United States
Environmental Protection
Agency
Office of
Land and
Emergency Management
OLEM 9200.3-153
July 31, 2017
Superfund http://www.epa.gov/superfund/superfund-program-implementation-manual
SERA Superfund Program Implementation Manual
Fiscal Year 2018
Program Implementation Guidance for OSRTI, OSRE, FFRRO,
FFEO and OEM (Headquarters and Regional Offices)
Program Goals and Planning Requirements
Program Implementation Procedures
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Superfund Program Implementation Manual FY 18
Table of Contents
Managers' Schedule of Significant Events
Acronyms
Summary of Changes
Chapter I: Introduction
I.A Purpose L-l
I.B Lntroduction 1-2
I B. 1 Superfund Legislative Background 1-2
I.B.2 Description of Superfund Response and Enforcement Programs 1-3
a. Superfund Remedial (303DD2) 1-3
b. Superfund Emergency Response and Removal (303DC6) 1-4
c. Federal Facilities Response (303DC9) 1-4
d. Superfund Enforcement (501EC7) 1-4
e. Base Realignment and Closure (303D41 and 303D41B4) 1-4
f. Federal Facilities Enforcement (501EH2) 1-5
L. C Superfund Enterprise Management System (SEMS) 7-5
Chapter II: Performance Measures, Planning and Reporting
Requirements
II. A Lntroduction LL-1
LL.B Performance Goals and Measures LL-1
II.B. 1 Removal Program Measure II-5
a. Removal Actions Completed. II-5
II.B.2 Remedial and Federal Facilities Program Measures II-5
a. Number of Superfund Remedial Site Assessments Completed (Site Assessments)
II-5
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects) II-5
c. Annual Number of Superfund Sites with Remedy Construction Completed (CCs)
II-5
d. Number of Superfund Sites with Human Exposure Under Control II-6
e. Superfund Sites with Contaminated Groundwater Migration Under Control.. II-6
f. Number of Superfund sites Ready for Anticipated Use Sitewide (SWRA U) II-6
II.B.3 Enforcement Program Measures II-6
a. Pre-Remedial Enforcement Action II-6
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b. Past Costs Addressed > $500,000 11-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater 11-7
d. Total Response Commitments 11-7
e. Total Cost Recovery Settlements 11-7
f. Value of PRP Oversight 11-7
II. C Annual Performance Plan and Budget Development Cycle. II-8
II.C.l Outyear II-8
II.C.2 Planning Year II-8
II.C.3 Current Year II-9
II. D Planning and Reporting Cycle II-l 1
II.D.l Third Quarter 11-12
a. Current Year Performance Tracking 11-12
b. Planning for the Upcoming Year 11-12
II.D.2 Fourth Quarter 11-12
a. Planning for the Upcoming Year 11-12
b. End of Year Performance Tracking II-13
II.D.3 First Quarter (of the subsequent year) 11-13
a. Planning for the Current Year II-13
b. Prior Year Performance Tracking II-13
II.E Planning, Target, and Accomplishment Reports 11-14
II.E. 1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 11-14
II.E.2 OSRE Management Reports 11-15
II.E.3 FFRRO Management Reports 11-16
Chapter III: Financial Management
III. A Introduction III-l
III.B Financial Management Roles and Responsibilities III-l
III.B.l Regional Organization Financial Roles and Responsibilities III-l
a. Regional Administrator (unless delegated) III-l
b. Regional Finance Office (RFO) III-l
c. Regional Program Office (RPO) III-2
d. Administrative Support Unit III-2
III.B.2 Regional Staff Financial Roles and Responsibilities III-3
a. On-Scene Coordinator (OSC) Ill-3
b. Remedial Project Manager (RPM) Ill-3
c. Regional Project Officer or Deputy Project Officer III-4
III.B.3 Headquarters Support Office Financial Roles and Responsibilities III-4
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO III-4
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO III-4
c. Office of Acquisition Management (OAM), OARM. III-5
d. Office of Budget, OCFO III-5
e. Office of the Controller, OCFO III-5
f. Office of Grants and Debarment (OGD), OARM. III-5
g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,
OCFO III-5
III. C Superfund Accounting Information III-6
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III.C. 1 Superfund Account Number III-6
III.D Financial Data Management Tools III-9
III.D.l Budget Automation System (BAS) 111-10
III.D.2 Compass 111-10
III.D.3 Compass Data Warehouse (CDW) 111-10
III.D.4 Compass Business Objects Reporting Tool 111-10
III.D.5 Superfund Enterprise Management System (SEMS) III-l 1
III.E Handling Financial Data in the SEMS Environment III-ll
III.F Financial Vehicles 111-12
III.F. 1 Contracts 111-12
III.F.2 Interagency Agreements (IAs) III-l 2
III.F.3 Cooperative Agreements (CAs) 111-12
III.F.4 Grants Ill-13
III G Allocating Superfund Resources Among the Regions 111-13
III.G.l Managing Site Allowance Resources in SEMS 111-14
III.G.2 Using Prior Year Funds 111-14
a. Carryover Ill-14
b. Deobligations Ill-14
III.G.3 Removal Program Resources (PRC 303DC6) 111-15
III.G.4 Homeland Security Resources (PRC 303D72) 111-16
III.G.5 Remedial Response Program Resources (PRC 303DD2) 111-16
a. Remedial Action Site Allowance III-l 6
b. Pipeline Operations Site Allowance III-l 7
III.G.6 Superfund Federal Facilities Response Program (PRC 303DC9) 111-17
III.G.7 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) Ill-18
III.G.8 Superfund Enforcement Program (PRC 501EC7) III-l8
III.G.9 Federal Facilities Enforcement Program Resources (PRC 501EH2) III-l8
III.H Cost Recovery III-l 9
III.H.l Recoverable Costs 111-20
a. Direct Costs 111-20
b. Contractors' Annual Allocation Costs 111-20
c. Indirect Costs 111-20
III.I Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 111-21
111.1.1 WQ SSID and WQ Action Code 111-21
a. WQSSID 111-21
b. WQ Action Code 111-22
111.1.2 ZZ SSID 111-22
111.1.3 00 SSID 111-22
III J Superfund State Contracts (SSC) and Cooperative Agreements (CA) 111-23
III.J. 1 Cost Share Provisions 111-23
III.J.2 Constraints on Obligating Funds for RA 111-24
III.J.3 Cost Share Payments 111-25
III.J.4 Using Funds from State Cost Share Payments 111-25
III. J.5 Close Out Process for SSCs 111-26
III.K Special Accounts 111-26
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III.L Using the Fiduciary Reserve to Address Cost Overruns 111-27
Chapter IV: SEMS Data Management and Coding
IV. A Introduction IV-1
IVB SEMS Regional/Headquarters Roles and Responsibilities. IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-3
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
b. Data Owners IV-3
c. Office of Superfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch IV-4
d. OSRTI Resource Management Division - Information Management Branch. IV-4
e. OSRTI Assessment and Remediation Division (ARD) Regional Support IV-4
f. Office of Site Remediation Enforcement (OSRE) Regional Support IV-4
g. Office of Emergency Management (OEM) Regional Support IV-4
h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5
IV. C General SEMS Data Entry/Quality Control Requirements IV-5
IV.C.l Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in SEMS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
d. Removal Program IV-6
IV.C.3 Changes to Historical Accomplishments IV-7
IV.C.4 Data Validation and Verification IV-7
IV.D Activity Lead Codes IV-8
IV. E Activity Codes Available for Financial Transactions IV-9
IV. F Anomalies and Other SEMS Codes IV-14
IV.F.l Takeovers, Phased Indicators and Other Activity Code Anomalies IV-14
a. Takeovers IV-14
b. SEMS Coding For Takeovers IV-15
c. Phased Projects IV-17
d. Other Anomalies IV-17
e. Mega-Sites IV-19
Chapter V: Site Information
V.A Introduction V-l
V.B Initiating Program V-l
V. C Identification (ID) Numbers V-l
V.D Site Name. V-2
VE Site Location/Geospatial Information V-3
V.F Alias Name/Location. V-4
V.G Federal Facility Status V-5
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V.H Formerly Used Defense Sites (FUDS) V-5
V.I Preliminary Assessment (PA) Petitions V-6
V.J Site Type Category/Sub-Category V-6
V.K National Priorities List (NPL) Status V-6
VL Non-NPL Status V-8
V.M Tribal Data V-9
V.N Special Interest V-10
V. O Eligible Response Site and No Further Federal Action Designations V-l 1
VP Site Inventory Designations V-l2
V.Q Archive Indicator V-l2
V.R Parent/Child Relationships V-l5
VS Final Assessment Decisions (FAD) V-16
