECOVERY
REF. > $200,000
D,N
SV, CD
FE
10/01/90
THROUGH
9/30/91
VM. VO, VD
NOT
CONTAINS
VA
F
GREATER
THAN
200000
UAO ISSUED FOR
RD/RA
UA
FE
10/01/90
THROUGH
9/30/91
RD, RA
SIGNED IAG
P. F. S, D
F1
FE
10/01/90
THROUCH
9/30/91
E-12
-------
OSWER Directive 9200.3-01 D
APPENDIX F
CEPP PROGRAM PLANNING REQUIREMENTS
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: Chemical Emergency Preparedness and Prevention Office
GOAL: To prevent accidential chemical releases and to minimize the consequences should they occur.
OBJECTIVE MEASURE STARS CODE FREQUENCY
To improve state/local
chemical emergency
preparedness and enhance
their response capability.
Develop the foundation for
Regional chemical accident
prevention program which
will minimize the
magnitude of chemical
releases and enhance safety
practices and procedures.
Report and describe technical assistance and j CEP-1* j Q
training activities which EPA conducted, ] J 1,2,3,4
sponsored, developed, assisted in developing,
participated in, or presented.
Report on number of State or local exercises or j CEP-2* ! Q
after incident evaluations in which EPA conducted, j J 1,2,3,4
sponsored, assisted in developing or participated.
Report number of Accidental Release Information j CEP-3 j Q
Program (ARIP) questionnaires sent to and j J 1,2,3,4
returned by facilities having releases.
Report on number of chemical safety audits j CEP-4* j Q
conducted. | \ 1,2,3,4
* STAR measure which requires Regional target
OSWER-14
3/90
-------
Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
SIMULATION EXERCISES are table-top, full field, or functional exercises conducted to test
or evaluate a contingency plan. Regions are expected to provide technical or programmatic
assistance to States or communities to develop the exercise and/or to actively participate
in the exercises (e.g., exercise leader, evaluator, facilitator). Exercise development
should include EPA involvement throughout the planning process for the exercise.
Providing a copy of guidance material does not constitute fulfillment of this requirement.
The Region must write a post-exercise report describing the assistance provided and/or
participation in the exercise and the outcome of the exercise. This report should be held
in the Regional Office and made available for Regional Reviews. Regional assistance or
participation in testing an internal EPA plan will not count towards meeting this measure.
After incident evaluations are EPA and local or EPA, State and local analyses of the
preparedness and response capabilities of a local community for a chemical accident. To
meet this measure, Regions should conduct the analyses with local or with State and local
community involvement.
TECHNICAL ASSISTANCE is the provision of expertise to improve preparedness capabilities
and to stimulate initiatives taken by SERCs, LEPCs and labor, environmental, trade and
professional organizations to prevent accidental releases of chemicals. It includes both
programmatic and scientific assistance. This assistance might be delivered through direct
consultation (in the field with the recipient), workshops, or other means. It does not
include formal training courses or the provision of equipment.
This assistance includes, but is not limited to:
o Assistance in organizing, developing, and implementing preparedness, prevention, or
community right-to-know programs and activities;
o Assistance in organizing and conducting CEPP-related workshops;
o Assistance in development and review of emergency plans (including hazards analysis);
o Assistance in information management or risk communication;
OSWER - 15
3/90
-------
Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
o Assistance in development of haz-mat teams;
o Assistance in dispersion modeling and air-monitoring;
o Assistance in evaluation or installation of alarm/alerting systems;
o Assistance in developing and conducting projects for enhancing chemical process
safety ;
o Assistance in projects which increase the integration of preparedness efforts and
response activities such as participation in a multi-party local planning/response
team, such as EPA, Coast Guard and local industry;
o Assistance in projects which enhance capabilities of SERCs/LEPCs which are not fully
functioning such as a review of an LEPC, followed by the assistance described above.
TRAINING ACTIVITIES are formal educational presentations using instructional materials and
techniques or exercises such as table-top or field simulations. In-house EPA training for
EPA employees or EPA contractors will not count towards meeting this measure. In order to
meet this measure, EPA must have developed and/or presented the training activity. The
term "EPA" refers to the CEPP office.
ACCIDENTAL RELEASE INFORMATION PROGRAM is designed to accomplish two basic objectives:
a) To focus high-level management attention on facilities having repeated or
"serious" releases, which may stimulate them to undertake prevention initiatives
on their own; and
b) To provide EPA with accurate information on the causes of releases and the
activities currently underway in the private sector to prevent them from
occurring.
OSWER - 16
3/90
-------
Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
TRIGGERED RELEASES
ARIP is focusing on releases which are "serious." Currently, the criteria or
triggers being utilized to identify "serious" releases are:
o Starting with the fourth release and ending with the tenth release in a twelve-
month period.
o A release greater than 1,000 lbs. for hazardous substances having RQs =1, 10, or
100 lbs. - or a release of 10,000 lbs. for hazardous substances having RQs = 1,000 or
5,000 lbs.
o Any release resulting in death, injury, or severe environmental damage,
o A release of an extremely hazardous substance above the RQ.
LETTERS/QUESTIONNAIRES
Once a facility has met a trigger, the Region is required to draft a letter combining the
authorities of CERCLA, SARA, CAA, CWA, & RCRA, send it to the plant manager, along with
the questionnaire EPA has developed. A copy of the response must be sent to Headquarters.
ON SITE CHEMICAL AUDIT is an on-site1 inspection of the entire process/handling operations
at a site from a safety standpoint. It is an audit of safety procedures, facility
equipment, training and contingency planning, as well as management commitment.
OSWER - 17
3/90
-------
OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: CERCLA/TITLE III ENFORCEMENT
GOAL; Increase compliance with TITLE III and CERCLA ง103
MEASURE
STARS CODE FREQUENCY
Achieve and maintain a high
level compliance with Title
III sections 302, 303, 304,
311, and 312 and CERCLA
section 103.
Inspections and Investigations
Report the number of:
a) investigations of possible violations of CERCLA
ง103 and Title III ง304*.
b) facility compliance investigations for Title
III sections 302, 303, 311, and 312*.
Violations
Report the number of:
a) violations of Title III ง304 and CERCLA ง103
identified.
b) violations of Title III sections 302, 303, 311,
and 312.
Enforcement Actions
Report the number of:
a) EPA Complaints, Administrative Orders and
Judicial referrals issued**.
b) State Orders.
C/E-l
C/E-2
C/E-3
1 Ql,2,3,4
by State
Ql/2,3,4
by State
Ql,2,3,4
by State
* To be targeted.
