OSWER Directive 9200.3-14-1G-Q
Superfund Program Implementation Manual FY 04/05
Table of Contents
Appendix D (cont'd)
r. Cleanup Goals Achieved D-22
s. Federal Facility Five-Year Reviews D-23
t. Federal Facility Partial NPL Deletion D-23
u. Federal Facility Final NPL Deletion D-24
D.B.3 Community Involvement Definitions D-25
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) D-25
b. Technical Assistance Grants (TAGs) this section is pending review by OGC and EPA
GRANTS D-26
c. Technical Outreach Services for Communities (TOSC) D-27
D.C. SUBJECT MATTER EXPERTS D 27
APPENDIX E - Information Systems
E.A Information Systems E-1
E.A.I The Purpose of WasteLAN E-l
a. Site Assessment E-l
b. Remedy Selection E-2
c. Federal Facilities E-3
d. Community Involvement E-3
e. Removal E-4
f. Enforcement E-5
g. Project Management E-6
h. Program Management E-6
E.A.2 Superfund Data Architecture E-7
E.A.3 Reporting Superfund Information E-8
WasteLAN Users E-9
E.A.4 Applicability of the Freedom of Information Act E-10
a. Reports Releasable under Freedom of Information Act (FOIA) E-10
b. Sensitive Information Not Releasable under FOIA E-10
c. Ad Hoc Reporting E-l3
d. Accessing FOIA Information E-l4
E.A.5 Data Owners/Sponsorship E-15
E.B DATA SPONSORS E-l6
APPENDIX F - Oil Pollution Prevention and Response Program is no longer included in the SPIM. Oil
program now assigned to CEl'l'OOERBHL
101817
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OSWER Directive 9200.3-14-1G-Q
Superfund Program Implementation Manual FY 04/05
List of Exhibits
APPENDIX E
EXHIBIT E-l SUPERFUND DATA ARCHITECTURE E-8
EXHIBIT E.2 DATA SPONSORS E-16
APPENDIX F - Oil Pollution Prevention and Response Program is no longer included in the SPIM. Oil
program now assigned to CEPPOjOEPPR.
APPENDIX G
EXHIBIT G.l SUBJECT MATTER EXPERTS G-7
APPENDIX H
EXHIBIT H.l COMMUNITY INVOLVEMENT REQUIREMENTS H-5
EXHIBIT H.2 CIOC HQ AND REGIONAL ROLES AND RESPONSIBILITIES H-12
EXHIBIT H.3 SUBJECT MATTER EXPERTS H-13
APPENDIX J
EXHIBIT J. 1. TRIBAL INVOLVEMENT ACTIVITIES J-3
EXHIBIT J.2. SUBJECT MATTER EXPERTS J-6
APPENDIX M
EXHIBIT M. 1 REMOVAL ACTION ACTIVITIES M-l
EXHIBIT M.2 SUBJECT MATTER EXPERTS M-6
Ajiril 23, 206*4
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OSWER Directive 9200.3-14-1G-Q
MANAGERS' SCHEDULE OF SIGNIFICANT EVENTS
CERCLIS/WasteLAN is the official repository for Superfund data. Data are expected to be kept
complete, current, and consistent in order to be readily available for routine, unexpected, and
immediate needs.
FY 04
OCTOBER 2003 OUARTER 1 (FY 04)
2'
The AAs and OC approve the first and second quarter AOA
7
HQ pulls national environment indicators (EI) data from WasteL.AN
7
HQ pulls 4th quarter FY 03 accomplishment data from WasteLAN and provides for:
1) Special program reports and
2) Initial FY 03 end-of-year Program Assessment
7
HQ pulls 4th quarter FY 03 accomplishment data from WasteLAN for review of end of year
accomplishments and inclusion in Annual Performance Report.
7
HQ pulls WasteLAN data to assist in preparation for FY 04 work planning.
Mid
HQ/Regions begin work planning sessions on the final FY04 GPRA Annual Performance Goals and
Program Targets/Measures and budget.
NOVEMBER 2003
TBD
SF National Policy Managers Meeting
TBD
AA/RA Priorities Meeting for FY 05
4-6
Superfund Focus Forum (SFF) - San Antonio, TX
15
Regions submit draft deobligation plans to OERR and OSRE
Late
OMB passback of FY 05 budget request
DECEMBER 2003
Late
Nov/
Early
Dec
HQ appeal of the OMB FY 05 budget passback
'Dependent on approval of final appropriations.
Change 1, FY 04/05 SPIM
September 22, 2003
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OSWER Directive 9200.3-14-1G-Q
JANUARY 2004 OUARTER 2 (FY 04)
8
SCAP Pull for First Quarter FY 04 accomplishments - 5,h working day of the month
Mid
Headquarters sends memorandum to regions on final budgets, GPRA annual performance goals, and
program targets/measures.
Mid
Regions revise WasteLAN to reflect final negotiated budget and GPRA performance goals and
targets/measures.
FEBRUARY 2004
Early
HQ submits FY 05 Annual Performance Plan (budget request) to the President
20
HQ distributes FY 03 EI analysis to HQ/Regional managers
MARCH 2004
5
HQ pulls data from WasteLAN for 3rd quarter AOA for FY 04
22
HQ submits 3rd quarter AOA request to the AA/SWER and places it in WasteLAN
29
Regions input AOA into IFMS
TBD
Headquarters publishes Annual Performance Report for FY 03
APRIL 2004 OUARTER 3 (FY 04)
5
The AAs and OC approve the 3rd quarter AOA
7
HQ pulls accomplishment data from WasteLAN and provides for:
1) Special program reports; and
2) Mid-Year Work Planning evaluation
7
HQ pulls national environmental indicators (EI) data from CERCLIS
TOB16
NPMs issue consolidated guidancctyatipnatePro for FY 05-06
MAY 2004
7
HQ analysis of Regional pipeline (upcoming year and one year out) and historical performance
trends
14
HQ program offices characterize and submit their FY 05 program initiatives to the Regional
Administrator.
ii
li|ng^pfei04/0i|®
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OSWER Directive 9200.3-14-lG-<
Q
MAY 2004 (cont'd)
28 HQ program offices meet with the Administrator to review FY 05 program goals
28 HQ-'SendSimemoranaumite^Regions on
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OSWER Directive 9200.3-14-1G-Q
JULY 2004 (cont'd)
12-16 HQ program offices and lead Regions make presentation to Administrative/Deputy Administrator
on FY 06 program priorities [FY 04 Budget Forum]
Mid HQ®egibhs;begin:work-splahriing(sessioris?6n«tKe4fihalip^i05iGER&anriuai|peFfonTiariGfe;%6aisjand
prp'framttarpets/measur^^ndabjudget
19-23 Regional conference call on HQ analyses
Late Administrator passback of FY 06 budget request
AUGUST 2004
Mid HQ develops FY 06 budget for submission to the Office of Management and Budget (OMB)
6 HQ pulls WasteLAN data to assist in preparation of the FY 06
+5 IIQ sends memorandum to Regions on proposed budgets and GPRA annual performance goals and
program targets/measures
Late HQ develops strategy for presenting the FY 06 budget to OMB
TBD Final revisions to FY 06 APGs and APMs due to OCFO
SEPTEMBER 2004
1 (M|®commi tments-due:to©(SFQ
Early HQ submits FY 06 budget to OMB
8 HQ pulls data from WasteLAN for first quarter FY 05 AOA
Mid HQ performs Final FY 05 Full Time Equivalent (FTE) distribution
20 HQ submits FY 05 first quarter AOA request to the AAs and places it in WasteLAN
271 Regions input AOA to IFMS
1 Dependent on approval of final appropriations.
April 23; 2004 iv
limpidM^/ol§SP
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OSWER Directive 9200.3-14-1G-Q
FY 05
OCTOBER 2004 OUARTER 1 (FY 04)
4'
The AAs and OC approve the first and second quarter AOA
7
HQ pulls national Environment Indicators (EI) data from WasteLAN
7
HQ pulls 4lh quarter FY04 accomplishment data from WasteLAN and provides for:
1) Special program reports; and
2) Initial FY 04 end-of-year Program Assessment
7
HQ pulls 4,h quarter FY04 accomplishment data from WasteLAN for review of end of year
accomplishments and inclusion in Annual Performance Report
7
HQ pulls WasteLAN data to assist in preparation of the FY 05 work planning.
Mid
HQ/Regions begin work planning sessions send s^memoraM ions on the final fjufgetii^FY
85-GPRA annual performance goals and program targets/measures and budget
Mid
^eaons:revise;.WasteLANrt%eflge.tffinal-:ite'g6i!ia.t!ea?budg^arid.€}B^^rerf6rniance^gbals.a'nd
targe|s/measures
NOVEMBER 2004
TBD
SF National Policy Managers Meeting
2-4
Superfund Focus Forum (SFF) (tentative dates)
15
Regions submit draft FY 05 deobligation plans to OERR and OSRE
Late
OMB passback of FY 06 budget request
TBD
AA/RA Priorities Meeting for FY 04
DECEMBER 2004
Late
Nov/
Early
Dec
HQ appeal of the OMB FY 06 budget passback
IDependent on approval of final appropriations.
C^g|||iRY-0®5?§raM V April f^2QCk
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OSWER Directive 9200.3-14-1G-Q
JANUARY 2005 OUARTER 2 (FY 05)
7
SCAP Pull for First Quarter FY 05 Accomplishments - 5lh working day of the month
x a: a
i vi 1U
IIQ sends memorandum to regions on final budgets, GPRA annual performance goals, and program
targets/measures.