V. T Operable Unit (OU) V-l 7
V.U Site Description V-17
V. V Site Comments V-l 7
Chapter VI: Remedial Site Assessment
VI.A Introduction VI-1
VI.A. 1 Remedial Site Assessment Priorities VI-2
VI.A.2 Remedial Site Assessment Backlogs VI-3
VI.A.3 Overview of Remedial Site Assessment Targets and Measures VI-3
VI.A.4 Data Quality and Data Entry Timeliness Requirement VI-7
a. Data Quality VI-7
b. Data Entry Timeliness Requirement. VI-7
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities VI-7
a. No Further Remedial Action Planned (NFRAP) VI-8
b. Higher Priority /Lower Priority VI-8
c. Refer to Removal VI-8
d. Site Addressed as Part of Another NPL or Non-NPL site VI-9
e. Referred From RCRA VI-9
f. Assessment Complete - Decision Needed VI-9
VI.A.6 Remedial Site Assessment Critical Indicators VI-11
VI.A.7 Coordination with State and Tribal Partners at Non-Federal Sites VI-11
VI.A.8 Remedial Site Assessment Activities VI-12
a. Pre-CERCLA Screening (PCS) VI-12
b. Remedial Site Initiation (Discovery) VI-15
c. Preliminary Assessments (PA) at Non-Federal Sites VI-16
d. Site Inspections (SI) at Non-Federal Sites VI-18
e. Site Reassessments at Non-Federal Sites VI-20
f. Expanded Site Inspections (ESI) at Non-Federal Sites VI-21
g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites VI-23
h. Hazard Ranking System (HRS) Packages VI-25
i. Other Cleanup Activity (OCA) VI-26
j. Formal State Deferral VI-30
k. NPL Listing Activities VI-31
VI.A.9 Cleanup Alternatives VI-33
a. Referral to EPA Removal VI-33
b. Deferral to RCRA VI-34
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c. Deferral to Nuclear Regulatory Commission (NRC) VI-34
d. Other Cleanup Activity VI-34
e. Formal State Deferral VI-3 6
f. Superfund Alternative Approach (SAA) VI-36
g. NPL Listing VI-37
Chapter VII: Removal Program
VILA Protect Human Health and the Environment VII-1
VII.A. 1 Overview of Removal Actions Target and Measures VII-1
VII.A.2Removal Program Performance Activity Leads VII-1
VII.A.3Data Entry Timeliness VII-2
VII.A.4Removal Initiation VII-2
VII.A.5 Action Memorandum VII-2
VII.A.6Removal Action VII-3
Chapter VIII: Remedial Program
VIII. A Remedial Program Targets and Measures VIII-1
VIII.A.1 Remedial Program Targets and Measures VIII-1
VIII.A.2 Remedial Program Performance Leads VIII-3
VIII.A.3 Data Entry Timeliness VIII-3
VIII.A.4 Remedial Program Definitions VIII-3
Part I. Remedy Selection VIII-3
a. Remedial Investigation VIII-3
b. Feasibility Study VIII-3
c. Combined RI/FS VIII-4
d. Treatability Studies VIII-5
e. Proposed Plan Comment Period VIII-5
f. Non-Time Critical Removal Action VIII-6
g. Remedial Decision Documents VIII-7
Part II. Remedial Implementation VI11-8
h. Remedial Design VIII-8
i. Start of On-Site Construction VIII-11
j. Operational and Functional (O&F) VIII-12
k. Final Inspection by EPA VIII-14
I. Construction Completion VIII-15
Part III. Post Construction Completion VI11-15
m. Long Term Response Action VIII-15
n. Operation and Maintenance (O&M) VIII-16
o. Cleanup Goals Achieved VIII-18
p. Groundwater Monitoring VIII-18
q. NPL Site Completions VIII-19
r. Five Year Reviews VIII-19
s. Sitewide Ready for Anticipated Use (SWRAU) VIII-22
t. Partial NPL Deletion VIII-23
u. Final NPL Deletion VIII-24
Part IV. Cross Program Revitalization Measures (CPRM) VIII-25
v. Protective for People Under Current Conditions (PFP) VIII-25
w. Ready for Anticipated Use (RAU) VIII-26
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x. Cross Program Revitalization Measures (CPRM) Indicators VIII-27
Part V Environmental Indicators VI11-29
y. Human Exposure Under Control VIII-30
z. Migration of Contaminated Groundwater Under Control VIII-35
aa. Population Protected. VIII-38
bb. Cleanup Volume VIII-39
Part VI. Support Activities VIII-39
cc. Support Agency Assistance VIII-39
dd. Technical Assistance VIII-40
Chapter IX: Federal Facility Program
IX. A Federal Facilities Goals and Priorities IX-3
IX.A.l Overview IX-3
IX.A.2 Superfund Federal Facility Goals IX-3
a. Strategic Federal Facility Goals IX-3
b. Cross Program Revitalization Measure Implementation IX-5
IX.A.3 EPA's Federal Facility Superfund Cleanup Principles IX-5
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment IX-8
a. Overview IX-8
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process IX-8
c. Federal Facility Site Assessment Process and Time Frames IX-9
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 ...IX-10
e. Federal Facility Site Assessment Reports & EPA Review andHRS EvaluationlX-
11
f. Tracking of Federal Facility Sites in SEMS IX-12
IX.A.5 BRAC Budget and Financial Guidance IX-12
a. Resources and Tracking Mechanisms IX-12
IX.A.6 Cleanup Privatization at BRAC NPL Sites IX-13
IX.A.7 Military Munitions Response Program IX-14
IX.A.8 Stakeholder Involvement IX-15
IX A.9 Land Use Controls (LUCs) IX-15
IX B Federal Facilities Targets and Measures IX-16
IX.B.l Overview of Federal Facilities Targets and Measures IX-16
IX.B.2 Data Entry Timeliness IX-17
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions IX-17
a. Remedial Site Initiation (Discovery) IX-17
b. Federal Facility Preliminary Assessment Reviews IX-18
c. Federal Facility Site Inspection Reviews IX-19
d. Federal Facility Expanded Site Inspection (ESI) Reviews IX-20
IX.B.4 Federal Facilities Accomplishment Definitions IX-21
a. Base Closure Decisions IX-21
b. Non-BRAC Property Actions IX-22
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) IX-24
d. Federal Facility Dispute Resolution IX-24
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) IX-24
f. Decision Documents IX-25
g. Final Remedy Selected IX-26
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h. Remedy Decision Changes IX-2 7
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) IX-2 7
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)IX-28
k. Removal or RCRA Interim/Stabilization Measure (ISM) IX-29
I. Operation and Maintenance (O&M) IX-30
m. Cleanup Goals Achieved IX-30
n. Percent Construction Completion IX-31
0. Federal Facility Five Year Reviews IX-32
IX.B.5 Community Involvement Definitions IX-34
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) ..IX-
35
b. Technical Assistance Grants (TAGs) IX-35
IX.B.6 Cleanup Privatization at BRAC NPL Sites IX-36
Chapter X: Enforcement
X.A Enforcement X-l
X.A. 1 Promoting the Superfund Enforcement Program X-l
X.A.2 Overview of Enforcement Program Targets and Measures X-2
X.A.3 Superfund Alternative Approach (SAA) Sites X-3
X.A.4 Enforcement Program Performance Leads X-5
X.A.5 Data Entry Timeliness X-5
X.A.6 Releasability of Enforcement Planning Data X-5
X.A.7 Enforcement Program Definitions X-6
a. Potentially Responsible Party (PRP) Search Starts X-6
b. PRP Search Completions X-6
c. Preliminary PRP Search Completion X-6
d. Section 104(e) Referrals and Orders Issued X-8
e. Submittal of Pre-Referral Negotiation (PRN) Package to DO Jfor RD/RA
Negotiations X-9
f. Issuance of General Notice Letters (GNLs) X-9
g. Issuance of Special Notice Letters (SNLs) X-9
h. Issuance of Demand Letter X-l 0
1. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic X-10
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic) X-l 2
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations).. X-l3
I. Total Response Commitments (Including Dollar Value) X-l 4
m. Volume of Contaminated Media Addressed (VCMA) X-l 7
n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement. X-l 8
o. Total Amount of Response Commitments Secured through Financial Assurance
X-20
p. De Minimis Settlements and Number of Parties X-21
q. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)X-22
r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy X-23
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s. Total Cost Recovery Settlements (Including Dollar Value) X-25
t. Total Value ofPRP Oversight X-27
u. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations X-27
v. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs) X-28
w. Issuance of Comfort/Status Letters X-29
x. Contiguous Property Owners (CPOs) X-29
y. Windfall Lien Resolution - Finalized. X-30
z. PRP Oversight Administration X-31
aa. Settlements Designating Funds for Deposit to Special Accounts X-32