** Potentially targeted at lower level.
OSWER - 18
3/90
-------
Office Of Solid Waste and Emergency Response
FY 1991
CERCLA/TITLE III Enforcement Definit
Investigation means any follow-up inquiries, such as information request letters,
on-site reviews or inspections to verify a facility's compliance with Title III and
CERCLA Section 103 and which could produce evidence upon which a complaint could
be based. A phone call will generally not be considered an investigation.
OSWER
3/90
-------
pno^C
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
SOLID WASTE AND EMERGENCY RESPONSE
Chemical Emergency Preparedness and Prevention Office
Objective: To promote knowledge and understanding of Title III.
SCAP 1: Report on the status of Title III implementation in each
of the Region's states.
SCAP 2: Report on the number and types of outreach activities
which EPA conducted, sponsored, assisted in developing
or participated in and include number and type of target
audience for each activity.
Definition: Outreach activities include, but are not limited to:
program status reports at conferences or workshops,
speeches, press releases, newsletters to SERCs and
LEPCs, and dissemination of informational materials.
Outreach activities should emphasize "multiplier"
activities whereby the recipient of the information will
initiate further outreach activites in that particular
organization with the goal of reaching the maximum
number of persons possible.
Objective: To enhance the ability of Regional Response Team
(RRT) to prepare for and effectively respond to
accidental chemical releases.
SCAP 3: Report on and describe participation in RRT activities.
RRT activities may include workplan development and
implementation committees, revision and maintenance of
Regional Contingency Plan, exercises, support of the
National Response Team, RRT response activities.
FY 91 SCAP Measures
Printed on Recycled Paper
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE (OSWER)
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
OFFICE (CEPPO)
GENERAL PREPAREDNESS PROGRAMS
FY 1991 SCAP MEASURES
Program Area: Earthquake Preparedness Program
Objective: Improve Federal, State and local preparedness and
response to those catastrophic earthquakes which
activate the "Plan for Federal Response to a
Catastrophic Earthquake".
Measure # 1:
Frequency:
Report on the development and completion of:
(a) The Hazardous Materials Supplement(s)
ESF # 10 to the multi-agency "Plan for
Federal Response to a Catastrophic
Earthquake" for the Region (in accordance
with the August 1989, "Guidance for
Regional Supplements-ESF # 10");
(b) Planning support provided to other EPA
Regions; and
(c) On Planning activity developments in
other ESF1s for which EPA provides support.
Q 1, 2, 3, and 4, by Region.
Measure # 2. Report on participation and disseminate noteworthy
information to other Regions and Headquarters, on
the following earthquake preparedness activities
(exercises, simulations, workshops, planning
sessions and other similar earthquake preparedness
activities involving Federal, State or local
persons or governments).
Frequency: Q 1, 2, 3 and 4, by Region
Program Area
Objective:
National Security Emergency Preparedness Program
Improve EPA's preparedness for carrying out its
responsibilities as outlined in E.O. 12656 in the
event of a national security emergency event or
-------
exercise.
Measure # 1 Report on participation in the following National
Security Emergency Preparedness (NSEP) activities:
Headquarter's EPA, FEMA or other agency planning
sessions, workshops, training, or exercises; and
on assisting in the development of support
materials (i.e. policy papers, ADP info., etc.)
for the Program .
Frequency: Q 1, 2, 3, and 4, by Region
Definitions: "Full participation", means that those individuals
assigned NSEP responsibilities will engage in
exercises and training activities leading to
those exercises on the average of 10-12 days per
year.
-------
OSWER Directive 9200.3-01D
APPENDIX Q
CASE BUDGET
-------
OSWER Directive 9200.3-01 D
APPENDIX G
CASE BUDGET
TABLE OF CONTENTS
FINANCIAL PLANNING REQUIREMENTS G-l
WasteLAN Coding Instructions G-l
Remedial Events G-l
Enforcement Activities G-3
Non-Site Specific Incidents G-3
Mainframe CERCLIS Coding Instructions G-4
Remedial Events G-4
Enforcement Activities G-4
Non-Site Specific Incidents G-5
OBLIGATING FUNDS TO COVER REGIONAL CONTRACT
PROGRAM MANAGEMENT WORK ASSIGNMENTS G-5
WasteLAN CERHELP Coding Instructions G-5
CERHELP Mainframe Coding Instructions G-6
OBLIGATING FUNDS GENERIC ALLY TO COVER ALL
SITE SPECIFIC WORK ASSIGNMENTS G-7
WasteLAN CERHELP Coding Instructions G-7
Mainframe CERHELP Coding Instructions G-7
OBLIGATING FUNDS TO COVER CONTRACT BUY IN
WORK ASSIGNMENTS G-8
WasteLAN Coding Instructions G-8
Remedial Events G-8
Enforcement Activities G-9
Non-Site Specific Incidents G-9
Mainframe CERCLIS Coding Instructions G-10
Remedial Events G-10
Enforcement Activities G-10
Non-Site Specific Incidents G-11
ENTERING TES WORK ASSIGNMENT AMOUNTS (TASKING) G-ll
WasteLAN Coding Instructions G-l2
Remedial Events G-12
Enforcement A ctivities G-12
Non-Site Specific Incidents G-13
Mainframe CERCLIS Coding Instructions G-l3
Remedial Events G-l3
Enforcement Activities G-14
Non-Site Specific Incidents G-14
-------
OSWER Directive 9200.3-01 D
CASE BUDGET CODING AND DATA ENTRY
INSTRUCTIONS
This appendix outlines the required data for Case Budget financial records and provides
detailed data entry instructions. Exhibit G-l should be referenced to determine the financial data
requirements for each type of financial record being entered. For example, if a planned obligation
is being entered, only those data elements with a check mark applies to the financial record for
planned obligation. Failure to enter a valid code for the data element will result in an error to
appear on the ENFR49 report.
FINANCIAL PLANNING REQUIREMENTS
This section reviews the CERCLIS/WasteLAN data entry instructions for planned
obligations (requests). Activity-specific financial planning is required to clearly identify extramural
Regional Enforcement funding requirements. This guidance is provided to assist the Regions in
carrying out the Case Budget strategy and accurately entering financial plans.
The list of enforcement activities and events with their corresponding codes, that are funded
with Case Budget appears in Exhibit VI-8. It is important to note that additional coding
requirements exist in order for any of these planned activities to be considered as a regional
request.
WasteLAN Coding Instructions
A: Remedial Events
A1. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
A4. Choose the correct operable unit by selecting next/previous operable unit
until the screen information matches the desired operable unit. Select
'View/Edit Events'. If the event is not found then select 'Add' to add
a new event.
A5. Choose the correct event by viewing the next/previous events until the
information matches the desired event.