X Ml J
TvTiu
Regions revise WasteLAN to reflect final negotiated budget and GPRA performance goals and
targets/measures.
FEBRUARY 2005
Early
HQ submits FY 06 Annual Performance Plan (budget request) to the President
5+22
HQ distributes FY 04 EI analysis to HQ/Regional managers
MARCH 2005
7
HQ pulls data from WasteLAN for 3rd quarter AOA for FY 05
21
HQ submits 3rd quarter AOA request to the AA/SWER and places it in WasteLAN
28
Regions input AOA into IFMS
TBD
Headquarters publishes Annual Performance Report for FY 04
APRIL 2005 OUARTER 3 (FY 05)
7
The AAs and OC approve the 3rd quarter AOA
7
HQ pulls accomplishment data from WasteLAN and provides for:
1) Special program reports; and
2) Mid-Year Work Planning evaluation
7
HQ pulls national Environmental Indicators (EI) data from CERCLIS
TBD
NPMs issue consolidated guidance for FY 06-07
Apnj 23, 2004
VI
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OSWER Directive 9200.3-14-1G-Q
MAY 2005
6
HQ analysis of Regional pipeline (upcoming year and one year out) and historical performance
trends
16
HQ program offices characterize and submit their FY04 program initiatives to the Regional
Administrator
M
HQ^sendsrnemorandum'tojRegionson proposed>budRetsand.(jPRA;annuaUperformance goals-and
{KogramftargeXs/meausres
31
HQ program offices meet with the Administrator to review FY 06 program goals
Late
Annual Goal Team Meetings with Deputy Administrator on FY 05 progress and FY 07 priorities
Late
Superfund Focus Forum (technical)
JUNE 2005
3-27
Regions generate their plans for FY 06 and FY 07 by ensuring updated schedules and financial
information in WasteLAN
7
HQ pulls planning information from WasteLAN:
1) for fourth quarter AO A; and
2) to support FY 06 and FY 07 budget request
7
HQ pulls financial data for analysis of Regional obligation/commitment rates
7
HQ presents FY 06 Superfund goals and priorities and FY 07 investments to the Administrator and
Regional Administrators
13
Administrators and OC provide HQ program offices and Regions with policy for FY 07 budget
formulation
20
HQ submits 4lh quarter AOA request to the AAs and places it in WasteLAN
27
Regions input AOA to IFMS
JULY 2005 OUARTER 3 (FY 05)
5
1
The AAs and OC approve the 4"' quarter AOA
H©spulls*plannine lnformatiolMro^
l#foi fourth. q uarter?A0A'tfand
3)|to;prepare' tor"FY06 Workplanning
(DBangeS^EYjQ4y,Q5ISFIM vii April 23.V2(KH
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OSWER Directive 9200.3-14-1G-Q
JULY 2005 (cont'd)
8 Enforcement provides:
1) Special program reports; and
2) 3rd quarter performance evaluations
Early HQ offices submit proposed FY 07 budgets
11-15 HQ program offices and lead Regions make presentations to Administrative/Deputy Administrator
on FY 07 program priorities [FY 07 Budget Forum]
Mid H©i®egibnsjbegin work»planriingiSessions bh-tneahd
proCTamrtargets/measuresjandtbuaget
18-22 Regional conference call on HQ analyses
Late Administrator passback of FY 07 budget request
AUGUST 2005
5 HQ pulls WasteLAN data to assist in preparation of the FY 07 budget
15 IIQ sends memorandum to Regions on proposed budgets and GPRA annual performance goals and
program targets/meausres
Mid HQ develops FY 07 budget for submission to the Office of Management and Budget (OMB)
Late HQ develops strategy for presenting the FY 07 budget to OMB
SEPTEMBER 2005
;1 GgRflfcommU
Early HQ submits FT 07 budget to OMB
7$ HQ pulls data from WasteLAN for first quarter FY 06 AOA
Mid HQ performs final FY 06 Full Time Equivalent (FTE) distribution
19 HQ submits FY 06 first quarter AOA request to the AAs and places it in WasteLAN
26' Regions input AOA to IFMS
1 Dependent on approval of final appropriations.
viii
Change' 3". FY 04/05 SHIM
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OSWER Directive 9200.3-14-1G-Q
EXHIBIT II.2
HQ/REGIONAL INTEGRATED PLANNING RESPONSIBILITIES
Manage projects to integrate Enforcement and Fund
milestones and to ensure schedules and time lines are
met
Involve the State, ORC, and Finance offices in the
planning process
Provide accurate, complete, and timely project
planning data in WasteLAN
Follow established planning procedures and
requirements so that HQ has a common basis with
which to evaluate Regional proposals (See Chapter
III and the Appendices)
Assess Federal agencies environmental projects
identified as part of the Office of Management and
Budget (OMB) Circular A-l 1 process and the Federal
Agency Environmental Management Program
Planning Guidance (FEDPLAN)
Identify multi-media planning and cleanup
opportunities
Achieve program commitments
Improve program efficiency by identifying potential
unused funds and return them to HQ within
reasonable time frame for redistribution
Establish a combined Fund, Enforcement, and Federal facilities hierarchy
of program priorities in consultation with the Regions to be used in work
planning and adjustment of targets
Review integrated operating plans and site commitments proposed by the
Regions prior to work planning
Coordinate OSWER, OECA, IDOJ, Financial Management Division
(FMD), and the Office of Administration and Resources Management
(OARM) activities throughout the planning process
Work with Regional managers to formulate preliminary resource requests
and determine how resources should be adjusted to meet program
priorities
Communicate with the Regions on changes/additions to schedules
Provide funding consistent with each Region's active pipeline phases,
shifting Regional resources if needed to support priority activities
Develop policy and guidance in response to Congressional or Agency
initiatives
II.D.2 Superfund Information Systems
Effective management of the Superfund program requires the availability of accurate information on Superfund sites
throughout the country. CERCLIS was developed in the mid-1980s as an integrated system to hold national site
assessment, remedial, removal, enforcement, and financial information. In FY 97, all Regions began using the third
generation of CERCLIS, now called WasteLAN, to record Superfund planning and accomplishment information. (See
Appendix E for more information on WasteLAN)
II.E OVERVIEW OF THE PLANNING PROCESS (SCAP)
The SCAP process generates data that fulfill the following functions:
• Tracking of accomplishments against GPRA annual performance goals and measures and program targets;
• Updating planning assumptions (schedules and funds) for the current FY;
FY 04/05 SPIM
II-5
April 7, 2003
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OSWER Directive 9200.3-14-1G-Q
• Developing planning data for the upcoming FY; and
• Providing data for out year budget planning purposes.
The SCAP planning process follows a semi-annual work planning schedule. The cycle begins in late March/April
with a review of program progress and ends with a formal work planning session in Oetobcr/I'fovcmberfui^^ugusf.
Therefore, it is essential that planning and accomplishment data in WasteLAN remain current and up-to-date throughout
the year and accomplishments be reported as soon as they occur. Site schedules and financial planning information should
be reviewed and updated on an ongoing basis (at a minimum on a monthly basis). Note: All sites should be planned out
through the deletion date as early as possible. By the time of the completion of a ROD, a site should have all planned
dates entered into WasteLAN. As conditions change, the dates should be updated accordingly.
Following is a summary of the SCAP planning cycle for non-Federal facilities:
II.E.l Planning Year
• Third Quarter - Regions continue their site planning using WasteLAN. The Regions should focus on their individual
pipeline, the overall goals and priorities of the program as identified in the GPRA annual performance plan, and how
they can achieve their portion of the national effort given proposed resources. In Augustljflay, HQ issues a Call
Memorandum that outlines the process and the procedures for the upcoming work planning sessions. The
memorandum will include the finalized AOA structure, GPRA annual program performance targets and procedures
to be used for developing the upcoming year's operating plan.
• Fourth Quarter - HQ pulls actual data for the current fiscal year and planning data for the next two FYs from
WasteLAN on the fifth working day in SeptemberjiSly,.
Regions can assume in FY 04 that their removal budget will be held at the same level as FY 03 and is unaffected
by this proposal. Also, funding for a new start and on-going remedial actions will be unaffected by this proposal.
OSRTI reviews the CERCLISAVasteLAN data and begins to develop a funding plan for the Remedial Action Advice
of Allowance (AOA). OSRTI also uses these data to develop a draft Pipeline Operations AOA allocation that the
regions use to develop initial pipline-related targets for the upcoming year. Because a reorganization at the
headquarters level for managing the removal and homeland security programs is underway at the time of this writing,
the process for planning for these programs will be revised and the SPIM updated during FY 2004.
OSRE allocates the initial operating budget for technical enforcement for the upcoming fiscal year based on each
region's share of the usage rate for enforcement activities. Legal enforcement funds are allocated equally between
all ten regions. See Chapter 3 Section C for a more complete discussion on how funds are allocated.
• October/Novanbeif^ly^ugTtst - Regional work planning sessions will establish Regional budgets and targets (mid-
year and end-of-year) and the operating plan (base budget plus increment) for the fiscal year.
Aprim,2004 II-6 |fi|ttg6^^f^(^05jSPIIvl
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OSWER Directive 9200.3-14-1G-Q
II.1.1 Planning Process
Exhibit II.5 outlines the steps a Region must go through as part of its work planning responsibilities.