bb. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
X-33
cc. Pre-Remedial Enforcement Action at Superfund Sites X-34
X.A.8 Site Revitalization X-34
Chapter XI: Community Involvement
XI. A Introduction XI-1
XIB National Program Requirements XI-1
XI.B.l Program Goals and Objectives XI-1
XI.B.2 Regulatory and Policy Requirements XI-1
XI.B.3 Roles and Responsibilities XI-1
XI.B.4 Data Entry Timeliness XI-2
XIC Community Involvement Activities XI-2
XI.C.l Overview of Community Involvement Activities XI-2
a. Community Involvement Plans (CIP) XI-3
b. Community Advisory Groups (CAGs) XI-3
c. Technical Assistance Grants (TAGs) XI-4
d. Technical Assistance Services for Communities (TASC) XI-4
Chapter XII: Information Systems
XII. A Information Systems XII-1
XII.A.1 Overview of SEMS XII-1
a. Remedial Site Assessment (See chapter VI) XII-2
b. Removal Program (See chapter VII) XII-2
c. Remedial Program (See chapter VIII) XII-2
d. Federal Facility Program (See chapter IX) XII-3
e. Enforcement Program (See chapter X) XII-3
f. Community Involvement (See chapter XI) XII-4
g. Project Management XII-4
h. Program Management. XII-5
XII.A.2SEMS System Components XII-5
XII.A.3Reporting Superfund Information XII-6
XII.A.4SEMS Information on the Internet XII-6
a. Superfund Site Profile Pages (SPP) XII-6
b. Superfund Records Collections (SEMS-PUB) XII-7
c. Superfund Remedial Performance Measures XII- 7
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d. Superfund Data and Reports XII-7
e. Superfund Report Order Form XII-8
XII.A.5Data Owners/Sponsorship XII-8
Chapter XIII: Superfund Records Management
XIII. A Overview of Records Management XIII-3
XIII.A. 1 What is a Record? XIII-3
XIII. A.2 Purpose of Records for Superfund XIII-3
XIII.B Records Management Requirements XIII-4
XIII.B. 1 Records Management Goals and Objectives XIII-4
XIII.B.2 Regulatory and Policy Requirements XIII-5
XIII.B.3 Roles and Responsibilities XIII-5
XIIIC Capturing Superfund Records XIII-6
XIII.C. 1 Program Required/Recommended Documents XIII-6
a. Program Required Documents (exhibit XIII. 2) XIII-6
b. Program Recommended Documents (exhibitXIII. 3) XIII-7
XIII.C.2 Other Program Records XIII-7
XIII.C.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)
XIII-7
XIII.C.4 Superfund Records Reports XIII-8
XIII.C.5 Disclosure and Disposition XIII-9
Appendix A: Work Planning Memorandum
Appendix B: Regional and Headquarters Contacts
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B OSRTI Regional Coordinators (Pre-Remedial) B-2
B.C OSRTI Regional Coordinators (Remedy Selection) B-3
B.D OSRTI Regional Coordinators (Construction & Post Construction) B-3
B.E FFRRO Regional Coordinators B-4
B.F OSRE Regional Analysts B-4
B. G Regional Information Management Coordinators B-4
B.H Regional Budget Coordinators B-5
B.I HQ Superfund Cost Recovery Contacts B-5
B.J Regional Cost Recovery Contacts B-6
B.K Regional Superfund Records Managers. B-6
Appendix C: Activity/Milestone Charts
C.A Site Assessment Activities/Milestones C-l
C.B Removal Program Activities/Milestones C-2
C. C Remedial Program Activities/Milestones C-3
C.D Federal Facility Program Activities/Milestones C-9
C.E Enforcement Program Activities/Milestones C-l4
C.F Community Involvement Activities/Milestones C-21
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List of Exhibits
Exhibit n. 1. Superfund Performance Measures 11-2
Exhibit n.2. Budget Planning Timeline 11-10
Exhibit III. 1. Superfund Account Number Structure III-6
Exhibit III.2. Sample Superfund Appropriation Codes (Not Inclusive) III-9
Exhibit III.3. Superfund Program Results Codes and Site Allowance Codes III-9
Exhibit IV. 1. Regional/HQ SEMS Responsibilities IV-2
Exhibit IV.2. Activity Lead Codes In SEMS IV-8
Exhibit IV.3. Activity Codes Available for Financial Transactions Sorted by SEMS activity Name ('Who
Pays for What') IV-10
Exhibit IV.4. SEMS Activity Anomaly Reference Table IV-14
Exhibit IV.5a. Takeovers IV-16
Exhibit IV.5b. Phased Projects IV-17
Exhibit IV.5c. Other Anomalies IV-18
Exhibit VI. 1. Superfund Remedial Site Assessment Process VI-2
Exhibit VI.2. Remedial Site Assessment Activities VI-6
Exhibit VI. 3. Remedial Site Assessment Activity Qualifiers VI-10
Exhibit VI.4. Pre-CERCLA Screening Requirements VI-14
Exhibit VI.5. Remedial Site Initiation (Discovery) Requirements VI-15
Exhibit VI.6. Preliminary Assessment Requirements VI-17
Exhibit VI.7. Site Inspection Requirements VI-19
Exhibit VI.8. Site Reassesment Requirements VI-21
Exhibit VI.9. Expanded Site Inspection Requirements VI-22
Exhibit VI. 10. ESI/RI Requirements VI-24
Exhibit VI. 11. HRS Package Requirements VI-26
Exhibit VI. 12. Other Cleanup Activity Requirements VI-28
Exhibit VI.13. State Deferral Requirements VI-30
Exhibit VI. 14. NPL Listing Requirements VI-32
Exhibit VII. 1. Removal Program Activities VII-1
Exhibit VII.2. Action Memorandum Requirements VII-2
Exhibit VII.3. Removal Action Requirements VII-3
Exhibit VIII. 1. Remedial Program Activities VIII-1
Exhibit VIII.2. RI, FS, and Combined RI/FS Requirements VIII-4
Exhibit VIII.3. Treatability Study Requirements VIII-5
Exhibit VIII 4 Proposed Plan Comment Period Requirements) VIII-6
Exhibit VIII.5. Non-Time Critical EE/CA and NTCRA Requirements VIII-6
Exhibit VIII.6. Remedial Action Decision Document Requirements VIII-8
Exhibit VIII 7 Remedial Design Requirements VIII-8
Exhibit VIII.8. Remedial Action Requirements VIII-10
Exhibit VIII.9. Start of On-Site Construction Requirements VIII-12
Exhibit VIII. 10. Operational and Functional Requirements VIII-13
Exhibit VIII. 11. Final Inspection by EPA Requirements VIII-14
Exhibit VIII. 12. Construction Completion Requirements VIII-15
Exhibit VIII. 13. LTRA Requirements VIII-16
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Exhibit VIII.14. Operations & Maintenance Requirements VIII-17
Exhibit VIII. 15. Cleanup Goals Achieved Requirements VIII-18
Exhibit VIII.16. Groundwater Monitoring Requirements VIII-18
Exhibit VIII. 17. NPL Site Completions Requirements VIII-19
Exhibit VIII. 18. Five Year Review Requirements VIII-20
Exhibit VIII. 19. Partial NPL Deletion Requirements VIII-23
Exhibit VIII.20. NPL Deletion Requirements VIII-24
Exhibit VIII.21. PFP/RAU Checklist Requirements VIII-27
Exhibit VIII.22. Human Exposure Evaluation Flowchart VIII-34
Exhibit VIII.23. Superfund Migration of Contaminated Groundwater Under Control Worksheet.... VIII-37
Exhibit VIII.24. Support Agency Assistance Requirements VIII-40
Exhibit VIII.25. Technical Assistance Requirements VIII-40
Exhibit IX. 1. Federal Facilities NPL Sites IX-16
Exhibit IX.2. Remedial Site Initiation (Discovery) Requirements IX-17
Exhibit IX.3. Federal Facility Preliminary Assessment Review Requirements IX-19
Exhibit IX.4. Federal Facility Site Inspection Review Requirements IX-20
Exhibit IX.5. Federal Facility Expanded Site Inspection Review Requirements IX-20
Exhibit IX.6. Base Closure Decision Requirements IX-22
Exhibit IX.7. Non-BRAC Property Action Requirements IX-23
Exhibit IX.8. FFA/IA Requirements IX-24
Exhibit IX.9. Federal Facility Dispute Resolution Requirements IX-24
Exhibit IX. 10. RI/FS or RCRA Facility Investigation (RFI) Requirements IX-25
Exhibit IX. 11. Decision Document Requirements IX-25
Exhibit IX. 12. Final Remedy Selected Requirements IX-26
Exhibit IX. 13. Remedy Decision Change Requirements IX-27
Exhibit IX. 14. RD or RCRA CMD Requirements IX-28
Exhibit IX.15. RA or RCRA CMI Requirements IX-28
Exhibit IX. 16. Remedial Pipeline Flow Charts IX-29
Exhibit IX. 17. Removal or RCRA ISM Requirements IX-30
Exhibit IX. 18. Operation and Maintenance Requirements IX-30
Exhibit IX. 19. Cleanup Goals Achieved Requirements IX-31
Exhibit IX.20. Percent Construction Complete Calculations IX-31
Exhibit IX.21. Federal Facility Five Year Review Requirements IX-32
Exhibit IX.22. RAB/SSAB Requirements IX-35
Exhibit IX.23. Technical Assistance Grant Requirements IX-35
Exhibit IX.24. Cleanup Privatization at BRAC NPL Sites Requirements IX-36
Exhibit X. 1. Enforcement Program Performance Measures X-2
Exhibit X.2. PRP Search Requirements X-8
Exhibit X.3. Section 104(e) Referrals and Orders Requirements X-8