A6. Choose 'Edit Event'.
A7. Enter a lead of 'FE','SE','MR','RP' or 'PS'.
A8. Enter the current planned start date.
A9. Enter the current planned completion date.
A10. Enter the actual start date.
All. Update/Add the record and then choose 'Financial System'.
A12. Choose the financial type for planned obligation.
A13. Choose 'A' to add a new financial record.
A14. Enter the planned obligation date.
A15. Enter the planned amount.
A16. Enter an 'E' for the Enforcement budget source.
A17. Enter 'APR', 'ALT', or 'CON' for the funding priority status.
G-l
-------
CASE BUDGET CODING REFERENCE GUIDE
(REQUIRED DATA ELEMENTS)
Q
ฉ
cs
o\
I
Q
0ฃ
in
O
FINANCIAL ACTION
FINANCIAL TYPE (CODE)
AMOUNT
PLAN
FYQ
BGT
SRC
FUND
STAT
CNT
VHCL
ACTUAL
FIN. DATE
ACN
DCN
W.A.
#
AMEND
#
OB/
SUBOB
Planned Obligations
(Reauests)
Planned Obligation (P)
~
~
~
~
~
Tasked Amounts
(Approved W.A.s)
TES W.A. Amount (H)
Detasking (W)
~
~
~
~
~
~
Buy-Ins
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
~
ป /ir-.x -
~
~
~
FINANCIAL ACTION
FINANCIAL TYPE (CODE)
AMOUNT
PLAN
FYQ
BGT
SRC
FUND
STAT
CNT
VHCL
ACTUAL
FIN. DATE
ACN
DCN
W.A.
#
AMEND
#
OB/
SUBOB
# OF
SITES
Planned Obligations
(Requests)
Planned Obligation (P)
~
~
~
~
~
/
Tasked Amounts
(Approved W.A.s)
TES W.A. Amount (H)
De tasking (W)
~
~
~
~
/
~
/
Generic TES
Commitments/Obligations
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
~
~
~
~
~
/
/
/
Buy-Ins
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
~
~
~
~
~
~
/
Program Management
Commitments/Obligations
Commitment (C)
Decommitment (M)
Actual Obligation (A)
Deobligation (D)
~
~
~
~
~
~
~
s
LEGEND
BGT SRC = Budget Source
FUND STAT = Funding Status
CNT VHCL = Contract Vehicle
ACN = Account Number
DCN = Document Control Number
W.A. # = Work Assignment Number
OB/SUBOB = Object/Subobjecl Class
/ = Required Field
6
-------
OSWER Directive 9200.3-01 D
A18. Enter the contract vehicle (e.g. TES##, IAG##, MSC##, REM##).
A19. Enter contractor name (optional).
A20. Enter financial comments if necessary.
A21. Choose 'A' to add record.
B: Enforcement Activities
B1. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from
the Enforcement menu.
B3. Choose the activity type.
B4. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
B5. Choose 'Add' to add an activity if it does not already exist.
B6. Choose the correct event by viewing the next/previous events until the
information matches the desired activity.
B7. Choose 'Edit' activity.
B8. Enter a lead of'FE'or'SE'.
B9. Enter the current planned start date.
BIO. Enter the current planned completion date.
B11. Enter the actual start date.
B12. Update/Add the record and then choose 'Budget Financial'.
B13. Choose financial type for planned obligation.
B14. Choose 'A' to add a new financial record.
B15. Enter the planned amount.
B16. Enter the planned obligation FYQ.
B17. Enter an 'E' for the Enforcement budget source.
B18. Enter 'APR', 'ALT', or 'CON' for the budget status.
B19. Enter the contract vehicle (e.g. TES##, IAG##, MSC##, REM##).
B20. Enter financial comments in the 'Note' area if necessary.
B21. Choose 'A' to add record.
C: Non-Site Specific Incidents
C1. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activates from the non-site/incident menu.
C4. Enter the activity in the Non-Site/Incident Activity Code field.
C5. WasteLAN system generates the current fiscal year (FY), but the user
can overwrite the data in this field if desired.
If the correct activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE'.'SE'.'MR'.'RP'.or 'PS' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed, e.g., OHOl.
CI. Select Financial System.
C8. Choose financial type for planned obligation.
C9. Select Add New Record.
CIO. Enter the planned obligation FYQ.
G-3
-------
OSWER Directive 9200.3-01 D
C11. Enter financial comments if necessary.
C12. Enter the planned amount.
CI3. Enter the contract vehicle (e.g. TES##, LAG##, MSC##, REM##).
C14. Enter contractor name (optional).
C15. Enter an 'E' for the Enforcement budget source.
CI6. Enter 'APR', 'ALT', or 'CON' for the budget status.
C17. Enter the number of sites expected to have TES work assignments during
the fiscal year.
C18. Choose 'A' to add record.
Mainframe CERCLIS Coding Instructions
Aฑ Remedial Events
A1. Access main menu for data entry and choose Remedial/Removal.
A2. Choose the event information screen.
A3. Select 'A' to add an event or 'C' to update an event.
A4. Enter the EPA ID, operable unit, and event code.
A3. Enter a lead of 'FE'.'SE'.'MR'.'RP' or 'PS'.
A4. Enter the current planned start date.
A5. Enter the current planned completion date.
A6. Enter the actual start date.
A7. Update/Add the record.
A8. Select Event Financial Info. Screen to add or update an event financial
record.
A9. Select 'A' to add a new event financial record.
A10. Enter the EPA ID Number.
All. Enter the operable unit number.
A12. Enter the event type and sequence number and press enter.
A13. Enter 'P' for a planned obligation.
A14. Enter 'APR', 'ALT' or 'CON' for the funding priority status.
A15. Enter the planned obligation FYQ.
A16. Enter 'E' for the Enforcement budget source.
A17. Enter the planned obligation amount.
A18. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
Bl Enforcement Activities
B1. Access main menu for data entry and choose Enforcement.
B2. Choose the activity screen.
B3. Select 'A' to add or 'C' to update an activity.
B4. Enter the EPA ID and the activity code.
B6. Enter a lead of 'FE', or 'SE'.
B7. Enter the current planned start date.
B 8. Enter the current planned completion date.
B9. Enter the actual start date. .
BIO. Update/Add the record.
B11. Select the Enforcement FMS Financial Information Screen.
B12. Select 'A' to add a new financial record and enter the EPA ID, and the
Activity Type with the sequence number.
B13. Enter 'P' for a planned obligation.
B14. Enter 'E' for the Enforcement budget source.
B15. Enter the planned obligation amount.
G-4
-------
OSWER Directive 9200.3-01 D
B16. Enter the planned obligation FYQ.