As a final check to ensure that planning data are current, complete, consistent, and accurate, Regions should routinely
generate SCAP, Enforcement, and Audit reports. At an absolute minimum, reports should be generated prior to HQ
development of the proposed operating plan and in late June for internal review of the planning data in WasteLAN. These
planning data should reflect any adjustments made to the annual plan.
As designated, HQ pulls SCAP and Enforcement reports from WasteLAN. The data in these reports serve as the basis
for HQ/Regional work planning. HQ will perform all work planning sessions based on the information in WasteLAN on
these pull dates.
EXHIBIT II.5
PROCEDURES FOR FY 04/05 TARGET SETTING
mmmaf •/
^p5^KaRegional®esponsibilities«jg®SW
December/
January
Distribute draft SPIM for review and comment
April/May
Consult with States and ORC on FY activities
Prepare program and enforcement Regional operating
plan based on average Regional obligations/tasking in
the current year, projections for the upcoming years,
and considering prior year expenditures.
Analyze Regional pipelines
May/June
Update site schedules and funding needs based
on plan, Regional pipeline, and national goals
and priorities
IssIi^Cali'^erhbranyum
process andipi^eduresffoKwork'planningsessions
July/August/
September
Identify primary candidates for each
target/measure activity by checking the target
icon box on the Regional Planning screen.
• Primary projects have the greatest
likelihood of meeting schedules and are
used to determine SCAP commitments.
Participate in HQ conference calls on analysis
of Regional plan
Enter proposed commitments for work
planning. Primary candidate counts become
the basis for commitments once target lockout
is selected. These counts can be modified and
non site specific target/measure activity counts
can be added via the Regional Planning
estimates/targets screen.
Participatc-in ..work-planninrsessionsjo
establish finajjtargetsandbudgct.'
Review Regional plans in WasteLAN and pipeline
workload and budget
Review past Regional accomplishments and planned
durations/dollars
Review Regional requests for budget reserve
Conduct Regional conference calls on the results of the
analyses
Earticipateunj.workTplannmg sessionsfto;establish.final
- —
targe ts'andvbuaget
piand foi woik planning s^ssion^
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OSWER Directive 9200.3-14-1G-Q
feifegv^QHQtResponsibihtiesSr-®
October/
November
Participate in work planning sessions to
establish final targets and budget.
Participate in one day national meeting to
communicate commitments and allocation of
Regional funds based on national GPRA
commitments
Update primary candidate designations and
budget data as necessary based on results of
work planning sessions.
Participate in work planning sessions to establish final
targets and budget.
Participate in one day national meeting to
communicate commitments and allocation of Regional
funds based on national GPRA commitments
November
Revise targets during open season based on
appropriations
Revise Regional Enforcement operating plans
Revise Regional Response Operating Plans
WasteLAN data quality problems that affect the SCAP report update shall be resolved prior to the work planning
meetings. These problems are to be resolved on a Region-specific basis through telephone calls between HQ and the IMC
or program manager.
II.1.2 WasteLAN Reports for Planning/Target Setting
Exhibit II.6 presents the WasteLAN reports used by HQ and the Regions in the establishment of Regional
targets/measures. Following is a description of these reports:
• The Site Summary Report (SCAP-02) is used by EPA to display enforcement sensitive WasteLAN data for NPL and
non-NPL sites.
• The Response Financial Summary Report (SCAP-04R), Federal Facility Financial Summary (SCAP-04F), and
Enforcement Financial Summary Report (SCAP-04E) aggregate dollars by program area and provide both site-
specific and non-site specific backup from WasteLAN. These reports should be used to compare the funding requests
with the Regional budgets.
• The Site Assessment Report (SCAP-13) is used by EPA for reporting estimates, plans, and accomplishments for
SCAP measures. The information provided by this report is used in conjunction with the SCAP-14 report to
encompass the entire range of targets and measures.
• The Superftind Accomplishments Report (SCAP-14 and 14F) is used by EPA to track targeting, planning, and
accomplishment actions in support of the Response, Enforcement, and Federal Facility programs.
• The GPRA Report (SCAP-15) is used by EPA to track GPRA performance goals and measures in support of the
Response program.
• The Reconciliation (SCAP-14 Audit) Report (SCAP-16) is used to extract all potential candidates for a SCAP-14
category and provide the user with the ability to determine the way in which the action will be selected or eliminated
based on the values or lack of values in the Select Logic columns.
11-13
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OSWER Directive 9200.3-14-1G-Q
Maintaining the Planning Estimates/Targets
Regions are responsible for initiating the work planning process and for entering the preliminary and final targets into
WasteLAN. Prior to work planning sessions with HQ, Regions can use the Regional Planning screen to identify which
sites meet the planning logic as potential accomplishments for the upcoming FY. From this universe of sites (shown in
red as Planning Data on the Regional Planning screen), Regions can identify primary candidate sites— those that are most
likely to be accomplished. After identifying primary candidates (shown in blue on the Regional Planning screen), the
Regions can then use the target lockout feature found on the Regional Planning screen to copy the primary candidate
number to the Planning Estimates/Targets screen. This number is used as a starting point in identifying the Region's
planning estimates/targets during work planning sessions. After work planning sessions are completed, Regions use the
Planning Estimates/Targets screen to make any necessary changes. Once changes have been made and final
targets/planning estimates are reviewed by HQ, HQ will "lock out" Regions (i.e. Regions will not be able to make any
changes to these numbers). This final number is shown in red on the Accomplishments Tracking screen as the Planning
Estimates/Target number. During the FY if changes have been made to the number of target commitments approved, HQ
will "unlock" the target numbers allowing the Region to make the approved change(s), and then "relock" the screens.
In general, HQ does not require site-specific targeting. The four exceptions are Pipeline Operations AOA targets,
Cost Recovery actions at sites with potential Statute of Limitations (SOLs) so lhat they will be addressed prior to the
expiration of the SOL, de minimis settlements, and PRP Oversight Administration for each enforcement agreement.
Changes to sites identified as targets for the latter three measures require HQ approval.
II.M SPECIAL REPORTING TOPICS
II.M.l Site Assessment
As the nature of site assessments change, new reporting and accountability challenges to accurately portray the extent
of State, Federal, and local government site assessment activities need to be addressed. Traditional CERCLA-reported
site assessment accomplishments, including integrated assessments, should continue to be entered into WasteLAN when
they occur. As Regions provide States flexibility in Cooperative Agreement applications and work plans by expanding
the definition of types of assessment activities to be performed, the States also need to be accountable for the activities
performed and provide quarterly or annual reports of the number of sites assessed, types or nature of assessments
performed, and assessment results. Management systems at the State and probably Federal level will be needed to provide
the accountability necessary and, also, to identify program accomplishments. II.M.2 Dasc Closure
II.M.2 Base Closure
EPA is providing resources to support the President's Fast Track Cleanup program. To facilitate EPA's justification
of these resources, Regions are required to support several data points for closing bases. WasteLAN has been modified
to include these items.
II.M.3 Pre-SARA Sites Initiative
The Superfund program has developed a Pre-SARA site initiative to promote the resolution of issues which have
delayed the completion of construction at hundreds of sites across the country. Prior to the enactment of the Superfund
Amendments and Reauthorization Act of 1986 (October 16,1986), EPA listed 711 sites (including 4 Federal facility sites)
on the National Priorities List. At the end of FY 2002, there were 203 Pre-SARA sites not yet construction complete or
deleted (including one RCRA deferral site). OSRTI is now considering a tracking system to supplement WasteLAN,
containing narrative information submitted by the Regions on the causes of delays over the past 1 to 2 decades, the
obstacles which remain to completing the sites, and the Region's plan of action to overcome site-specific obstacles.
mmm
11-20
W.seM
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OSWER Directive 9200.3-14-1G-P
EXHIBIT 11.10
CODING OF TAKEOVERS
spps?
isBakeo.YerjS|
to* K&
llllllll
iitemm
imimm
piliftll
llSiS®
SraMMi
mammms
iGiaiigl
flndicatorJSa
!f§ll
01
Combined
RI/FS
i
F
8/1/97
9/1/97
TO
Fund-financed
Action being
taken over by
PRPs
01
PRP RI/FS
i
RP
9/1/97
12/1/97
TT
PRP Action
initiated and
taken over by
Fund
01
Combined
RI/FS
2
F
12/1/97
TN
Fund-Financed
Action initiated
I I.N. 5. Anomalies and Phased Projects
Anomalies are those projects that do not fit the normal definitions of pipeline actions. Anomalies can be those projects
that 1) do not receive SCAP credit, but still need to be tracked, or 2) occur out of the ordinary pipeline progression.
@j^^SliilSlmalK
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OSWER Directive 9200.3-14-1G-Q
AAA GPRA AND SITE ASSESSMENT
Goal 5, Objective 1, Subobjeetive 2 contains the GPRA subobjeetive for Superfund assessment work. This
subobjectivc states:
"Dy 2005, EPA and its State, Tribal, and Federal partners will reduce
the risks that Supcrfund sites pose to public health and the
environment by....
: .. .determining if Supcrfund cleanup is needed at 05% of the
sites entered into the Supcrfund site data base (CERCLIS)...