Exhibit X.4. Pre-Referral Negotiation Package Requirements X-9
Exhibit X.5. General Notice and 104(e) Information Request Letter Requirements X-9
Exhibit X.6. Special Notice Letter Requirements X-10
Exhibit X.7. Demand Letter Requirements X-10
Exhibit X.8. Negotiation Start Requirements X-10
Exhibit X.9. Completion or Termination of Negotiations Requirements X-12
Exhibit X. 10. Ability to Pay (ATP) Party Insurance Negotiations Requirements X-14
Exhibit X. 11. Total Response Commitment Requirements X-14
Exhibit X. 12. Summary of SEMS Compliance Status Values X-18
Exhibit X.13. De Minimis Settlement Requirements X-22
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Exhibit X.14. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) Requirements
X-23
Exhibit X.15. Past Costs Addressed >$500,000 Requirements X-24
Exhibit X.16. Total Cost Recovery Settlements Requirements X-25
Exhibit X.17. Ability-to-Pay Determination Requirements X-28
Exhibit X.18. BFPP Agreement, PPA, and PLA Requirements X-29
Exhibit X. 19. Comfort Status Letter Requirements X-29
Exhibit X.20. Contiguous Property Owner Requirements X-30
Exhibit X.21. Windfall Lien Resolution Requirements X-31
Exhibit X.22. PRP Oversight Administration Requirements X-31
Exhibit X.23. Settlements Designating Funds for Deposit to Special Accounts Requirements X-32
Exhibit X.24. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Requirements X-3 3
Exhibit XI. 1. HQ and Regional Roles and Responsibilities XI-2
Exhibit XI.2. Community Involvement Plan Requirements XI-3
Exhibit XI. 3. Community Advisory Groups Requirements XI-4
Exhibit XI.4. Technical Assistance Grants Requirements XI-4
Exhibit XI.5. TASC Requirements XI-5
Exhibit XIII. 1. Records Management Goals and Objectives XIII-4
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Superfund Program Implementation Manual
FY 18
Managers' Schedule of Significant Events
FY 18 SPIM
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MANAGERS' SCHEDULE OF SIGNIFICANT EVENTS
The Superfund Enterprise Management System (SEMS) 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. The schedule below is provided as a general timeline, which may be modified to account for any
unique circumstances the program may experience.
July 2017 - Seotember 2018
Julv 2017
July 31
Three Year Work-Planning for FY 2018-FY 2020 due in SEMS
August 2017
Early Aug
Update/distribute FY 2018 SPIM
Aug 18
Regional FY 2018 ACS performance measure initial bids due in ACS
Mid-Aug
Agency develops FY 2019 budget for submission to OMB
Aug 1-Aug 31
OSRTI/OSRE/OEM hold regional work-planning meetings
September 2017
Sept 12
Deadline for requests for recertification of deobligated funds for Superfund. Requests must be
made in Recertification database and reprogramming must be entered in COMPASS
Sept 15
1. Finalized regional FY 2018 performance measure commitments due in ACS
2. Deadline for any reprogramming (no-year, reimbursable, Budget Object Class [BOC]
realignment) in COMPASS
Mid-Late Sept.
Agency submits FY 2019 budget to OMB
October 2017 (FY 18)
Oct 1
Special account available balance information downloaded from CDW to SEMS
Oct 17
End-of-year reporting deadline for FY 2017 remedial activities and FY 2017 ACS measure
accomplishments
Oct 17
FY 2018 regional final commitment information reflecting Deputy Regional Administrator
(DRA) approval due in ACS
Oct 17
HQ pulls end of FY 2017 Superfund Comprehensive Accomplishments Plan (SCAP) reports
FY 18 SPIM
Managers' Schedule - 3
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Mid-October
1. OSRTI drafts initial FY 2018 Remedial Action funding plan
2. Memo to regions to review their Superfund Remedial unliquidated obligations
November 2017
Early Nov
Regions complete entry of special account planning data in SEMS. HQ runs SEMS reports with
special accounts planning data
Mid-Nov
Regions submit Superfund remedial ULO review results to OSRTI; OSRTI sets targets for
national remedial pool deobligations
Late-Nov /
Early Dec
OSRTI sends special account work-planning data analysis and questions to regions
Late Nov
ACS is locked to prevent further adjustments to FY 2018 commitments
January 2018 (FY 18 Quarter 2)
Jan 8
HQ pulls 1st quarter FY 2018 SCAP reports from SEMS
Early Jan
Regional responses to special account work-planning questions due to OSRTI and OSRE)
Mid Jan
Regions submit draft deobligation plans to OSRTI
April 2018 (FY 18 Quarter 3)
Apr 6
HQ pulls 2nd quarter FY 2018 accomplishment data from SEMS for mid-year ACS
accomplishments review
Mid Apr
Data entry for Special Accounts
Late Apr
HQ pulls Special Account data from SEMS
Late Apr
OSRTI and OSRE hold Special Account specific planning discussions with regions
Mav 2018
May 31
OSRTI/OSRE//OEM send work-planning memorandum to regions
June 2018
June 8 - July 6
Regions prepare response to questions on special account planning information
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Managers' Schedule - 4
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July 2018 (FY 18 Quarter 4)
HQ pulls 3rd quarter FY 2018 ACS, program measures and accomplishments data from SEMS
OSRTI/OSRE sends work planning memorandum to regions on proposed budgets, ACS
performance goals and program targets/measures for FY 2018
August 2018
Mid Agency develops FY 2020 budget for submission to OMB
T Final revisions to FY 2020 Annual Performance Goals (APG) and Annual Performance Measures
ate (APM) due to OCFO
Aug/Sept NPMs begin drafting FY 2018 Annual Performance Report
September 2018
F , Last date for requests for recertification of deobligated funds for Superfund. Request must be
made in Recertification database, and reprogramming must be entered in Compass
Mid Agency submits FY 2020 budget to OMB
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Acronyms
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A&E
Architecture and Engineering
A/T
Arranger/T ransporte
ACS
Annual Commitment System
AH
Allowance Holder
AHRC
Allowance Holder/ Responsibility Center
AOC
Administrative Order On Consent
APA
Abbreviated Preliminary Assessment
ARD
Assessment and Remediation Division
ATP
Ability To Pay
ATSDR
Agency For Toxic Substances and Disease Registry
BAS
Budget Automation System
BC
Budget Coordinator
BFPP
Bona Fide Prospective Purchaser
BFY
Budget Fiscal Year
BOC
Budget Object Class
BPEB
Budget Planning and Evaluation Branch
BRAC
Base Realignment and Closure
CA
Cooperative Agreement
CBD
Commerce Business Daily
CBOR
Compass Business Objects Reporting Tool
CC
Construction Complete
CCDS
Case Conclusion Data Sheet
CD
Consent Decree
CDW
Compass Data Warehouse
Comprehensive Environmental Response, Compensation, and Liability
CERCLA
Act
CFC
Cincinnati Finance Center
CIC
Community Involvement Coordinator
CIP
Community Involvement Plan
CIPIB
Community Involvement and Program Initiatives Branch's
CLP
Contract Laboratory Program
CMD
Corrective Measure Design
CMI
Corrective Measure Implementation
CMS
Corrective Measure Study
CN
Commitment Notices
CO
Contracting Officer
CPO
Contiguous Property Owner
CPRM
Cross Program Revitalization Measure
CPS
Contract Payment System
CR
Continuing Resolutions
DCN
Document Control Number
DERP
Defense Environmental Restoration Program
DES
Design and Engineering Services
FY 18 SPIM
Acronyms -1
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DNPV
Decision Not To Pursue Violations
DOD
Department of Defense
DOE
Department of Energy
DOJ
Department of Justice
EAS
EPA Acquisition System
EBS
Environmental Baseline Survey
EE/CA
Engineering Evaluation/Cost Analysis
EI
Environmental Indicator
EPA
Environmental Protection Agency
EPAAG
EPA Acquisition Guidelines
EPCRA
Emergency Planning and Community Right-To-Know Act
EPM
Environmental Programs and Management
ERR
Emergency Response and Removal
ERRS
Emergency and Rapid Response Services
ERS
Eligible Response Site
ESAT
Environmental Services Assistance Team
ESCA
Environmental Services Cooperative Agreement
ESD
Explanation of Significant Differences
ESI
Expanded Site Inspection
ESI/RI
Expanded Site Investigation/Remedial Investigation
ESO
Environmental Services and Operations
FAD
Final Assessment Decision
FAR
Federal Acquisition Regulations