B17. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
B18. Enter 'APR1, 'ALT', or 'CON' for the budget status.
Cl Non-Site Specific Incidents
C1. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A'to add a new record.
C4. Enter Region number.
C5. Enter activity type and press enter.
C6. Enter activity lead as 'FE','SE','MR', 'RP', or 'PS'.
C7. Enter current FY.
C8. Enter any activity comment (e.g., Funds to cover all TES work
assignments).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter Region, activity type
including the sequence number and press enter.
C11. Enter financial type 'P' for a planned obligation.
C12. Enter the contract vehicle (e.g., TES##, IAG##, MSC##, REM##).
C13. Enter 'E' for the funding source.
C14. Enter the estimated number of sites expected to be funded from the non-site-
specific plan.
C15. Enter 'APR', 'ALT', or 'CON' for the budget status.
C16. Enter the planned obligation FYQ.
C17. Enter the planned obligation amount.
OBLIGATING FUNDS TO COVER REGIONAL CONTRACT PROGRAM
MANAGEMENT WORK ASSIGNMENTS
At the beginning of each FY, RPOs will write work assignments to provide contract
management and administrative support for the contractors' regional offices. Funds for these
management work assignments should be obligated independently of generic funds that cover site
specific work assignments. The split will also provide the unique account number and document
control number combinations required to make the CERCLIS to IFMS data transfer possible.
WasteLAN CERHELP Coding Instructions
A1. From Main Menu select CERHELP System.
A2. Select Non-Site/Incident from CERHELP Program screen.
A3. Select Modify/View Activities from the non-siteAncident menu.
A4. Enter 'PM' in the Non-Site/Incident Activity Code field.
A5. WasteLAN system generates the current FY, but the user
can overwrite the data in this field if desired.
If the correct PM activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
G-5
-------
OSWER Directive 9200.3-01 D
A6. Select the specific activity record needed (e.g., PM01).
A7. Select Financial System.
A8. Choose financial type, i.e., Option 4 is commitment or Option 5 is decommitment.
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields, unless you have the correct FMS
amount and commitment date, in order to avoid creating duplicate records during
the financial download procedure.
All. Enter any activity comments (e.g., 'work assignment amount'
or 'approved work plan amount').
A12. Enter the Document Control Number (DCN) from the PR.
A13. Enter the Account Number (ACN) from the PR.
A14. Enter 'TES05', 'TES06', etc., for the TES contract number
into the Vehicle field.
A15. Enter the contractor's name in the Contractor field (optional).
A16. Enter '2535' in the Ob. Subob. Class field.
A17. Enter 'E' for the Enforcement Funding Source.
A18. Enter the estimated number of sites expected to have TES work assignments during
the FY.
A19. Enter 'A' (default) in order to add this financial record to the
data base.
CERHELP Mainframe Coding Instructions
B1. Access main menu for data entry and select non-site/incident.
B2. Select non-site/incident screen from the non-site menu.
B3. Enter 'A'to add a new record.
B4. Enter Region number.
B5. Enter activity type as 'PM' (Contract Program Management) and press enter.
B6. Enter activity lead as 'FE'.
B7. Enter current FY.
B8. Enter any activity comment (e.g., work assignment amount or approved work plan
amount).
B9. Press Enter and confirm the activity.
BIO. Enter 'A' to add financial information and then proceed to enter Region, activity
type with the sequence number and press enter.
B11. Enter financial type 'C' for a commitment (positive amount), or 'M' for a
decommitment (negative amount).
B12. Enter the IFMS account number (ACN) from the PR.
B13. Enter the IFMS document control number (DCN) from the PR.
B14. Enter 'TES05', 'TES06', etc., identifying the specific TES contract.
B15. Enter '2535' for the Object/Subobject Class.
B16. Enter 'E' for Enforcement Funding Source.
B17. Enter the estimated number of sites expected to have TES work assignments for the
FY in the 'NBR SITES' field.
B18. Enter the date the Funds Control Clerk signed the PR in the actual financial date
field.
B19. Enter the amount from the PR.
B20. Confirm the record.
G-6
-------
OSWER Directive 9200.3-01 D
OBLIGATING FUNDS GENERIC ALLY TO COVER ALL SITE SPECIFIC
WORK ASSIGNMENTS
RPOs will obligate funds to a non-site specific (also referred to as generic) account to cover
the value of their site specific work assignments (including award fees) each FY. The contractors
will be paid by work assignment from the generic PRs by identifying the PR document control
number and site specific account number to be charged on their invoices. The generic PRs will be
entered much the same as contract program management PRs.
WasteLAN CERHELP Coding Instructions
A1. From Main Menu select CERHELP System.
A2. Select Non-Site/Incident from CERHELP Program screen.
A3. Select Modify/View Activitites from the non-site/incident menu.
A4. Enter 'OH' in the Non-Site/Incident Activity Code field.
A5. WasteLAN system generates the current FY, but the user
can overwrite the data in this field if desired.
If the correct OH activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
A6. Select the specific activity record needed, e.g., OHOl.
A7. Select Financial System.
A8. Choose financial type, i.e., Option 4 is commitment or Option 5 is decommitment.
A9. Select Add New Record.
A10. Do not enter data into the date or amount fields, unless you have the correct FMS
amount and commitment date, in order to avoid creating duplicate records during
the financial download procedure.
All. Enter any activity comments .
A12. Enter the Document Control Number (DCN) from the PR.
A13. Enter the Account Number (ACN) from the PR.
A14. Enter 'TES05', 'TES06', etc. into the Vehicle field for the TES contract number.
A15. Enter the contractor's name in the Contractor field (optional).
A16. Enter '2535' in the Ob. Subob. Class field.
A17. Enter 'E' for the Enforcement Budget Source.
A18. Enter the number of expected work assignments against the generic obligation.
A19. Enter 'A' (default) in order to add this financial record to the data base.
Mainframe CERHELP Coding Instructions
B1. Access main menu for data entry and select non-site/incident.
B2. Select non-site/incident screen from the non-site menu.
B3. Enter 'A'to add a new record.
B4. Enter Region number.
B5. Enter activity type as 'OH' for Other and press enter.
B6. Enter activity lead as 'FE'.
B7. Enter current FY.
B8. Enter any activity comment (e.g., Funds to cover all TES work assignments).
G-7
-------
OSWER Directive 9200.3-01D
B9. Confirm the activity.
BIO. Enter 'A' to add financial information and then proceed to enter region, activity type
including the sequence number and press enter.
B11. Enter financial type 'C' for a commitment (positive amount), or 'M' for a
decommitment (negative amount).