. ..EPA will collaborate with States and Indian Tribes to
enhance the Federal, State, and Tribal Supcrfund program,
reduce overlap among the programs, and leverage public and
private resources to promote cost-cffcctivc, efficient cleanups
of Supcrfund sites."
The assessment component of this subobjective focuses on the numfjef pereertt-of sites brought to the attention of the
Superfund program where Final Assessment Decisions (FADs) have been made. The formula to derive this measure
is:
No. sites with a final assessment decision
Total sites in the CERCLIS and Archive site inventories
EPA Regions are responsible for maintaining FAD designations in WasteLAN. FAD status is captured in WasteLAN
by selecting "Yes" in the "Final Assessment Decision" field on the Site Description/Operable Units screen. The
WasteLAN application system populates the related "Final Assessment Decision Date:" field with the current date.
Regions can accept or edit this date. The percentage of sites with FADS and the number of current fiscal year and
cumulative FAD designations is captured on the GPRA SCAP-15 report available through WasteLAN.
Regions may assign a FAD designation to a site if any of the following conditions are met:
• The site has been proposed to or placed on the National Priorities List (NPL);
• The site has been removed from proposal to the NPL and no further assessment is needed;
• The decision made at the last completed assessment at the site is either:
No further remedial action planned (NFRAP);
~ Referred to Removal-NFRAP
Deferred to RCRA or NRC; or
Addressed as part of an NPL or non-NPL site;
• The site is being remediated under a formal state deferral agreement;
The site is being remediated as a Superfund Alternative Site;
• The site has been cleaned up or is making progress towards cleanup as supported by documentation (worksharing
agreements, site-specific progress reports, AOCs, remedial action plans, VCP/other MOAs, etc.) between the
non-EPA party and EPA stating that the site has been or is being cleaned up or addressed according to
appropriate cleanup standards;
The site has been properly archived from the active CERCLIS site inventory.
C^i^e:3!;FY 04/05 SPIM
A-3
April 23, 2004
-------
OSWER Directive 9200.3-14-1G-Q
Regions must delete the FADs designation should conditions change such that the site no longer meets any of the above
conditions.
In ikHiitiWnf'
^Bl^stj'tiie;numberof;stte*
ini?pnt.mmrn*Vinnfnrr tn;^a I ^
! x 4 ^ -y~ -
thenumber:oif-siteassessments
EXHIBIT A.l
SITE ASSESSMENT/NPL LISTING ACTIVITIES
¦toeSMi '
-r<* syggEgra®
IIB
ppasM:.',!
!t&rget!
Pre-CERCLIS Screening Assessment
/
Site Discovery
/
Sites Archived
/
Preliminary Assessment (PA) at Non-Federal Facility Sites
s
Federal Facility PA Review
s
Site Inspection (SI) at Non-Federal Facility Sites
s
Federal Facility SI Review
/
Combined PA/SI Assessment at Non-Federal Facilities
/
Site Inspection Prioritization (SIP) at Non-Federal Facility Sites
/
Site Reassessment
/
Expanded Site Inspection (ESI) at Non-Federal Facility Sites
/
Federal Facility ESI Review
/
Integrated ESI/RI at Non-Federal Facility Sites
/
State Deferral of Non-Federal Facility Sites
/
Hazard Ranking System (HRS) Package (Non-Federal Facility and
Federal Facility)
/
Integrated Removal Assessment & PA at Non-Federal Facility Sites
/
Integrated Removal Assessment & SI at Non-Federal Facility Sites
/
Integrated Removal Assessment & Combined PA/SI at Non-Federal
Facility Sites
/
Integrated Removal Assessments and Expanded Site Inspection
(ESQ
/
Integrated Removal Assessments and Site Inspection Prioritizations
(SIPs)
/
Integrated Removal Assessments and Hazard Ranking System (HRS)
/
April 23, 2004
A-4
Change-3, FY 04/05 ,SPM
-------
OSWER Directive 9200.3-14-1G-Q
EXHIBIT A.l
SITE ASSESSMENT/NPL LISTING ACTIVITIES
*r'<
PROGRVM
iSSIPlI
l-APM'
.TARGETS
i i
^MEASURE®
Integrated Removal Assessments and Expanded Site Inspection and
Remedial Investigation (ESI/RI)
/
NPL Listing
/
Other Cleanup Activities
/
No. of Final Assessment Decisions *
/
^^o^^eiAss^smeiU'R^qrl^-
/
NOTE:
Accomplishments are pulled from WasteLAN on a semi-annual basis.
* Italic text indicates that this activity is a goal or measure that is not specifically defined in the Appendices to the
Manual. Data to support reporting of these goals are already included in existing definitions.
A.A.5 Site Status Indicators
These site status indicators are entered through the Site Status and Description/Operable Units screen in WasteLAN.
Archive Indicator - this checkbox indicates if the site has been archived. NOTE: Indicating that a site has been archived
will result in a pop-up message asking the user if they would like to make an NFFA determination at this time. If the user
clicks yes, the NFFA flag will be populated and an NFFA date will be system generated.
A site cannot be archived if there are any planned or ongoing 'archive prohibited actions' at the site. For a list of 'archive
prohibited actions', refer to the CERCLIS Archived Sites QRG.
A site that has been archived represents a site-wide decision that no further interest exists at the site under the Federal
Superfund program based on available information. It is a comprehensive decision indicating there is no further
Superfund site assessment, remedial, removal, enforcement, cost recovery, or oversight activities being planned or
conducted at the site. For more information about archiving sites in WasteLAN, refer to the CERCLIS Archived Sites
QRG or the EPA's "Refining CERCLIS" website at:
httD://www.epa.gov/superfund/Droi;rams/reforms/reforiTis/2-4c.htm
Archive Date - this date is system generated with the current date when the checkbox is checked. This field is
editable and should reflect the date the site was archived.
NPL Status - displays the current NPL Status for the site. User may select from the drop down to enter or change the
NPL Status of the site. Regional users have access to change the NPL Status to 'Not a valid site or incident', 'Not on
the NPL', 'Addressed as part of an existing NPL site', and 'Pre-proposed site'. All other NPL Status values are added
through a database revision and are uneditable.
Non NPL Status - displays the current Non-NPL Status for the site. User may select from the drop down to enter or
change the Non NPL status of the site. The available non-NPL status values will be limited based on the NPL Status
of the site.
Reporting non-NPL site status information allows EPA to clearly identify the progress a site has made in the Site
Assessment Pipeline at any given time. For a list of Non-NPL Status values and more information about entering
non-NPL status values in WasteLAN, refer to the Reporting Non-NPL Status QRG and the Understanding NPL and
Non-NPL Status Code Relationships QRG.
Status Not Specified (SX) is one of the-codes available for selection as a Noii NPL Status'.value.lRegions»may select
this/code only if.rto other available Non NPL-Status value is appropriate: If sei^'^^tne;Regioh:should'hptify the
Change 3, FY 04/05 SPIM
A-5
April 23, 2004
-------
OSWER Directive 9200.3-14-1G-Q
EPA HQ-Site Assessment DatarSponsor to determine whether a new Non NPL Status valuenrieeds;to=be created.
Regions.^houldir^view.sai^^]th'^nysXVvalue-at'a-minimum)on''al^im5lnnuar^i^^0t4p.i^4»S^^M'.^%'li!!iS
end-of-year;assessmerit) and\update.-this value as appropriate.
Non NPL Status Date - this field is system generated with the current date when the Non NPL status of a site is
changed. This field is editable and should reflect the date the non-NPL status of the site changed.
ERS Exclusion - this checkbox indicates if the region has made an eligible response site exclusion decision at the
site.
Under CERCLA Section 101(41)(C), EPA may determine to exclude sites from the Brownfields eligible response
universe if EPA "conducts or has conducted a preliminary assessment (PA) or site inspection (SI) and, after
consultation with the State, determines or has determined that the site obtains a preliminary score sufficient for
possible listing on the National Priorities List or otherwise qualifies for listing on the National Priorities List."
NOTE: This checkbox may not be selected if the site if the NFFA checkbox has been selected.
For more information regarding making an ERS exclusion at a site, please refer to OSWER Directive 9230.0-170,
entitled Regional Determinations Regarding Which Sites are "Eligible Response Sites" under CERCLA Section
101(41 )(C)(i), as Added By the Small Business Liability Relief and Brownfields Revitalization Act.
ERS Exclusion Date - this date is system generated with the current date when the checkbox is checked. This field is
editable and should reflect the date the site was determined to be excluded.
Final Assessment Decision (FAD) - this checkbox indicates if a final assessment decision has been made for the site.
Regions are responsible for maintaining FAD designations in WasteLAN. The number of FADs is a GPRA measure.
Final Assessment Decision Date - this date is system generated with the current date when the checkbox is checked.
This field is editable and should reflect the date the final assessment decision was made.
NFFA - this checkbox indicates if the site requires No Further Federal Action. CERCLA Section 101 (41 )(C)(i)
authorizes EPA to make a site which was previously excluded, because it had obtained a preliminary score sufficient
for possible listing, an eligible response site again when EPA determines that "no further federal action will be taken"
(NFFA). NOTE: Sites that have a NPL status of F, or P are not eligible for No Further Federal Action. In addition, if
a site has any planned or ongoing enforcement, cost recovery or removal activities, the user will not be allowed to
make an NFFA determination.
NOTE: This checkbox may not be selected if the ERS Exclusion checkbox has been selected.