FAS
Field Analytical Sampling
FCOR
Final Close-Out Report
FDMS
Federal Docket Management System
FDW
Financial Data Warehouse
FE&C
Federal Enforcement and Compliance
FEMA
Federal Emergency Management Agency
FF
Federal Facility
FFA
Federal Facility Agreement
FFEO
Federal Facilities Enforcement Office
FFERDC
Federal Facilities Environmental Restoration Dialogue Committee
FFLC
Federal Facilities Leadership Council
FFRRO
Federal Facilities Restoration and Reuse Office
FMD
Financial Management Division
FOIA
Freedom of Information Act
FOSET
Findings of Suitability To Early Transfer
FOSL
Finding of Suitability To Lease
FOST
Finding of Suitability To Transfer
FPS
Fellowship Payment System
FUDS
Formerly Used Defense Sites
FWS
Fish and Wildlife Service
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FY
Fiscal Year
FY/Q
Fiscal Year/Quarter
FYR
Five Year Review
GAAP
Generally Accepted Accounting Principles
GAD
Grants Administration Division
GAO
Government Accountability Office
GM
Groundwater Migration
GMUC
Groundwater Migration Under Control
GPAS
Grants Payment Allocation System
GPRA
Government Performance and Results Act
GSA
General Services Administration
HE
Human Exposure
HEUC
Human Exposure Under Control
HLS
Homeland Security
HQ
Headquarters
HRS
Hazard Ranking System
IAG
Interagency Agreement
ICIS
Integrated Compliance Information System
ID
Identification
IDIQ
Indefinite Delivery Indefinite Quantity
IDOJ
In SNC - Referred To DO J
IDOTS
Inter-Agency Doc Online Tracking System
IFAC
In SNC - Formal Action Taken and Compliance Accomplished
IFAP
In SNC - Formal Action Planned
IFAT
In SNC - Formal Action Taken
IFMS
Integrated Financial Management System
IFTO
In SNC - Fund Takeover
IGCE
Independent Government Cost Estimate
IGMS
Integrated Grants Management System
IIAC
In SNC - Informal Action Taken and Compliance Accomplished
IIAP
In SNC - Informal Action Planned
HAT
In SNC - Informal Action Taken
IIDR
In SNC - In Dispute Resolution
1MB
Information Management Branch
IMC
Information Management Coordinator
IRMS
Integrated Resource Management System
ISM
Interim/Stabilization Measure
IT
Information Technology
LGR
Local Government Reimbursement
LTRA
Long Term Response Action
LVFC
Las Vegas Finance Center
MC
Munitions Constituents
MEC
Munitions and Explosives of Concern
FY 18 SPIM
Acronyms - 3
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MIPR
Military Interdepartmental Purchase Request
MMP
Mining and Mineral Processing
MMRP
Military Munitions Response Program
MOU
Memorandum of Understanding
MP
Mineral Processing
MRS
Munitions Response Sites
MS
Mega-Site
NARA
National Archives and Records Administration
NCP
National Contingency Plan
NFFA
No Further Federal Action
NFRAP
No Further Remedial Action Planned
NN
Navajo Nation
NOA
New Obligating Authority
NOAA
National Oceanic and Atmospheric Administration
NOID
Notice of Intent To Delete
NPL
National Priorities List
NPM
National Program Manager
NRC
Nuclear Regulatory Commission
NTC
Non-Time Critical
NTCRA
Non-Time Critical Removal Action
O&F
Operational and Functional
O&M
Operation and Maintenance
OAM
Office of Acquisition Management
OARM
Office of Administration and Resources Management
OB
Office of Budget
OB/OD
Burning and Open Detonation
OC
Office of Compliance
OCA
Other Cleanup Activity
OCFO
Office of the Chief Financial Officer
OECA
Office of Enforcement and Compliance Assurance
OEM
Office of Emergency Management
OERR
Office of Emergency and Remedial Response
OGC
Office of General Counsel
OGD
Office of Grants and Debarment
OIG
Office of Inspector General
OLEM
Office of Land and Emergency Management
OMB
Office of Management and Budget
OPS
Operating Properly and Successfully
OS
Oversight
OSC
On-Scene Coordinator
OSRE
Office of Site Remediation Enforcement
OSRTI
Office of Superfund Remediation and Technology Innovation
OU
Operable Unit
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Acronyms - 4
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PA
Preliminary Assessment
PAR
Performance and Accountability Report
PAT
Performance Assessment Tool
PCOR
Preliminary Close-Out Report
PCS
Pre-CERCLA Screening
PECB
Program Evaluation and Coordination Branch
PFP
People Under Current Conditions
PII
Personally Identifiable Information
PIN
Procurement Initiation Notifications
PLA
Prospective Lessee Agreement
POLREP
Pollution Report
PPA
Prospective Purchaser Agreement
PPED
Policy and Program Evaluation Division
PRC
Program Results Codes
PRN
Pre-Referral Negotiation
PROD
Preparedness and Response Operations Division
PRP
Potentially Responsible Party
QA
Quality Assurance
QC
Quality Control
QRG
Quick Reference Guide
RA
Remedial Action
RAB
Restoration Advisory Board
RAC
Remedial Action Contract
RAF
Remedial Acquisition Framework
RAPC
Remedial Action Project Completion
RAU
Ready For Anticipated Use
RCRA
Resource Conservation and Recovery Act
RD
Remedial Design
RD/RA
Remedial Design/Remedial Action
RES
Remediation Environmental Services
RFA
RCRA Facility Assessment
RFI
RCRA Facility Investigation
RFO
Regional Finance Office
RFP
Request For Proposals
RI
Esi/Remedial Investigation
RI/FS
Remedial Investigation/Feasibility Study
RMA
Records Management Software Application
RMD
Resources Management Division
ROD
Record of Decision
RPIO
Responsible Program Implementation Office
RPM
Remedial Project Manager
RPO
Regional Program Office
RTP
Research Triangle Park
FY 18 SPIM
Acronyms - 5
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SA
Site Allowances
SAA
Superfund Alternative Approach
SAM
Site Assessment Manager
SARA
Superfund Amendments and Reauthorization Act
SCAP
Superfund Comprehensive Accomplishments Plan
SCORPIOS
Superfund Cost Recovery Package and Image On-Line System
SDMS
Superfund Document Management System
SDWA
Safe Drinking Water Act
SEE
Senior Environmental Employee
SEMS
Superfund Enterprise Management System
SEMS-PUB
SEMS-Publishing
SEMS-RM
SEMS Records Management Module
SEMS-SM
SEMS Site Management Module
SI
Site Inspection
SMOA
Superfund Memorandum of Agreement
SNC
Substantial Noncompliance
SOL
Statute of Limitations
SPIM
Superfund Program Implementation Manual
SPITS
Small Payment Information Tracking System
SPP
Site Profile Pages
SRNF
Compliance Status Reviewed - Not In SNC
SSC
Superfund State Contract
SSID
Site/Spill Identification Code
START
Superfund Technical Assistance and Response Team
SWRAU
Sitewide Ready For Anticipated Use
TAG
Technical Assistance Grant
TAPP
Technical Assistance For Public Participation
TASC
Technical Assistance Services For Communities
TC
Time Critical
TCE
Trichloroethylene
TDD
Technical Direction Document
TMOA
Tribal Memorandum of Agreement
TOSC
Technical Outreach Services For Communities
TSD
Treatment, Storage, and Disposal
UAO
Unilateral Administrative Order
USACE
United States Army Corps of Engineers
USCG
U.S. Coast Guard
UST
Underground Storage Tanks
UU/UE
Unlimited Use and Unrestricted Exposure
VCMA
Volume of Contaminated Media Addressed
WEBOS
Web Order System
WOSC
Work Under Order/Settlement Completed
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Superfund Program Implementation Manual
FY 18
Summary of Changes
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Summary of Changes to FY 18 SPIM
Superfund Program Implementation Manual (SPIM) Leads
Chip Love - Acronyms, Summary of Changes, Chapters I, IV, XII, Appendix A, and Appendix
B
Art Flaks - Manager's Schedule of Events, Chapters II, III, IV, and Appendix A
Randy Hippen - Chapters V, and VI
Peter Oh - Chapter VII
Rob Fox - Chapter VII
Brenda Haslett, Kerry Street, and Jen Hovis - Chapter VIII
Mary Bell - Chapter X
Helen DuTeau - Chapter XI
Jennifer Sutton - Chapter XII
Emily Johnson - Chapter XII
Ross Gilleland- Chapter XIII
Paul VanReed - Chapter XIII
Tracey Hopkins - Appendix B
Overarching changes to the SPIM include:
Updated links to websites to reflect updated SEMS-Pub links where appropriate
Updated Manager's Schedule of Significant Events to incorporate changes due to the
Remedial Acquisition Framework.
Additional summary level changes can be seen in the sections below for each chapter. In addition
to these changes, there were other minor edits and corrections made throughout.