B12. Enter the IFMS account number (ACN) from the PR.
B13. Enter the EFMS document control number (DCN) from the PR.
B14. Enter 'TES05', 'TES06', etc., identifying the specific TES contract.
B15. Enter '2535' for the Object/Subobject Class.
B16. Enter 'E' for Enforcement Funding Source.
B17. Enter the estimated number of sites expected to have TES work assignments against
the generic obligation in the NBR SITES field.
B18. Enter the date the Funds Control Clerk signed the PR in the ACTUAL FIN. DATE
field.
B19. En ter the amount from the PR.
OBLIGATING FUNDS TO COVER CONTRACT BUY IN WORK
ASSIGNMENTS
Buy-in commitments/obligations are of two types: 1) Enforcement funds used to buy into
one of the Non-TES contracts, and 2) Remedial, Removal, or Federal Facility funds used to buy
into one of the TES contracts. Both types of buy-ins must be entered into the data base. The
budget source code should be used to indicate the source of funds.
WasteLAN Coding Instructions
A: Remedial Events
A1. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
A4. Choose the correct operable unit (OU) by selecting next/previous
OUuntil the screen information matches the TES WA form. Then choose
'View/Edit Events'. If there is no event then choose 'Add' to add a
new event.
A5. Choose the correct event by viewing the next/previous events until the
information matches the TES WA form. Then choose 'Financial System.'
A6. Choose financial type of commitment or decommitment.
A7. Choose 'A' to add a new financial record.
A8. Enter date the Funds Control Officer signed the PR.
A9. Enter the amount from the PR.
A10. Enter an 'E', 'R', 'V', or 'F' based on Funding Source.
All. Enter the ACN from the PR.
A12. Enter the DCN from the PR.
A13. Enter the contract vehicle number (e.g., TES 12).
A14. Enter contractor name (optional).
A15. Enter '2535' for the object class.
A J 6. Enter financial comments if necessary.
A17. Choose "A" to add record.
G-8
-------
OSWER Directive 9200.3-01D
B: Enforcement Activities
B1. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from
the Enforcement menu.
B3. Choose the activity type.
B4. Choose 'Add' to add an activity if one does not already exist.
B5. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type for commitment or deconnnnitment.
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the PR unless the financial download has been
implemented.
BIO. Enter date the Funds Control Officer signed the PR.
Bll. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
B12. Enter the contract vehicle number (e.g., TES12).
B13. In the financial note field, enter ACN in the first 10 characters. Then enter
a single space and enter the DCN.
B14. Choose 'A' to add record.
C: Non-Site Specific Incidents
CI. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activitites from the non-site/incident menu.
C4. Enter 'OH' in the Non-Site/Incident Activity Code field.
C5. WasteLAN system generates the current FY, but user
can overwrite the data in this field if desired.
If the correct OH activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter 'FE' as the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed, e.g., OHOl.
C7. Select Financial System.
C8. Choose financial type, i.e., Option 4 is commitment or Option 5 is
decommitment.
C9. Select Add New Record.
CIO. Do not enter data into the date or amount fields, unless you have the correct
IFMS amount and commitment date, in order to avoid creating duplicate
records during the financial download procedure.
CI 1. Enter any activity comments .
CI2. Enter the Document Control Number (DCN) from the PR.
CI3. Enter the Account Number (ACN) from the PR.
C14. Enter contract vehicle and number into the Vehicle field.
C15. Enter the contractor's name in the Contractor field (optional).
CI6. Enter '2535' in the Ob. Subob. Class field.
C17. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
CI8. Enter'A' (default) in order to add this financial record to the
data base.
G-9
-------
OSWER Directive 9200.3-01D
Mainframe CERCLIS Coding Instructions
I. Determine whether the assignment is for a remedial event, enforcement activity, or
non-site specific function. The event or activity type will be coded on
the TESWATS form in: Item 10A, 10B, or IOC, respectively.
II. Access the appropriate side of the database, remedial site information,
enforcement site information, or non-site specific information.
III. At this point, instructions vary between remedial events, enforcement activities, and
non-site specific assignments. Use part A below for remedial event coding, part B
below for enforcement activity coding, and part C below for non-site specific
coding.
Al Remedial Events
A1. Access main menu for data entry and choose Remedial/Removal
A2. Select Financial Info. Screen to add or update an event financial record.
A3. Select 'A' to add a new event financial record.
A4. From the work assignment form, Item 7, enter the EPA ED Number
[LAD000239814], (The RPO may verify Site Name and Number with a
CERCLIS Site Alias Location Listing, report L.4.)
A5. From the work assignment form, Item 9, enter the operable unit number.
A6. From the work assignment form, Item 10A, enter the event type and
sequence number and press enter.
A7. The PR amount will be positive or negative. For a positive number, enter
'C' for commitment; for a negative number, enter 'M' for decommitment as
the Financial Type.
A8. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
A9. From the PR, or work assignment form, Item 11, enter the financial
amount.
A10. From the PR, enter the date the Funds Control Officer signed the PR to
make the IFMS commitment in the FIN DATE field.
All. From the work assignment form, Item 1, enter the TES
contract number as the Financial Vehicle.
A12. From the work assignment form, Item 5, enter the contractor's name.
A13. From the PR, or work assignment form, Item 4, enter the IFMS account
number in the ACCOUNT field.
A14. From the PR, enter the IFMS document control number in the DCN field.
It Enforcement Activities
B1. Access main menu for data entry and choose Enforcement.
B2. Select the Enforcement FMS Financial Info. Screen.
B3. Select 'A' to add a new financial record and enter the EPA ID, and the
Activity Type with the sequence number.
B4. The PR amount will be positive or negative. For a positive number, enter
'A' for obligation; for a negative number, enter 'D' for deobligation as the
Financial Type.
B5. From the PR, or work assignment form, Item 11, enter the financial
amount.
B6. From the PR, enter the date the Funds Control Officer signed the PR to
make the IFMS obligation.
G-10
-------
OSWER Directive 9200.3-01D
B7. From the work assignment form, Item 1, enter the TES
contract number as the Financial Vehicle.
B8. Enter an 'E', 'R', 'V', or 'F' based on Funding Source.
B9. From the PR or work assignment form, Item 4, enter the FMS account
number in the Enforcement Financial Note field.
BIO. From the PR, enter the FMS document control number in the Enforcement
Financial Note field.
C: Non-Site Specific Incidents
CI. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A' to add a new record.
C4. Enter Region number.
C5. Enter activity type as 'OH' and press enter.
C6. Enter activity lead as 'FE'.
C7. Enter current FY.
C8. Enter any activity comment (e.g., Funds to cover all TES work
assignments).