For more information regarding NFFA decisions, please refer to OSWER Directive 9230.0-170, entitled Regional
Determinations Regarding Which Sites are "Eligible Response Sites" under CERCLA Section 101(41 )(C)(i), as
Added By the Small Business Liability Relief and Brownfields Revitalization Act.
NFFA Date - this date is system generated with the current date when the checkbox is checked. This field is editable
and should reflect the date the determination that no further federal action would be taken at the site.
A. A.6 Data Quality
The^Regjons shpuld assure that their site assessmen&nfomatipnijslcpnp^^
assist the Regions in this determinationf; data-qualityjiifpbrtsjforiSu^rfund site assessment informationiiii
GERCLIS/WastelLXK are.available:fl^'ugh''thie-regibi[iM^BjscovCT;aDplication'and-dTOU^the;^ational^tt^tfiyid
eFacts application. Discovery reports include: iNdn-archived sites "with no reeenUietion, Non-NPL 'actions on-going
and needed, SX Non-NPL status; Unallowable actions-afterarphiVedv)Invalid^I^on-lWL Status,"andSDiscoveiry
Actions Completions. Supcrfund eFacts reports include Active/no action (similar to discovery repofL'Non-'archived
sites with'no recent action'), Early DS date (similar to discovery report^Discovery Actions Completions'-), Missing
SA Status, and Invalid NPL/SA Status (similar to discovery^report -'Invalid'NPLiWonTNEL^Status'). The Regions
should use these reports on a routine basis (at a minimum on a semiannual basis - pnpr?tp" the
end-of-year assessment) to better manage their site assessment data.
April 23, 2004
A-6
Ck^hgeJ^Qlp^SEIM
-------
OSWER Directive 9200.3-14- 1G-Q
Groundwater Monitoring (as the only activity taken at the site or groundwater operable unit) - Credit is given for
a groundwater monitoring activity [Action Name = Grndwtr Monitor (Post-ROD)] start (Actual Start) when:
• Fund-financed (Including F-, TR-, and S- lead actions) - Fund-financed Groundwater Monitoring starts at
a site on the final NPL when:
EPA, the State, or their contractors take the first sample of an existing well after the ROD is signed;
or
EPA, the State, or their contractors have begun work for on-site construction of a new well, if
necessary, after the ROD is signed.
This date is documented in a memo to the file.
• PRP-financed under Federal enforcement (Including MR- and RP- lead actions) - PRP-financed
groundwater monitoring under Federal enforcement starts at a NPL or Superfund Alternative site when:
The PRPs or their contractors take the first sample of an existing well after the ROD is signed; or
The PRPs or their contractors have begun work at a site for on-site construction of a new well, if
necessary, after the ROD is signed.
This date is documented in a memo to the file.
• PRP-financed understate enforcement (PS-lead actions) - PRP-financed groundwater monitoring under State
enforcement starts at a NPL or Superfund Alternative site when a State order or comparable State enforcement
document is signed by the last State official.
Changes in Definition FY 02/03 - FY 04/05:
None.
Special Planning/Reporting Requirements:
RAs, limited remedial actions, and groundwater monitoring (post-ROD) starts will be tracked separately for management
purposes. Groundwater monitoring and oversight of groundwater monitoring is covered under the Pipeline Operations
AOA. The date of RA on-site construction (Action Name = Remedial Action and SubAction Name = RA On-site
Construction Start) will be used for purposes of establishing the Statute of Limitation (SOL) determination. It is also
used as the trigger date for a statutory Five-Year Review, if applicable. The Five Year Review planned completion date
is set for five years after the RA On-Site Construction Start planned start date. The Five Year Review planned
completion date will be greyed out and uneditable once the actual start date for the RA On-Site Construction Start is
entered. This system change will be implemented in the next release of WasteLAN in mid-FY 03. This is a program
measure.
p. OPERATIONAL AND FUNCTIONAL (O&F)
Definition:
O&F activities are conducted after physical construction of the remedy is complete to ensure that it is functioning
properly and operating as designed. The NCP provides for a maximum timeframe of one year for performing O&F
activities, though EPA may extend the one-year period, as appropriate. O&F determinations are made for containment
(all media), groundwater restoration and surface water restoration. The determination is made after physical construction
of the remedy is complete to ensure that it is functioning properly and operating as designed.
September 22, 2003
B-34
Change 1, FY 04/05 SPIM
-------
OSWER Directive 9200.3-14-1G-Q
Definition of Accomplishment:
O&F is complete either one year after the construction of the remedy is complete, or when the remedy is determined
concurrently by EPA and the State to be functioning properly and operating as designed, whichever is earlier. EPA may
grant extensions to the one-year period in writing, as appropriate. The date is documented in the Interim or Final RA
Report. It may also be documented by letter to the interested parties. JRorjFMd^nSncdd gtound ^tergr surfac
restoration ipro)ects: 0&F completion marksithe startY 04/05 SPIM
B-35
April 23; 2004
-------
OSWER Directive 9200.3-14-1G-Q
^a)i^Siteieoiistroctioigeo»npletiona««aS^^S«B8efe»«'i^^Mi
Examples of last OU or activity
When Construction is Complete
Coding Requirements
Sites requiring no remedial action
or no further remedial action in
the last OU. This includes
groundwater monitoring if that is
the only activity specified in the
ROD.
No action or no further action
ROD has been signed, and the
designated Regional official has
signed the PCOR or FCOR.
Effective in FY99, No Action
RODs will not be accepted for
Construction Completion. '
The region enters the completion date
of the report into WasteLAN as the
actual completion date (Actual
Complete) of the PCOR (Action
Name = Prelim Close-Out Report
Prepared) or the actual completion
date (Actual Complete) of the Final
Close-Out Report (Action Name =
Close Out Report).
AND
HQ enters the Construction
Completion indicator into WasteLAN.
This action constitutes HQ
concurrence with the PCOR or FCOR
documentation.
Institutional controls
as the only remedy in the ROD.
The PCOR indicates that the
institutional controls are in the
schedule for site completion, and
the designated Regional official
has signed the PCOR. If
institutional controls have been
implemented, region can go
directly to FCOR.
NPL site entirely addressed
through removal actions. For
removals with institutional
controls, see above.
Fund-Financed:
Contractor has demobilized, as
recorded in POLREP.
PRP-Financed:
Region certifies that PRPs or their
contractor have completed the
removal specified in the Action
Memorandum and fully met the
terms of the AO, CD or judgment
Both Fund- and PRP-Financed:
The designated Regional official
has signed the FCOR. The FCOR
must demonstrate that the removal
process included an EE/CA, which
complies substantially with NCP
requirements.
The region enters the following into
WasteLAN: The removal (Action
Name = Removal Action or PRP
Removal) actual completion date
(Actual Complete) as reported in the
POLREP; and the Qualifier that
indicates that the site is Cleaned Up;
and the actual completion date
(Actual Complete) of the Final Close-
Out Report (Action Name = Close Out
Report);
AND
HQ enters the Construction
Completion indicator into WasteLAN.
This action constitutes concurrence
with the FCOR documentation.
If an FCOR can be prepared initially, then the site can achieve the NPL Construction .Completion and NPL Site
Completion measure simultaneously. EPAas i;esponsible>roriaocumenting;construetionieompletion,s:thereforesall
— —
P.(3©Rvana-;EG0Rfaetionsjaj£fgiy£n a..Eund-financed';lead
-------
OSWER Directive 9200.3-14-1G-Q
Special Planning/Reporting Requirements:
Regions will not receive credit for a NPL Site Construction Completion until the actual completion date of the
Preliminary or Final Close-Out Report is entered into WasteLAN, the necessary documentation is submitted to HQ, and
HQ enters the construction completion indicator into WasteLAN. Regions identify sites to meet the goal prior to the start
of the FY. Regions may receive credit under this measure and the NPL Site Completion measure as a result of the same
remedial action or removal action.
te^pilQ^^T^tfnualtp^ijferiiMniEeygbaK'
Eolicy»Five^earRevieW(plahn'ed completion dateiis'sebfor,five yearsiafterthePCOR^riiECiQRmlanneddbmpretioifdate;
Ht'r v--A' n* •"."isses.i , - ... tU »
gAetEive-iYiear',Reviewiiplann^completionjoate^jIllDe;CTeyediQufeQncetthe'actuallcoinpletioni;date
-------
OSWER Directive 9200.3-14-1G-Q
Fund-financed LTRA or PRP-financed from a Special Account Completion: LTRA at a final NPL site is complete
(Actual Complete Date) ten years after it begins, when cleanup goals are achieved as documented in the final RA Report,
or when a technical impracticability determination is made, whichever is earlier. LTRA transitions to O&M if cleanup
goals have not been achieved within the ten-year period.
PRP LR Completion: PRP LR at a NPL or Superfund Alternative site is complete (Actual Complete Date) when
cleanup goals are achieved as documented in the final RA Report or when a technical impracticability determination is
made, whichever is earlier.
Changes in Definition FY 02/03 - FY 04/05:
None.
Special Planning/Reporting Requirements:
LTRA and PRP LR are planned on a site-specific basis (Action Name = Long-term Response or PRP LR) in WasteLAN
and are used for resource allocation purposes only. Funds for LTRA are issued s;ite-specifically in the RA AOA. Funds
for oversight of the PRP LR are contained in the pipeline operations AOA.