Chapter I: Introduction
Minor edits and corrections
Chapter II: Performance Measures, Planning and Reporting Requirements
Removed references to OSRE mid-year review.
Updated language in II.D.2 to incorporate changes for the Remedial Acquisition
Framework (RAF) process.
Added the PGMT-008 report to section HE. 1
Other minor edits and corrections
Chapter III: Financial Management
Updated roles in section III.B to incorporate changes for the RAF process
Updated language Exhibit III. 1 to describe the project code for non-site cooperative
agreements awarded to states.
Updated the Program Results Code (PRC) for Removal and Removal Support throughout
Updated language around reprogrammings in section III.D. 1
Updated language in section III.F. 1 to incorporate changes for the RAF process
FY 18 SPIM
Summary of Changes -1
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Updated language in sections III.G.2.a and III. J.4 for reimbursable authority for special
account and Superfund state cost share
Updated the citation for the 'Recertification Policy' throughout
Removed language that referred to the Pipeline Allocation Model from section III.G.5.b
Added a new section III. J.5 for the Close Out Process for SSCs.
Other minor edits and corrections
Chapter IV: SEMS Data Management and Coding
Added language in Exhibit IV.2 for the PS and RP lead codes
Updated Exhibit IV.3 for the new PRC and Site Allowance (SA) for Removal and
Removal Support
Other minor edits and corrections
Chapter V: Site Information
Added language in section V.B for current initiating programs
Added language in section V.E for geospatial metadata
Added language in section V.G which references Appendix B to Part 300 of the NCP
Updated language in section V.J to indicate no new site types were added
Added language in section V.K to clarify the removal of proposed NPL listing and NPL
Rule data
Added language in section V.M for a Navajo Nation Indicator in SEMS
Removed table from section V.N and added new special interest codes
Added language in section V.O for ERS exclusion
Added language in section V.Q for sites that can be archived
Added language in sections V.R, V.S, and V.T to provide instructions on how to update
certain information in SEMS.
Minor edits and corrections
Chapter VI: Remedial Site Assessment
Added language in section VI. A.8.j to clarify requirements for Formal State Deferral
Updated language in section IV.A.8.k to match Chapter V
Other minor edits and corrections
Chapter VII: Removal Program
Added language to the Special Planning/Reporting Requirements for Removal Activities,
particularly for geospatial data
Other minor edits and corrections
Chapter VIII: Remedial Program
Updated language in section VIII. A.2 to remove the references to the CERCLIS to SEMS
transition period
Updated requirements for the Start of Public Comment Period in section VIII.A.4.e
Updated requirements for Engineering Evaluation and Cost Analysis (EE/CA) and non-
time critical removal actions in section VIII.A.4.f
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Summary of Changes - 2
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Updated language in the Special Planning/Reporting Requirements for RDs in section
VIII.AAh
Updated requirements for Remedial Actions in section VIII.AAh
Updated requirements for Operational and Functional Determination in section
VIII.A.4.j, for LTRA in section VIII.A.4.m, for Operations and Maintenance in section
VIII.A.4.n, and for Cleanup Goals Achieved in section VIII. A.4.o
Added language to clarify FYR Report Due finish dates in section VIII. A.4.r
Updated requirements and Special Planning/Reporting Requirements for Partial NPL
Deletion in section VIII. A.4.t and Final NPL Deletion in section VIII. A.4.u
Other minor edits and corrections
Chapter IX: Federal Facility Program
Updated language to section IX.A.2.a regarding Property Transfer and Reuse and
Environmental Indicators.
Added language to section IX.B.2 regarding data entry timeliness as it relates to three-
year planning.
Other minor edits and corrections
Chapter X: Enforcement
Removed references to the Annual Commitment System (ACS)
Updated language in section X.A.4 to remove the references to the CERCLIS to SEMS
transition period
Removed Institutional Controls as a measure from section X.A.8
Updated language in section X.A.8 for the Site Revitalization measure
Other minor edits and corrections
Chapter XI: Community Involvement
Added Community Involvement Plans (CIPs) as an activity in section XI.C
Other minor edits and corrections
Chapter XII: Information Systems
Removed references to Primavera site schedule cascading functionality from section
XII.A.l.g
Added the FOIA 11, FOIA 12, and LIST 10 reports to the list of Superfund Data Reports
in section XII.A.4.d
Updated information regarding the data owner and data sponsor responsibilities in section
XII. A. 5
Minor edits and corrections
Chapter XIII: Superfund Records Management
Added the PGMT-006 report to section XIII.C.4
Added language to section XIII.C.5 to provide examples of a "competent authorities"
who can define when a record can be disclosed
Converted Exhibits XIII.2 and XIII.3 to Excel spreadsheets which can be sorted and
filtered. These spreadsheets were attached to the final PDF.
FY 18 SPIM
Summary of Changes - 3
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Minor edits and corrections
Appendix A: Work Planning Memorandum
Updated with the fiscal year (FY) 2018 Superfund Remedial and Enforcement Work
Planning Memorandum
Appendix B: Regional and Headquarters Contacts
Updated Subject Matter Experts and contacts as of July 2017
Appendix C: SEMS Activity/Milestone Requirements
Updated SEMS Activity/Milestone Requirements tables based on changes provided on
individual tables within Chapters
July 31,2017
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Superfund Program Implementation Manual
FY 18
Chapter I: Introduction
FY 18
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CHAPTER I; Introduction
Table of Contents
I.A Purpose 1-1
I.B Lntroduction 1-2
I B. 1 Superfund Legislative Background 1-2
I.B.2 Description of Superfund Response and Enforcement Programs 1-3
a. Superfund Remedial (303DD2) 1-3
b. Superfund Emergency Response and Removal (303DC6) 1-4
c. Federal Facilities Response (303DC9) 1-4
d. Superfund Enforcement (501EC7) 1-4
e. Base Realignment and Closure (303D41 and 303D41B4) 1-4
f. Federal Facilities Enforcement (501EH2) 1-5
L. C Superfund Enterprise Management System (SEMS) 1-5
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CHAPTER I: INTRODUCTION
LA PURPOSE
The Environmental Protection Agency (EPA), working in collaboration with other federal
agencies, states, Indian tribes, local governments and affected community members, manages
programs designed to clean up priority hazardous waste sites and releases. These programs include
Superfund, Resource Conservation and Recovery Act (RCRA) Corrective Action, and
Underground Storage Tanks (UST). The focus of these programs is to maximize the protection of
human health and the environment.
The Superfund Program Implementation Manual (SPIM) provides overarching program
management priorities, procedures, and practices for the Superfund remedial, removal,
enforcement, and Federal Facilities programs, providing the link between the Government
Performance and Results Act (GPRA), EPA's Strategic Plan, and Superfund program internal
processes. The SPIM provides standardized and common definitions for Superfund program
accomplishments and processes for planning and tracking these accomplishments through program
targets and measures.
The SPIM is part of EPA's internal control structure, and, as required by the Comptroller
General of the United States through generally accepted accounting principles (GAAP) and
auditing standards, this document defines program scope and schedule in relation to budget, and
is used for audits and inspections by the Government Accountability Office (GAO) and the Office
of the Inspector General (OIG). The SPIM is typically updated annually but may also be revised
during the year as needed.
The SPIM is divided into thirteen separate chapters. Chapter I offers an introduction of
Superfund along with descriptions of each of the Superfund programs and the Superfund
Enterprise Management System (SEMS). Chapter II describes the Superfund program measures,
budget and program planning, and reporting requirements. Chapter III describes the financial
management mechanisms within the Superfund program and addresses resource management
topics, financial vehicles for obligating resources, systems and tools that manage financial data,
Superfund resource allocation procedures, Superfund State Contracts (SSCs), and special
accounts. Chapter IV describes SEMS data elements, including codes used for targeting and
reporting accomplishments, codes that describe specific budget sources and actions, and the 'Who
Pays for What' chart. Chapter V describes the structure and key elements of the site-level
information tracked for each Superfund site.
The next six chapters highlight program priorities and initiatives and provide detailed
information on annual targets for GPRA performance measures and targets for Key Programmatic
Measures for Superfund programmatic areas, and for the removal, remedial, enforcement, and
Federal Facility programs. The chapters are given in the following order: Chapter VI: Remedial
Site Assessment, Chapter VII: Removal Program, Chapter VIII: Remedial Program, Chapter IX:
Federal Facility Program, Chapter X: Enforcement, and Chapter XI: Community Involvement.
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The last two chapters of the SPIM are Chapter XII: Information Systems and Chapter XIII:
Records and Information Management. Chapter XII describes the various modules of SEMS.
Chapter XIII describes the process of documenting records and information in the SEMS Records
Management module (SEMS-RM).