C9. Confirm the activity.
CIO. Enter 'A' to add financial information and enter Region, activity type
including the sequence number and press enter.
C11. Enter financial type 'C' for a positive commitment, or 'M' for a
decommitment (negative amount on PR).
C12. Enter the FMS account number (ACN) from the PR.
CI 3. Enter the FMS document control number (DCN) from the PR.
Cl4. Enter 'TES05', 'TES06', etc., for the TES contract number, Contract
Vehicle.
C15. Enter '2535' for the Object/Subobject Class.
CI6. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
CI7. Enter the estimated number of sites expected to have TES work assignments
against the generic obligation in the NBR SITES field.
CI 8. Enter the date the Funds Control Clerk signed the PR in the FIN. DATE
field.
C19. Enter the amount from the PR.
ENTERING TES WORK ASSIGNMENT AMOUNTS (TASKING)
Each TES work assignment (both buy-ins and non buy-ins) will be entered into
CERCLIS/WasteLAN using the codes for TES Work Assignment Amount, 'H', and
detasking,'W'. Once the COs have approved a work assignment, the Region should enter the
work assignment into CERCLIS. RK)s and IMCs should work together to make sure that all TES
financial data is entered in a timely manner.
G-l 1
-------
OSWER Directive 9200.3-01D
WasteLAN Coding Instructions
A: Remedial Events
A1. Select Remedial from the main menu.
A2. Choose the event type (RI/FS, RD, RA, etc.) from the remedial menu.
A3. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
A4. Choose the correct OU by selecting next/previous OU
until the screen information matches the TES WA form. Then choose
'View/Edit Events'. If there is no event then choose 'Add' to add a
new event.
A5. Choose the correct event by viewing the next/previous events until the
information matches the TES WA form. Then choose 'Financial System'.
A6. Choose financial type of TES work assignment amount (tasking)
or detasking.
A7. Choose 'A' to add a new financial record.
A8. Enter date the CO signed the WA.
A9. Enter the amount from the WA.
A10. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
All. Enter the last two digits of the work assignment amendment number.
A12. Enter the six digit work assignment number.
A13. Enter the contract vehicle number (e.g. TES 12).
A14. Enter contractor name (optional).
A15. Enter financial comments if necessary.
A16. Choose 'A' to add record.
B: Enforcement Activities
B1. Select Enforcement from the main menu.
B2. Choose the activity group (RP Search, Negotiations, Litigation, etc.) from
the Enforcement menu.
B3. Choose the activity type.
B4. Choose 'Add' to add an activity if one does not already exist.
B5. Specify the site by entering the WasteLAN reference number and verify that
the information is correct.
B6. Choose 'Budget Financial' from the activity menu.
B7. Choose financial type for TES work assignment amount (tasking) or
detasking.
B8. Choose 'Add' to add a new financial record.
B9. Enter the amount from the WA.
BIO. Enter date the COsigned theWA.
Bll. Enter an 'E', 'R', 'V', or 'F' based on Funding Source.
B12. Enter the six digit work assignment number.
B13. Enter the last two digits of the work assignment amendment number.
B14. Enter the contract vehicle number (e.g. TES 12).
B15. Choose'A'to add record.
G-12
-------
OSWER Directive 9200.3-01 D
C: Non-Site Specific Incidents
C1. From Main Menu select CERHELP System.
C2. Select Non-Site/Incident from CERHELP Program screen.
C3. Select Modify/View Activities from the non-site/incident menu.
C4. Enter the Non-Site/Incident Activity Code field.
C5. WasteLAN system generates the current FY, but user
can overwrite the data in this field if desired.
If the correct activity already exists in WasteLAN, then
proceed with step 6, otherwise do steps 5a - 5d.
5a. Select Add New Activity.
5b. Enter the Lead.
5c. Enter any activity comment desired.
5d. Select A to add the record.
C6. Select the specific activity record needed.
CI. Select Financial System.
C8. Choose financial type for TES work assignment amount (tasking) or
detasking.
C9. Select Add New Record.
CIO. Enter the date the CO signed the WA.
C11. Enter any activity comments .
C12. Enter contract vehicle and number into the Vehicle field.
CI 3. Enter the six digit work assignment number in the Work Assignment field.
C14. Enter the last two digits from the work assignment amendment number into
the Amendment Number field.
C15. Enter the contractor's name in the Contractor field (optional).
CI6. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
C27. Enter'A' (default) in order to add this financial record to the
data base.
Mainframe CERCLIS Coding Instructions
I. Determine whether the assignment is for a remedial event,enforcement activity, or
non-site specific function. The event or activity type will be coded on
the TESWATS form in: Item 10A, 10B, or 10C, respectively.
II. Access the appropriate side of the database, remedial site information,
enforcement site information, or non-site specific information.
III. At this point, instructions vary between remedial events, enforcement activities, and
non-site specific assignments. Use part A below for remedial event coding, part B
below for enforcement activity coding, and part C below for non-site specific
coding.
Ai Remedial Events
A1. Access main menu for data entry and choose Remedial/Removal.
A2. Select Financial Info. Screen to add or update an event financial record.
A3. Select 'A' to add a new event financial record.
G-13
-------
OSWER Directive 9200.3-01 D
A4. From the work assignment form, Item 7, enter the EPA ID Number
[LAD000239814], (The RPO may verify Site Name and Number with a
CERCLIS Site Alias Location Listing, report L.4.)
A5. From the work assignment form, Item 9, enter the OU number.
A6. From the work assignment form, Item 10A, enter the event type and
sequence number and press enter.
A7. The work assignment amount will be positive or negative. For a positive
number, enter 'H' for work assignment amount; for a negative number,
enter 'W' to decrease the work assignment amount.
A8. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
A9. From the work assignment form, Item 11, enter the financial amount.
A10. From the work assignment form, Item 14, enter the CO signature date in
the FIN. DATE field.
All. From the work assignment form, Item 1, enter the TES
contract number as the Financial Vehicle.
A12. From the work assignment form, Item 5, enter the contractor's name.
A13. From the work assignment form, Item 2, enter the work assignment numbei
in the WK ASGN field.
A14. From the work assignment form, Item 3, enter the last two digits of the
amendment number in the AMEND # field.
Bi Enforcement Activities
B1. Access main menu for data enuy and choose Enforcement.
B2. Select the Enforcement FMS Financial Info. Screen.
B3. Select A' to add a new financial record and enter the EPA ID, and the
Activity Type with the sequence number.
B4. The work assignment amount will be positive or negative. For a positive
number, enter 'H' for work assignment amount; for a negative number,
enter 'W' to decrease the work assignment amount.