If the PRP LR must be conducted indefinitely, regions should not enter a planned or actual completion date for the PRP
LR action. If groundwater or surface water restoration measures or monitored natural attenuation arc the only O&M
activities being conducted at the site, regions should enter either the 'PRP LR' or the 'Operations and Maintenance'
Action, not both: Superfund Alternative sites should be identified in WasteLAN using the special initiatives indicator
by designating these sites as "Superfund Alternative".
t. OPERA TION AND MAINTENANCE (O&M)
Definition:
O&M are the activities required to maintain the effectiveness or the integrity of the remedy, and, in the case of Fund-
financed or PRP-financed from a special account7 measures to restore ground- or surface- waters, continued operation
of such measures beyond the LTRA period until cleanup goals are achieved. Except for Fund-financed or PRP-financed
from a special account ground- or surface- water restoration actions covered under Section 300.435(f)(4) of the NCP,
O&M measures are initiated after the remedy has achieved the remedial action objectives and remediation goals in the
ROD, and is determined to be O&F (see definition of O&F).
Depending on the remedy that was implemented at the site/OU, O&M may not be required, may only be required for a
defined timeframe, or may be required to be performed indefinitely. Examples of remedies where O&M may have an
indefinite period of performance are sites where waste is contained on-site and the integrity of the cap must be
maintained or sites where institutional controls must be maintained. In some instances, O&M may be complete when
the ground- or surface- water restoration goals are met. The State or PRP is totally responsible for O&M.
Groundwater and surface water restoration measures, including monitored natural attenuation, conducted by the PRPs
is technically defined as O&M. However, icgions may use the action to better traefcthese restoration remisa
s|wuld|use PRP LR to indicate that these activities are being performed at the site.
7Actions qualify for PRP-financed from a Special Account performed by the State (SS lead), when the majority of
funding for the total estimated O&M cost (including direct and indirect costs) is to be paid from a Special Account. The amount
contributed from a Special Account should meet or exceed the amount contributed by the largest non-PRP entity (i.e., State
where applicable) toward the total estimated O&M cost at the site. For example for O&M, if 60% of the funds needed to finance
the estimated cost are to be derived from a Special Account and 40% of the costs will be paid by the State, the majority of the
cost is being paid for out of a Special Account and the action qualifies for a SS lead.
April 23,2004
B-42
Change 3, FY 04/05 SP1M
-------
OSWER Directive 9200.3-14-1G-Q
The appropriate use of Special Account funds is provided in the "Consolidated Guidance on the Establishment,
Management and Use of CERCLA Special Accounts" dated October 4, 2002.
Definition of Accomplishment:
O&M [Action Name = Operations and Maintenance] starts when the RA is complete and the State or PRPs assume
responsibility for all activities necessary to operate and/or maintain the long-term effectiveness or integrity of the actions
selected in the ROD.
For OUs where Fund-financed or PRP-financed through a Special Account LTRA is required, O&M (Action Name =
Operation and Maintenance) begins when LTRA is complete [see Definition of Long-Term Response Action (LTRA)].
Where appropriate, the completion of O&M is defined as the date (Actual Complete) the performance standards or
conditions specified in the Cooperative Agreement that provides funds for the RA, Superfund State Contract (SSC), or
CD signed by EPA, the PRPs and Federal judge have been met with respect to O&M. If O&M must be conducted
indefinitely, regions should not enter an actual completion date.
Changes in Definition FY 02/03 - FY 04/05:
None.
Special Planning/Reporting Requirements:
This is a program measure. O&M is planned site-specifically (Action Name = Operation and Maintenance) in WasteLAN
and is used for resource allocation purposes only. Funds for oversight of O&M are contained in the pipeline operations
AOA and/or a site specific special account. If O&M is not required, regions should not enter the action into WasteLAN.
Where O&M must be conducted indefinitely, regions should not enter a planned or actual completion date for the O&M
action.
If the only O&M activities being conducted by the PRPs at the site are groundwater or surface water restoration,
including monitored natural attenuation, regions may use the 'PRP LR' Action instead of the 'Operations and
Maintenance' Action. In this situation, regions should not enter both Actions.
u. CLEANUP GOALS ACHIEVED
Definition:
This measure is used to indicate when cleanup goals are achieved for groundwater and surface water restoration,
including monitored natural attenuation. It tracks achievement of cleanup goals for these remedies because they have
not yet been achieved at Remedial Action completion.
Definition of Accomplishment:
Cleanup goals are achieved when the designated Regional official (Branch Chief or above) approves in writing the Final
Remedial Action Report for a groundwater or surface water restoration remedy. This report should update information
previously prepared in the Interim Remedial Action Report. For more detailed information, see OSWER Directive
9320.2-09A-P, "Close Out Procedures for National Priorities List Sites."
Changes in Definition FY 02/03 - FY 04/05:
None
Change 3, FY 04/05 SPIM
B-43
April 23^2004
-------
OSWER Directive 9200.3-14-1G-Q
Special Planning/Reporting Requirements:
Cleanup Goals Achieved is planned on a site-specific basis (Action Name := LTRA or PRP LR or Operations &
Maintenance and SubAction Name = Cleanup Goals Achieved) in WasteLAN. This is a program measure.
v. NPL SITE COMPLETIONS
Definition:
An NPL site must meet all six criteria below to be eligible for site completion:
• Cleanup goals specified in the RODs or removals are met;
• Institutional controls are in place;
• All Remedial Action Repov"rts, On-Scene Coordinator Reports, and Pollution Reports have been completed;
• All RODs, ROD Amendments, and Explanation of Significant Differences (ESD) have been completed;
• The site is protective of human health and the environment; and
• The only remaining activities, if any, at the site are operation and maintenance activities that are performed by
the State, Federal facility, or responsible parties.
There is only one NPL Site Completion per NPL site, and the site must be final on the NPL. For more detailed
information, see OSWER Directive 9320.2-09A-P, "Close Out Procedures for National Priorities List Sites."
Definition of Accomplishment:
A NPL Site Completion occurs when the Final Close-out Report (FCOR) has been signed by the Regional Administrator
and concurred with by HQ. The region must enter the completion date (Actual Complete) of the Final Close-Out Report
[Action Name = Remedial Action or PRP RA or O&M and SubAction Name = Close-Out Report] into WasteLAN. EEj\
£s?responsiDle|forM£cto
For examples of when to prepare FCORs, see the table in section B.A.3.q, Completion of Response Action/Activity.
Changes in Definition FY 02/03 - FY 04/05:
Ncrrte^ 1!
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the NPL Site Construction Completion measure as a result of the
same Final Closeout Report. This is a program measure.
w. FIVE-YEAR REVIEWS
Definition:
A five-year review is a review of remedial action(s) selected under CERCLA § 121(c). The purpose of the five-year
review is to determine whether the remedy at a site is/remains protective of human health and the environment and to
evaluate the implementation and performance of the selected remedy. Where remedial actions are still under
construction, a five-year review determines whether immediate threats have been addressed and whether EPA continues
to expect the remedy to be protective when all remedial actions are complete. EPA conducts statutory reviews of any
site at which a post-S ARA remedy, upon attainment of cleanup levels specified in the ROD, will not allow for unlimited
use and unrestricted exposure. EPA conducts policy reviews at sites where remedial actions will attain cleanup levels
but will take longer than five years to complete, sites with pre-SARA remedies at which the cleanup levels do not allow
unlimited use and unrestricted exposure, and at NPL removal only sites where cleanup levels do not allow unlimited use
and unrestricted exposure.
B-44
|ha^3^;Q4/<^SHM
-------
OSWER Directive 9200.3-14-1G-Q
• protectiveness determination for each remedy/OU (if a determination is deferred, enter a date for when a
protectiveness determination will be made)
• protectiveness statement as it appears in the Five Year Review
If the Construction Completion flag has been checked for the site, the user must enter the following information:
1. site protectiveness determination
2. site-wide protectiveness statement as it appears in the Five Year Review
All Sites must have the following information:
1. If future Five Year Reviews are necessary at the site indicate if this is the final Five Year Review at the site
Five-year review completes must be planned and reported site-specifically (Action Name = Five-Year Review
Assessment) in WasteLAN. Funds are allocated in the Remedial Action AOA. This is a program target for
Superfund. Five-Year Review completes are a Program Measure for Federal facilities (See Exhibit B.l in Appendix
B and Exhibit D.l in Appendix D).
x. PARTIAL NPL DELETION
Definition:
EPA will consider partial deletion for portions of sites when no further response is appropriate for that portion of the site.
Such portion may be a defined geographic unit of the site, perhaps as small as a residential unit, or may be a specific
medium at the site (e.g., groundwater), depending on the nature or extent of the release(s). The criteria for partial
deletion are the same as for final deletion. EPA must consider, in consultation with the State, whether the following
criteria have been met for that portion of the site:
• Responsible or other parties have implemented all appropriate response actions required;
• All appropriate Fund-financed response under CERCLA has been implemented, and no further cleanup by
responsible parties is appropriate; or
• The remedial investigation has shown that the release poses no significant threat to public health, or the
environment and, therefore, taking of remedial measures is not appropriate.
Definition of Accomplishment:
The partial NPL deletion process begins when a Notice of Intent to Partially Delete (Action Name = Notice of Intent to
Partially Delete) is published in the Federal Register for the specified portion of a site on the NPL. Notice of Intent to
Partially Delete is completed (Actual Complete) the day the Federal Register is published. If the Direct Final Process
for Partial Deletions is used, the process begins when the Direct Final Action Notice is published in the Federal Register
[Action Name = Notice of Intent to Bartijlll^Deletel.