In addition, there are three appendices and an attachment that provide supplemental
information to the SPIM. Appendix A contains the most recent remedial program Work Planning
Memo that identifies the scope and schedule of work planning activities and priorities. Appendix
B includes subject matter expert and data sponsor contact information for both Headquarters (HQ)
and regional offices. Appendix C contains all the Activity Charts presented in the prior chapters
of the SPIM organized by Superfund Program Area. Attachment 1 provides a sortable and
filterable format for the Program Required and Program Recommended documents as described
by Chapter XIII.
IB INTRODUCTION
I.B.I Superfund Legislative Background
Congress passed the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), commonly called Superfund, in 1980. The Superfund program addresses
contamination from uncontrolled releases at Superfund hazardous waste sites that threaten human
health and the environment. The overarching goals of the program are to ensure the protection of
human health and the environment and to maximize the participation of potentially responsible parties
(PRP) in conducting cleanups at sites, also known as 'enforcement first.' EPA continues to generally
address the worst sites first, while balancing the need to complete response actions at all contaminated
sites.
Prior to CERCLA, there was no authority for direct federal response to hazards posed by
abandoned and uncontrolled hazardous waste sites. Existing environmental laws, such as RCRA,
provided regulatory requirements to address present activities and prevent future catastrophes, but
lacked authority to allow federal emergency and long-term responses to past hazardous waste
disposal problems.
CERCLA is unique in that it provided the first federal response authority to address the
problem of uncontrolled hazardous waste sites. CERCLA, for the first time, required EPA to step
beyond its traditional regulatory role and provide response authority to clean up hazardous waste
sites.
In October 1986, Congress reauthorized CERCLA by enacting the Superfund Amendments
and Reauthorization Act (SARA). SARA included Title III, a freestanding statute that created the
Emergency Planning and Community Right-to-Know Act (EPCRA). EPCRA is designed to help
communities prepare to respond in the event of a chemical emergency, and to increase the public's
knowledge of the presence and threat of hazardous chemicals. SARA also included the Defense
Environmental Restoration Program (DERP) which authorized the Department of Defense to
create a response program similar to EPA's Superfund remedial program.
The major regulatory framework that guides Superfund response efforts is the National Oil
and Hazardous Substances Pollution Contingency Plan (NCP). The NCP outlines a step-by-step
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process for implementing Superfund responses and defines the roles and responsibilities of EPA,
other federal agencies, states, tribes, private parties, and the communities in response to situations
in which hazardous substances are released into the environment.
The Omnibus Reconciliation Act of 1990, which extended Superfund authority, expired in
1994. Since 1994, many Congressional bills have been advanced to reauthorize the Superfund
program, but none have been enacted. Many aspects of the program that have been subject to
reauthorization proposals have been addressed through Superfund administrative reform. Through
the act of appropriations, SARA authority for the Superfund program has been extended annually.
During the 1990s, through various Defense Authorization Acts, Congress has modified provisions
of section 120, particularly those related to transfer of contaminated properties.
On January 11, 2002, President Bush signed into law the Small Business Liability Relief
and Brownfields Revitalization Act (Public Law 107-188; H.R. 2869). The law provides a new
definition of Brownfields as real property, the expansion, redevelopment, or reuse of which may
be complicated by the presence or potential presence of a hazardous substance, pollutant, or
contaminant. The law expands potential financial and technical assistance for Brownfields cleanup
and revitalization, including grants for assessment, cleanup, and job training. In addition, the law
provides limited liability relief to certain contiguous property owners and prospective purchasers
of contaminated properties, and clarifies the innocent landowner defense to encourage Brownfields
cleanup and redevelopment. The law also enhances the roles and funding for state and tribal
response programs.
I.B.2 Description of Superfund Response and Enforcement Programs
The Superfund budget reflects a continued commitment to implementing GPRA with
emphasis on completing construction at contaminated waste sites and maximizing PRP
involvement in site cleanup. Each Superfund program/project addresses a different set of goals
and priorities to achieve these objectives. The following descriptions are adapted from the Agency
Program Project Description Book.
a. Superfund Remedial (303DD2)
The Superfund remedial program implements numerous processes to determine the need
for and to conduct response actions. These processes include collecting data on sites to
determine the need for CERCLA response, adding sites to the National Priorities List
(NPL), conducting or overseeing investigations and studies to select remedies, and
designing and constructing or overseeing construction of remedies and post-construction
activities at non-Federal Facility sites, including returning sites to productive use.
Additionally, the remedial program works closely with states and communities to ensure
their meaningful involvement in cleanup decisions and implementation activities. The
remedial program also conducts technical and administrative support activities to assist,
monitor, and track response actions to ensure remedies are and remain protective, to
provide public accountability, and to recover costs from PRPs, redevelopment functions,
participation of states, tribes, and communities in cleanups, and enhancement of response
capabilities of states and tribes.
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b. Superfund Emergency Response and Removal (303DC6)
EPA's Emergency Response and Removal (ERR) program responds to chemical, oil,
biological, and radiological releases and large-scale national emergencies, including
homeland security incidents. More than 250 On-Scene Coordinators and other ERR staff
ensure that releases of hazardous substances and oil in the inland zone are appropriately
addressed when state and local first responder capabilities have been exceeded or where
additional support is needed. They also direct or monitor responses by responsible parties
or other agencies. The first priority is to prevent, reduce, or mitigate threats posed by
releases or potential releases of hazardous pollutants. The ERR program prioritizes and
provides services to sites that are known to pose greater actual or potential risk to public
health and the environment. In carrying out these responsibilities, the ERR program
coordinates with other EPA programs (including the Superfund remedial program), other
federal agencies, states, tribes, and local governments.
c. Federal Facilities Response (303DC9)
The Agency's Superfund Federal Facilities response program provides technical and
regulatory oversight at Federal Facilities, including Formerly Used Defense Sites (FUDS),
to ensure protection of human health and the environment, effective program
implementation, and meaningful public involvement, while facilitating restoration and
reuse of the properties. The Federal Facilities program provides oversight of removal,
remedial, and post-remedial work conducted by other federal agencies; this may include
technical assistance, document review, and stakeholder involvement assistance to other
federal agencies when their facilities are on the NPL.
d. Superfund Enforcement (501EC7)
The Superfund enforcement program works to ensure that PRPs either clean up
contaminated sites themselves or pay for a cleanup performed by others (i.e., EPA, a state,
or other PRPs). Superfund enforcement activities include finding the companies or people
responsible for contamination at a site; determining whether those PRPs have an ability to
pay for the cleanup; maximizing PRP performance of cleanups by negotiating Remedial
Design/Remedial Action (RD/RA) and removal settlement agreements or issuing
Unilateral Administrative Orders to all appropriate parties; monitoring and ensuring PRP
compliance with performance or payment obligations under those enforcement instruments
to ensure timely and protective cleanups at Superfund sites; and addressing cost recovery
cases where Trust Fund dollars have been used to clean up sites.
e. Base Realignment and Closure (303D41 and 303D41B4)
Base Realignment and Closure (BRAC) was an EPA/Department of Defense (DoD)
supported reimbursable program carrying out accelerated cleanup at selected BRAC sites
with the ultimate goal of providing for rapid economic conversion and redevelopment for
the local communities affected by base closure. DoD provided reimbursement to EPA on
an annual basis to fund EPA work years (FTEs) for the Agency's participation at selected
DoD BRAC installations. EPA's role was to ensure protection of human health, effective
program implementation, and meaningful public involvement while facilitating restoration
and reuse of DoD's excess properties.
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f. Federal Facilities Enforcement (501EH2)
The Federal Facilities Enforcement Office as well as the Federal Facilities regional
programs ensures that federal agencies who own sites currently listed on the NPL have an
Interagency Agreement (IAG) in place to ensure clean up and compliance with federal
environmental statutes and regulations. IAs are also referred to as Federal Facilities
Agreements (FFAs). The following is a detailed list of activities supporting this program.
Developing CERCLA guidance and policies for the Federal Facilities enforcement
program;
Negotiating FFAs/IAs with federal agencies whose sites are listed on the NPL;
Monitoring milestones provided in the FFAs/IAs to ensure full implementation;
Using dispute resolution to ensure full implementation of FFA/IA; and
Assessing stipulated penalties and using supplemental environmental projects when
appropriate.
I. C SUPERFUND ENTERPRISE MANAGEMENT SYSTEM (SEMS)
In fiscal year (FY) 2014, the Office of Superfund Remediation and Technology Innovation
(OSRTI) completed the integration of several legacy systems into SEMS, including the
Comprehensive Environmental Response, Compensation, and Liability Information System
(CERCLIS), Superfund Document Management System (SDMS), the Institutional Controls
Tracking System (ICTS), the eFacts reporting tool, and ReportLink. The following points outline
the purpose of SEMS:
Integrating the primary Superfund data collections, reporting and tracking systems into a
single system;
Meeting both immediate and strategic, long-term Superfund needs;
Serving as an official source of primary Superfund site activity data, records, and support
documentation for internal and external stakeholders;
Improving operational effectiveness, reducing costs, streamlining business processes, and
enhancing information management capabilities; and
Adapting to meet ever-changing environmental, federal and agency needs yet tailored to
meet the unique requirements of the Superfund program.