B5. From the work assignment form, Item 11, enter the financial amount.
B6. From the work assignment form, Item 14, enter the CO signature date in the
FIN. DATE field.
B7. From the work assignment form, Item 1, enter the TES contract number as
the Financial Vehicle.
B8. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
B9. From the work assignment form, Item 2, enter the work assignment numbei
in the WA NUMBER field.
BIO. From the work assignment form, Item 3, enter the last two digits of the
amendment number in the W/A AMEND NBR. field.
Qi Non-Site Specific Incidents
CI. Access main menu for data entry and choose non-site/incident.
C2. Select non-site/incident screen from the non-site menu.
C3. Enter 'A'to add a new record.
C4. Enter Region number.
C5. Enter activity type and press enter.
C6. Enter activity lead.
C7. Enter current FY.
C8. Enter any activity comment.
C9. Confirm the activity.
G-14
-------
OSWER Directive 9200.3-01D
CIO. Enter 'A' to add financial information and enter Region, activity type
including the sequence number and press enter.
CI 1. Enter financial type 'H' a positive work assignment amount, or 'W' for a
decrease (negative work assignment amount).
CI2. Enter 'TES05', 'TES06', etc., for the TES contract number.
CI3. Enter an 'E', 'R', 'V', or 'L' based on Funding Source.
C14. Enter the estimated number of sites expected to have TES work assignments
against the generic obligation in the NBR SITES field.
C15. From the work assignment form, Item 14, enter the CO signature date in
the FIN. DATE field.
C16. From the work assignment form, Item 11, enter the financial amount.
C17. Enter the six digit work assignment number from the TES work assignment
form in the IAG/WK ASGN field.
C18. Enter the last two digits of the amendment number from the TES work
assignment form in the IAG/WK ASGN AMEND field.
G-15
-------
OSWER Directive 9200.3-01 D
APPENDIX H
NPLBOOK
-------
PETRO-CHEM
TEXAS
EPA ID# TXD 980873350
Site Description
REGION 6
CONGRESSIONAL DIST.
Liberty County
7 miles north of Interstate 10
Aliases: Turtle Bayou
02
This 312-acre tract is located in a rural area south of Liberty, Texas. Until 1973, Petro-Chemical
Systems, Inc. disposed of waste oils and other petrochemicals sludges at the site. Operators
stored waste oils in three unlined pits on about 5 acres of land north of Frontier Park Road. Other
waste disposal areas were located along the south side of Frontier Park Road. The locations and
types of waste materials are still not fully known. Workers also spread waste oils on the site roads
to control dust. Waste disposal and road oiling were discontinued in 1973, and the oil pits were
covered. The facility's waste disposal permit was revoked in 1974. The land was developed
and subdivided into residential properties ranging from 5 to 15 acres. As many as 11 families
have lived in the subdivision. The nearest drinking well is 1,900 feet away and numerous shallow
wells supply drinking water to area residents. Turtle Bayou flows through the site.
Site Responsibility: The site is being cleaned up through a
combination of Federal and State action.
Resources Affected
Streams
Agricultural Land
Residential Development
Threats and Contaminants
2H
EPA found the groundwater to be contaminated with volatile organic chemicals
(VOCs), including methylene chloride and toluene. The soil is also contaminated
with VOCs, petrochemicals (such as chrysene and fluorine) and petrochemical
sludges, lead and waste oils. Nearby residents risk exposure through direct
contact with contaminated soil and groundwater. Residential wells sampled in
1984 showed the presence of some VOCs, but
these compounds were not detected when
the wells were resampled later that year.
People using the unpaved road (riding,
walking) could be exposed to contaminants
through accidental ingestion, skin contact and
breathing contaminated air.
Cleanup Status
This site is being cleaned up in three stages: an immediate action and two remedial operable
units focusing on cleaning Frontier Park Road and the remaining contaminated site areas.
Response Action Summary
Immediate Action: As an initial action, in May 1986 EPA installed a fence to restrict
site access and limit the potential for residents to come into contact with contami-
nated areas.
Draft February 1990
NPL HAZARDOUS WASTE SITES
continued
-------
PETROCHEMICAL
Frontier Park Road: The remedy selected by EPA included (1) excavating and
removing about 4,000 cubic yards of highly contaminated soil from Frontier Park Road
and backfilling with clean soil; (2) building a road over the excavated areas and
existing roadway to provide access to site areas; (3) temporarily storing contaminated
soil on site in a federally approved disposal vault until final site cleanup begins; and (4)
temporarily relocating on-site residents during construction. The road site was excavated,
backfilled, and rebuilt in asphalt. The contaminated materials are stored in a double-lined on-
site facility awaiting final disposal. EPA workers improved drainage in the area and
reconstructed the Turtle Bayou crossing. The two families temporarily relocated by EPA and
FEMA have returned to their homes. All work was completed in October 1988.
S Remaining Site Areas: The Texas Water Commission is studying the remaining areas
both on and off site, e.g. areas where wastes have been deposited or contaminants
may have migrated. The study, expected to be completed in 1990, will determine the
nature and extent of site contamination and provide alternatives for EPA selection of a
final cleanup remedy.
Environmental Progress: With the cleanup actions described above, the EPA has greatly
reduced the potential for accidental contact or exposure to contaminated soil and dust along
Frontier Park Road. The two families temporarily relocated during the cleanup have returned to
their homes, and Turtle Bayou again flows freely across the area.
Draft February 1990 NPL HAZARDOUS WASTE SITES
-------
APPENDIX I
ENVIRONMENTAL INDICATORS
OSWER Directive 9200.3-01 D
-------
A/I^ri!^ Arhipvprl fnr TnrliViitnr A
1. ~ JB. WVซ*M. VJVMIU i AV111V T vVi I "I i" 5 VS. ฃ ri
Medium at Site:
Soil (includes
liquid and solid
waste)
Groundwater
Surface Water
YES
YES
Fully Achieved 1
YES
Partially 1
' ^
Achieved 1
Hive
Remedial or Removal
Actions completely
addressed
all goals' established
in the ROD(s) for this
medium
?
Have
Remedies Applied
in Remedial or Removal Actions
Resulted in the Final Cleanup' of a Specified
Area of Contamination for this Medium Even
Through other Areas of Contamination fo
this Medium Remain to be
Addrcsseed
1
al Cleanup
tlnal Cleanup
Underway
No Progress for
Indicator A
Goal - Establismenl of cleanup objectives and! or health based or ecological based criteria defining "final
cleanup' for a specific operable unit or phase of a remedial action.