The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete (Actual Complete) when the Notice
of Partial Deletion is published in the Federal Register for the specified portion of a site on the NPL. If the Direct Final
Process for Partial Deletions is used and the comment period has ended with no adverse comments, the actual completion
(Actual Complete) is the effective date of deletion specified in the Direct Final Action Notice.
StaitDeleti&n
iactions.oTh^fe^i^Mib^ofethe^Q^Bia*cti,ciri!'Signifies tHe-sfartfd.fith'eCpSrtial deletionsadtioiTT?
HQ will enter the Partial Deletion and the Notice of Intent to Partially Delete from the NPL Action and the completion
dates into WasteLAN.
April.25;{20()4
B-46
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OSWER Directive 9200.3-14-1G-Q
For more detailed information, see OSWER Directive 9320.2-09A-P, "Close Out Procedures for National Priorities List
Sites."
Changes in Definition FY 02/03 - FY 04/05:
Noiie:jEtefiniaowig.vjsegtteylarinBtneaiseiOBStart4aates:
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL deletions will be entered by HQ
if a portion, or portions of the release remain listed on the NPL following completion of the partial deletion.
Eartialsdeletions^willibe'codedtafcspeeiiieiOperabletilJnits (Olflsj&wnenrappropnate.^EartialtdeletioniactionsHhat
.address^mulURle'OM.s,ior,-areasvthat:do;no.Rdii'eetlyscorrespond^to,;a.sp.ecifics.OU will be;coaed?atiQW00;(sitewide)::'1
A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion activity addresses the
remaining release listed on the NPL (either as a one-time deletion activity for the entire site as originally listed, or as the
last deletion activity associated with a site subject to previous partial deletions). This is a program measure.
y. FINAL NPL DELETION
Definition:
With State concurrence, EPA may delete sites from the NPL when it determines that no further response is appropriate
under CERCLA. In making that determination, EPA considers:
• Responsible or other parties have implemented all appropriate response actions required;
• All appropriate Fund-financed response under CERCLA has been implemented, and no further cleanup by
responsible parties is appropriate; or
• The remedial investigation has shown that the release poses no significant threat to public health, or the
environment and, therefore, taking of remedial measures is not appropriate.
Definition of Accomplishment:
The deletion process for the entire site begins when a Notice of Intent to Delete [Action Name = Notice of Intent to
Delete] is published in the Federal Register. If the Direct Final Process for Deletions is used, the process begins when
the Direct Final Action Notice is published in the Federal Register [Action Name = Notice of Intent to Delete].
The deletion process for the entire site [Action Name = Deletion from the NPL] is complete (Actual Complete) when
the Notice of Deletion is published in the Federal Register. If the Direct Final Process for Deletions is used and the
comment period has ended with no adverse comments, the actual completion (Actual Complete) is the effective date
of deletion specified in the Direct Final Action Notice.
jil^g'TOmplSiibl^start.iofithe'delehoiB^ti6ii?
HQ will enter the Final Deletion from the NPL Action and the actual completion dates into WasteLAN. For more
detailed information, see OSWER Directive 9320.2-09A-P, "Close Out Procedures for National Priorities List Sites."
^inge-3y|R^0^05|SM|^
B-47
AiiWHi
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OSWER Directive 9200.3-14-1G-Q
Changes in Definition FY 02/03 - FY 04/05:
None. Definition':reyis^lt^ianf^;tli^^se|g^ta^dates.
Special Planning/Reporting Requirements:
An entire site deletion action (Action Name = Deletion from NPL) will be entered by HQ if the deletion activity
addresses the remaining release listed on the NPL (either as a one-time deletion event for the entire site as originally
listed, or as the last deletion activity associated with a site subject to previous partial deletions). The Action, Final
Deletion from the NPL, will be used whether deletion is accomplished through the Notice of Deletion or the Direct Final
Action Notice. When the Notice of Deletion is published or the date of deletion is effective, HQ will change the NPL
Status in CERCLIS to "Deleted from Final NPL." This is a program target.
z. SITES WITH LAND READY FOR REUSE
Definition:
Sites with land ready for reuse refersapply to
• Non-NPL sites ©rri^rwhere a non-time-critical removal action was performed;
• The total number of NPL sites; and
• Superfund alternative sites in which all or a portion of the site is ready for reuse.
A site has land ready for reuse when:
• The site or a portion of the site is currently in productive use, such as for commercial, recreational,
ecological, residential, or public service purposes; or
The Agency makes a determination that either: (1) Superfund response actions are unnecessary for the site
or portion of the site ready for reuse (as a result of an investigation of the property), and EPA is not
currently aware of ©theranylpoteritialfclreumstanceSjOrsanyi bPA or State 6t?16~cal?eleanup program
restrictions thatay.ou1d;make:tne]siteiconditions,not;protectiye;for;reuscon land use; or (2) the risk-based
cleanup goals established for the site or portion of the site have been attained (i.e., the engineering controls
for the land component have been implemented and arc operating as intended), subject to any restrictions
identified in the Record of Decision (i.e., institutional controls).tfe>landAasfbeen-rem^iated}andrall
physicaiirequirementsMnihe ri^Wor^ldeeision documentshavesbeen :tuIlysimplemente^ti.e;;.construction!is
cpmple"te|aridjengineering,and%stiftitional controls;are:infplace;and;operating9properly^: Please refer to
"Guidance for Preparing Superfund Ready tor Reuse Determination, OSWER 9365.0-33-d for more
information on making risk based reuse decisions. MKaliaitionalMnformafr^
toithe^uidance tor DocumentmgsandiRepqrting'jtneJSu^
Definition of Accomplishment:
A site is considered to have land ready for reuse when the site has been evaluated for potential rcuseahproj^t^||eu||
^li^tiotf'S^i^nfe^^'u^ed and the Agency has documented this decision in one or more of the following
documents:
Preliminary Assessment/Site Inspection (PA/SI) Report (only for sites that have been proposed to
the NPL or otherwise designated as Superfund alternative sites)
Record of Decision (ROD)
Interim/Final RA Report
Preliminary Close-Out Report
Final Close-Out Report
Final OSC Report -the Removal action)
Notice of Deletion/Partial Deletion, including Direct Final Notice of Deletion/Partial Deletion
Five-Year Review
April 23.2004 B-48 (ghange>3.^'CM70S:^Rl]^
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OSWER Directive 9200.3-14- 1G-Q
• Finding of Suitability to Lease (Federal facilities)
• Finding of Suitability to Transfer (Federal facilities)
• Finding of Suitability to Early Transfer (Federal facilities)
• Ready for Reuse Determination
j Proj^rty^ieus^^MtionC^Mist
• *" I
A site has land ready for reuse on the date of the actual icompletion (as defined in other sections of the SPIM) of the
applicable documents)_(e.gv ROD signature date),--exceqtii^letienmotices^A-sitenha^datta^#4y>fQr-;ii^juise".en-the
actuakstart dateiOfithevDeletiGn^notice (as-definedin other^seetions' of "the A site may also be ready for reuse
on the date the Ready-for-Reuse Determination onRropertytheractuaI completion ;date of.the,app?opriate -Action (Sec the Acres at Sites .with Land Ready for Reuse
measure). 'Any acres of-land'-ready for reuse that are determined as.airesjult of-a decision;to.delete the site from the
^I}sare,entered!>with'ithe actual start datevpf the Deletion.Actions.;-;;'AfcFederakfaeilities/theland.readyifor reuse will
bonUnue«toberd6c.umented:in:a.EOST,FOSL^orFQSEls-(asLdefined in AppendixsD):;rThe-acres.ready for reuse'are
entered in CERCLIS on the FOST and-FOSL screens: Headquarters will use that information to derive the number
of sites ready for reuse. The WasteLAN screens for collecting reuse data at non-Federal facility sites arc under
development.
aa. ACRES AT SITES WITH LAND READY FOR REUSE
Definition:
Acres at sites with land ready for reuse is an estimate of the total land area, reported in acres, that either has been
returned to productive use, or is ready for reuse based on the determination that either: (1) Superfund response
actions are unnecessary for the site or portion of the site ready for reuse_(as a result of an investigation of the
property), and EPA is not currently aware of etherany,,potential'Circumstanees^or any EPA or State biylocal/cleanup
program restrictions ^{^tii^^^^tfi^ii^*co|}ditions--.not''|gotective.for reuscon land use; or (2) the risk-based
cleanup goals established for the site or portion of the site have been attained (i.e., the engineering controls for the
land component have been implemented and arc operating as intended-), subicct to any iestrietions identified in the
Riiord of Decision (i.e., institutional CQntrols).the land»has::beenoremediated andTall phvsiCal requirenientS 'ih%the
r^iio«^^isi^Q@^^heha>^I^^^Qy4inpl€ii^nt^r(i%^6i)stmctioa^confpiete.^ndiengii^ingan3
institutional contr61s afe'::in:iplace and opefatir)g.'properly). Please refer to "Guidance for Preparing Superfund Ready
for Reuse Determination," ,OSWERj9365.0;33-d^for; more information on making risk based reuse decisjons. For
additipnaUirfomatfon^Qmthis-m^
In addition, the acres at sites with land ready for reuse will be further designated as either ready for restricted use or
ready for unrestricted uses, unless the site is a Federal facility. For further direction on reporting Acres at Sites
GKan^Bfl^0D4/Q5: SPIM
B-49
April 23.2004
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OSWER Directive 9200.3-14-1G-Q
with Land Ready for Reuse at Federal Facilities, see Appendix D of the SPIM: Base Closure Decisions. A site or
portion of a site is ready for unrestricted use when response activities for the site/portion of the site are unnecessary
or the risk-based cleanup goals for the land support residential use. A site or portion of a site is ready for restricted
use when the risk-based cleanup goals for the land support other types of use (e.g., industrial, commercial,
recreational). For Federal facility sites, Regions will only be required to report the total acres that are ready for
reuse.
Definition of Accomplishment:
Regions will report the acres ready for reuse when the site has been evaluated for potential reuseaproperfy'reusfe
evaiiptiori-h^ and the Agency has documented this decision in one or more of the following
documents:
• Preliminary Assessment/Site Inspection (PA/SI) Report (only valid after the site is proposed to the
NPL or has been otherwise designated as a Superfund alternative site)
• Record of Decision (ROD)
• Interim/Final RA Report
• Preliminary Close-Out Report
• Final Close-Out Report
• Final OSC Report action)
• Notice of Deletion/Partial Deletion, including Direct Final Notice of Deletion/Partial Deletion
• Five-Year Review
• Finding of Suitability to Lease (Federal facilities)
Finding of Suitability to Transfer (Federal facilities)
Finding of Suitability to Early Transfer (Federal facilities)
• Ready for Reuse Determination
• Property Reuse Evaluation Checklist
Acres are ready for reuse on the date of the actual: completion (as defined in other sections of the SPIM) of the
applicable document(s) (e.g., ROE) signature date),-except: Deletion notices;;* Asite.has-land rea&y.for reuse on'the
actual start date>of the Deletion notice /as defined in 'offiers'tetions>of:the SPIM): Acres may also be ready for reuse
on the date the Ready-for-Reuse Determination obProperty Reuse Evaluation>Checklist is signed by the Regional
division director or designee.
Changes in Definition FY 03 - FY 04:
This is a new reporting measure in FY 04.
Special Planning/Reporting Requirements:
This GPRA reporting measure includes Federal facility and non-Federal facility NPL sites, Superfund alternative
sites, and Federal and non-Federal facility sites where a non-time critical removal has been conducted. UponAt non-
Federal faciiity sltesy .when entering the^ctual completion or a^al^startiHafe^f^Eelfetion^M^qris) .forqf each of the
Attipris asspciat^iWith the Agency documents listed above (except the Federal facility documents and Deletions),
the Region must enter the following information into WasteLAN: (1) the number of acres that are ready for
unrestricted reuse; and/or (2) the number of acres that are ready for restricted reuse. At Federal facilities, Regions
will only report the total number of acres that_are ready for reuse.,
continu^to bfe$n£red"bn;the FOS^OT'FQ^^reens, Headquarters will use this information to calculate the total
acres of land ready for reuse. The completion and start dates for each of these documentsActions, except the Ready-
for Reuse Determination ii^the-^o^ri^^|^'Ey^uati^0iecl^st, ware defined in other sections of the SPIM.
The completion dates for the Ready-for-Reuse Determination and the Property ifei^^valt^ipn^hgclciist ware
defined above. The WasteLAN screens for collecting reuse data at non-Federal facility sites arc under development.
April 23, 2004
B-50
djtidnge 3, FY®fe:SPIM
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OSWER Directive 9200.3-14-1G-Q
E.A.4 APPLICABILITY OF THE FREEDOM OF INFORMATION ACT
a. Reports Releasable under Freedom of Information Act (FOIA)
There is a set of system-generated reports that have sensitive information (records or information that are protected
under FOIA and cannot be released to the public) removed and may be released under FOIA. These reports include:
• SCAP 12 (Site Summary Report for Non-NPL Sites);
• List 8E (Site/Response Action Listing Report/External);
• List 8T (Site/Event Listing, Archived Sites);
• List 9 (Site Comprehensive Listing);
• Enforcement 10 (The Settlements Master Report Public Version); and
• Enforcement 25 (Administrative and Unilateral Orders Issued).
Note 1: The SCAP 11, SCAP 12, List 8T, and List 9 are currently available to the public on the Superfund HomePage.
Note 2: Section 106 andilO^ilitigationrand/br.-iConsent Decrees (CD)fand all.related information where;the planning
information indicatesithat.the^action has^or willvbe referred to HQ, or the.Department of'Justice. If the case is filed or
lodged; .the informationmay.bereleased.
In addition, the Records of Decision System (RODS) may be released under FOIA. It provides the justification for
the remedial action (treatment) chosen under the Superfund program and stores information on the technologies being
used to clean up sites.
b. Sensitive Information Not Releasable under FOIA
FOIA is intended as a disclosure law, not a withholding law. In handling all FOIA requests, there should be a
presumption in favor of releasing information. There are certain types of information, particularly enforcement
information, that have been designated as sensitive and, therefore, are not releasable to the public because disclosure
could cause significant harm to the Agency. All planning data fit into this category including:
• Section 106 and 107 litigation; and/or Consent Decrees (CDs)'; and all related information where the
planning information indicates that the action has or will be referred to HQ or to the Department of Justice
(DOJ). If the case is filed or CD] lodged, the information may be released.
PRP lead Remedial Investigation/Feasibility Study (RI/FS) projects and all related information where only
planning data exist. If there is an actual PRP RI/FS start, the planned completion date (Fiscal
Year/Quarter) can be released.
• RD/RA - Administrative OrdeiY6f) and all related information where only planning data exist. This
information is only releasable where an actual completion date exists.
• Information pertaining to cost recovery decision documents such as rationale for write off;
l|O3^2004
E-10
Change 3,'FY 04/05 SPIM
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OSWER Directive 9200.3-14-1G-Q
Superfund Public Information System (SPIS) CD. The SPIS CD contains the complete text of official Records
of Decision (ROD), Explanation of Significant Differences (ESD), and ROD Amendments signed and issued
by EPA. Users are able to access ROD documents by conducting searches across all of the ROD documents
using Adobe's search capabilities and by accessing the master list by EPA Regions of all documents contained
on the CD. This CD is released on a quarterly basis and includes a summary section detailing new information
that has become available since the previous release.
NPL Fact Sheets CD. This CD contains a compilation of NPL Fact Sheets available from the ten EPA Regional
Web sites, where the fact sheets are stored and updated. NPL Fact Sheets provide site history and descriptions,
NPL listing history, threats and contaminants, cleanup approach, response action status, and environmental
progress. Additionally, some fact sheets include information on community involvement and enforcement
activities.
• The Superfund Order and Information Line (800-775-5037 or 202-260-8321) is an interactive phone/fax system that
provides information from CERCLIS. By following voice prompts, the Superfund Order and Information Line
allows users to request List 8T, List 9, SCAP 11, and SCAP 12 reports on CD-ROM.
• FOIA requests may also be submitted to an EPA region or HQ office for any FOIA reports or information. FOIA
report requests should include the name of the FOIA report being requested, or the site name, city, county, state,
and/or ZIP code for which information is being requested.
E.A.5 DATA OWNERS/SPONSORSHIP
HQ managers are taking an active role in improving the quality of data stored in WasteLAN by acting as data
sponsors. Data sponsorship promotes consistency and communication across the Superfund program. HQ data sponsors
communicate and gain consensus from data owners on data collection and reporting processes. Periodically, data
sponsors will verify the data entered and maintained by the regions through focused data studies. Data sponsors ensure
that the data they need to monitor performance and compliance with program requirements is captured and stored
properly in WasteLAN. To meet this goal, HQ data sponsors identify their data needs, develop data Field definitions,
distribute guidance requiring submittal of these data, and oversee the process of entering data into the system. Data
owners are normally site managers that need the data in support of site work. Data owners follow the guidance they
receive from data sponsors, as they acquire and submit data.
HQ data sponsors assist data owners in maintaining and improving the quality of Superfund program data. These
data are available for data evaluation and reporting. Data sponsorship helps promote consistency in both national and
regional reporting. In addition, data sponsorship provides a tool to improve data quality through program evaluation and
adjustments in guidance to correct weaknesses detected. Periodically, DataisponsOrs^condiict fi cuse# datfetuBies to
f^^^ir^|hae:^§ysteinaUc:da^p%bleins{eJg^incpnr^t^^^f-icodes:'da^%aps^cV) across the..regions.
Change. 3, FY 04/05. SPIM
E-15
April 23;2004
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OSWER Directive 9200.3-14-1G-Q
Subject iieafSubiA^^a^i^ll/:
¦¦mm
Kathryn Frasso
Response Budget/Resource Management
(202) 564-0193
DavidE Cooper
Risk Data
(703) 603-8763
Robert White
SCAP Reports
(703) 603-8873 .
Bill Ross
Site Assessment and Site Listing Status
ram??.;
(30*703) 34-2-
MB»W ¦«
?69?iS03S8M8
Angelo Carasea
Site Assessment/SCAP-13
(703) 603-8828
Filomena Chau
Special Accounts
(202) 564-4224
Randy Hippen
Superfund Information System Liaison
(703) 603-8829
Kirby Biggs
Bob Myers
Tribal Involvement
(703) 308-8506
(703) 603-8851
WsMm^
E-18
ehangf3fF^p4/05 SRIW
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