Final Cleanup - no further action required' health/ecological based criteria (if app liable) and cleanup
objectives for or,or ore operable ur.it: or clear.zp phases have been satisfied.
i.e. Actual treatment, containment, or removal of contaminated material.
March 9, 1990
-------
Goals Achieved for Indicator B
Have
Interim Remedial or
Removal Actions Achieved
"Inmcdiatc Exposure
Reduction"
YES
Immediate
Exposure
Reduction
NO
Have
Interim Remedial or
Removal Actions Achieved
"Partial Exposure
Reduction"
YES
Other
Exposure
Reduction
NO
No Progress
for Indicator U
/ - immediate exposure reduction include* fencing, alternate water tuply and population relocation.
2 - Partial exposure reduction includci temporary on-lite or off-site storage, soil cover, backfilling, dmmming/overpacking, and surface water diversion.
March 9, 1990
-------
Goals Achieved for Indicator C
KUmmhuIiIi;
Be^n
Handled
Nป I'ro^ress
for Indicator C
March IWO
-------
OSWER Directive 9200.3-01 D
APPENDIX I
RA PRIORITIZATION FACT SHEET
-------
Proposed Fact Sheet Summary for Prioritizing Remedial
Action Projects
Region State Site Op Unit
Description of Project Remedy.
Projected Completion Date for Remedial Design.
Projected Date for Completing Negotiations with Potentially Responsible
Parties on Remedial Design/Remedial Action.
Cost Estimate for Remedial Action.
Projected Start Date for Remedial Action.
Projected Contractor for Remedial Action:
ARCS COE State Other
Priority Categories
Priority 1: Immediate and/or Imminent Threat
1A Immediate and/or Imminent Threat to Human Health Yes No
Priority 2; Actual or Potential Exposure Under Current Conditions
2A Pathway Complete Under Current Conditions to Human Intake. Yes No_
2B Pathway Complete Under Current Conditions to Significant
Environment. Yes No_
2C Potential for Exposure Pathway to be Complete to Human Intake
Under Current Conditions. Yes No_
2D Potential for Exposure Pathway to be complete to Significant
Environment Under Current Conditions. Yes No_
Priority 3: Potential Exposure Under Future Conditions
3A Pathway May Become Contaminated and Be Complete to Human
Intake Under Future Conditions. Yes No_
3B Pathway May Become Contaminated and be Complete to
Significant Environment Under Future Conditions. Yes No_
COMMENTS
APPROVAL, DIVISION DIRECTOR DATE
-------
PROPOSED PACT SHEET FOR REMEDIAL ACTION PROJECTS
1. Region. 2. State.
3. Project Name.
4. CERCLIS Information:
Operable Unit No. First/Subsequent Start Code
5. Record of Decision Date.
6. Recent Cost Estimate arid Basis for Estimate.
7. Briefly Describe Problem Addressed by Project.
8. Briefly Describe Proposed Remedial Action (RA).
9. Remedial Design Completion (95%) Date.
10. Superfund State Contract Date.
11. Project Access for Remedial Action.
Enforcement Activity
12. Was Special Notice invoked? Yes No
13. Did negotiations occur with liable and financially viable
Potentially Responsible Parties (PRPs) for their conduct of the
remedial design and remedial action (RD/RA)? Yes No
14. Are negotiations with PRPs continuing during the Superfund-
financed remedial design? Yes No
a. If Yes, what is the potential for settlement?
b. If No, are additional negotiations anticipated prior to
Superfund-financing the remedial action?
-------
2
Enforcement Activity continued.
15. Does the project meet requirements for issuance of an
Unilateral Administrative Order (UAO) prior to Superfund-
financing the remedial action? Yes No
If No, explain why.
16. Which media (pathways) are addressed by this RA? (Check
those that apply) Groundwater Surface water Air
Surface Contamination (include Soils)
Priority 1
17. Describe why the project meets the condition for Priority 1
which is an immediate and/or imminent threat to human health as
determined by EPA or by a Public Health Advisory from the Agency
for Toxic Substances and Disease Registry (ASTDR).
18. Briefly describe which of the following situations (18A-F)
apply to the project.
Priority 2
18.(A) Pathway is contaminated above a human health standard or
accepted risk range and under current conditions pathway is
complete to human intake.
1S.(B) Pathway is contaminated above an environmental standard
and under current conditions pathway is complete to a significant
environment.
lEt.(C) Pathway is contaminated above a human health standard or
accepted risk range and not yet complete to human intake but
under current conditions pathway could become complete.
18.(D) Pathway is contaminated above an environmental standard
and not yet complete to a significant environment but under
current conditions pathway could become complete.
-------
3
Priority 3
18.(E) Pathway may become contaminated above a human health
standard or accepted risk range and under future conditions the
pathway will be complete to human intake.
18.(F) Pathway may become contaminated above an environmental
standard and under future conditions the pathway will be complete
to a significant environment.
ATSDR Health Assessment
19. Describe recommendations from ATSDR full (not preliminary)
Health Assessment for projects in Priorities 2 and 3.
Risk of Contaminant
20. Summarize baseline risk assessment for primary contaminant(s)
driving the project cleanup.
20.(A) Contaminant Name(s).
20.(B) Carcinogen Risk Range: Chemical
20.(C) Carcinogen Risk Range: Radionuclid
20.(D) Non-carcinogen hazard index.
20.(E) ARARs Exceeded.
20.(F) Concentration of contaminant on and off project site and
the standard to which concentration is compared.
-------
4
Risk of Contaminant continued
20.(G) Volume: quantity of contamination to be addressed.
21. Other relevant risk information.
22. List other contaminants if relevant.
Stability
23. Media contaminated.
24. Groundwater classification if applicable.
25. Mobility of Contaminant(s): include rate of movement and
location of the contaminant's leading boundary.
26.. Describe any condition that is currently causing or may cause
the project site to be unstable (i.e. fractured bedrock or
crumbling lagoon wall).
27. Describe physical or institutional controls which prevent
contaminant from contact with receptor.
-------
5
Population Exposed
28. Distance from contamination to nearest exposed population.
29. How many people are currently exposed or will be exposed in
the future under reasonable assumptions.
30. What is the sensitivity of the population (i.e. children, the
elderly)?
Threat to a significant Environment.
31. Name of Federally Designated Endangered Species.
32. Describe the sensitive environment or other significant
environment threatened, and any designation given this
environment by the Federal government or others. (For example, is
it an estuarine sanctuary or a national park.
33. Who determined that an endangered species, sensitive
environment or other significant environment is or will be at
risk because of the project. What were their recommendations?
Program Management
34. Relationship of project to other operable units.
35. Cost of Delay.
36. Describe innovative technology proposed for project cleanup.
35. Other program management considerations.
------- |