SEMS is the Superfund program's accomplishment planning and tracking data
management system. It is the Superfund program's primary data source to answer questions from
the public, Superfund stakeholders, Congress, federal and state agencies, and EPA national
program managers on the status of Superfund program accomplishments. Regions will develop
planned obligations for FY2018-FY2020 in SEMS using the Portfolio Management Tool. Regions
will also use the Edit Site Schedule screens to enter data that will become part of the Remedial
Action Framework (RAF) Acquisition Forecast. Regions plan current and outyear site and non-
site-specific accomplishments and resource use in SEMS as well as using the system to report on
actual accomplishments. EPA response and enforcement program activities and milestones as well
as state and PRP performance are tracked in SEMS. HQ uses SEMS data as the basis for tracking,
managing, and reporting on national program performance. SEMS also continues to serve as the
Superfund program's official repository of electronic records.
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Superfund Program Implementation Manual
FY 18
Chapter II: Performance Measures, Planning and Reporting
Requirements
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CHAPTER II: Performance Measures, Planning and Reporting
Requirements
Table of Contents
II. A Introduction II-l
IIB Performance Goals and Measures II-l
II.B. 1 Removal Program Measure II-5
a. Removal Actions Completed II-5
II.B.2 Remedial and Federal Facilities Program Measures II-5
a. Number of SuperfundRemedial Site Assessments Completed (Site Assessments). II-
5
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects) II-5
c. Annual Number of Superfund Sites with Remedy Construction Completed (CCs) II-
5
d. Number of Superfund Sites with Human Exposure Under Control II-6
e. Superfund Sites with Contaminated Groundwater Migration Under Control II-6
f. Number of Superfund sites Ready for Anticipated Use Sitewide (SWRAU) II-6
II.B.3 Enforcement Program Measures II-6
a. Pre-Remedial Enforcement Action II-6
b. Past Costs Addressed > $500,000 II-7
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater... 11-7
d. Total Response Commitments 11-7
e. Total Cost Recovery Settlements 11-7
f. Value of PRP Oversight 11-7
IIC Annual Performance Plan and Budget Development Cycle II-8
II.C.l Outyear II-8
II.C.2 Planning Year II-8
II.C.3 Current Year II-9
IID Planning and Reporting Cycle II-l 1
II.D. 1 Third Quarter 11-12
a. Current Year Performance Tracking 11-12
b. Planning for the Upcoming Year 11-12
II.D.2 Fourth Quarter 11-12
a. Planning for the Upcoming Year 11-12
b. End of Year Performance Tracking II-l 3
II.D.3 First Quarter (of the subsequent year) 11-13
a. Planning for the Current Year II-l 3
b. Prior Year Performance Tracking II-l 3
IIE Planning, Target, and Accomplishment Reports II-l4
II.E. 1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 11-14
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II.E.2 OSRE Management Reports 11-15
II.E.3 FFRRO Management Reports 11-16
List of Exhibits
Exhibit II. 1. Superfund Performance Measures II-2
Exhibit II.2. Budget Planning Timeline 11-10
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OLEM Directive 9200.3-153
CHAPTER II: PERFORMANCE MEASURES, PLANNING AND
REPORTING REQUIREMENTS
II.A INTRODUCTION
The Office of Emergency Management (OEM), Office of Superfund Remediation and
Technology Innovation (OSRTI), the Federal Facilities Enforcement Office (FFEO), the Office of
Site Remediation Enforcement (OSRE), and the Federal Facilities Restoration and Reuse Office
(FFRRO) are responsible for overall program planning and for reporting on Superfund program
accomplishments. This chapter describes the Environmental Protection Agency's (EPA)
performance measurement approach generally, and, more specifically, the Superfund program's
processes for planning, budgeting, tracking, and reporting progress internally and externally.
II.B PERFORMANCE GOAIS AND MEASURES
The Government Performance and Results Act (GPRA) of 1993 provides a general
framework for government accountability through the use of strategic planning. Under this
framework, EPA develops strategic plans, annual performance goals and other measures, and
national program offices develop planning and tracking mechanisms as well as conduct program
evaluations to ensure the Agency meets its goals effectively and efficiently.
The FY 2014-2018 EPA Strategic Plan, April 2014 (Strategic Plan) is the foundation of
the Agency's planning and budgeting process. The Strategic Plan is a five-year plan outlining the
Agency's mission that establishes quantifiable goals and obj ectives, including GPRA Performance
Measures, and describes the means and strategies that EPA programs employ to accomplish
environmental results over a multi-year period. The Agency must update the Strategic Plan every
three years or more often when there is significant policy, programmatic, or other type of change
to the current plan.
EPA's Annual Performance Plan defines the Agency's annual budget goals and objectives
in greater detail by linking the annual budget to the Strategic Plan. The Annual Performance Plan
contains Annual Performance Plan Commitments (Annual Commitments) for meeting the GPRA
Performance Measures in the Strategic Plan as well as additional agency performance measures.
The Annual Commitments are calculated to ensure the successful accomplishment of each five-
year cumulative GPRA Performance Measure set by the Strategic Plan. The President's annual
budget request to Congress, known as the Justification of Appropriation Estimates for the
Committee on Appropriations (also known as the Congressional Justification) also contains the
Annual Commitments.
Each year in November, the Agency publishes the Performance and Accountability Report
(PAR), which summarizes the program performance for the fiscal year (FY) just ended. The PAR
consists of three reports, a summary Highlights Report, the Agency Financial Report, and the
Annual Performance Report. The Annual Performance Report provides the results EPA achieved
against its Annual Commitments and progress toward the long-term goals established in the
Agency's Strategic Plan. Additional information on EPA's planning, budget, and annual
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performance is available at the Planning, Budget and Results webpage at:
https://www.epa.gov/planandbudget.
EPA's senior leadership also tracks Key Performance Indicators (KPIs) to advance
Strategic Goals and Cross-Cutting Fundamental Strategies described in the Strategic Plan. KPIs
are a subset of the existing Annual Commitments that are tracked in the Annual Commitment
System (ACS), which is a performance tracking module in the Agency's Budget Automated
System (BAS).
In addition, EPA maintains High Priority Performance Goals (HPPGs), which are
measurable commitments that represent high priorities for the Agency, have high relevance to the
public or reflect the achievement of key agency missions, and will produce significant, measurable
results over the next 12 to 24 months. The HPPGs for the Superfund program are also a subset of
the program's existing Annual Commitments.
Finally, Cross-Program Revitalization Measures are a collection of indicators and
performance measures that represent the Agency's effort to document progress toward land
revitalization across all of the Office of Land and Emergency Management's (OLEM) various
cleanup programs: Brownfields, Superfund, Resource Conservation and Recovery Act (RCRA)
Corrective Action, Underground Storage Tanks (UST), Federal Facilities Response, and
Emergency Response. With hundreds of communities having reclaimed formerly contaminated
properties for ecological, recreational, commercial, residential and other productive uses, EPA has
recognized the importance of measuring these revitalization accomplishments in order to better
capture and communicate their potential benefit and impact. These measures are reported through
the Superfund Program Redevelopment webpage at:
http://www.epa.gov/superfund-redevelopment-initiative/performance-measures.
Exhibit II.l identifies the venues where the Superfund measures are reported and also
identifies which Superfund programs are responsible for which measures. A description of each
measure is in the next section.
EXHIBIT HI. SUPERFUND PERFORMANCE MEASURES
Mi-;isuiv Viiik-
Slr;iU-ปk
I'liin U'RA
IVrl'iiniuiKv
Mi-;isuivs
Annii.il
lYrliiniKMH'i'
Phin
(iiinniiiiiK-iiis 'ฆ
ki'\
IVrliiniKUHv
Inrik'iiliirs
lli^li l'iiiii ii\
IVrliinnuiuv
Ciiiills
Cniss-
Prii^rciin
Ri'\ ii;ili/.;iiii>n
Mi-;isuivs
ki'spunsihk-
Siipi-i'l'iind
Pni^niin
Removal actions
completed
annually
X
X
(ACS# 137)
Removal
Number of
Superfund
remedial site
assessments
completed
(Site
Assessments)**
X
X
(ACS #122)
Remedial,
Federal
Facilities
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OLEM Directive 9200.3-153
Sir;iu-ปk
Phut U'RA
IVrriinn;iiuv
Annii.il
IVrriinii;iiui'
lปl;m
ki'\
lli^li l'iiorii\
Cmss-
Prujiriini
Ki-\ il;ili/.;ilinn
ki'spiuisihk-
Mi-.isuiv Niinu-
PitI'oiiikiikv
I'lTl'iirmiiiuv
Slipi'lI'lllHl
Mi-;isiiiv\
(iiiiiiniiiiK-iiis 'ฆ
Mi'iisuivs
Number of
Remedial Action
project
completions at
Superfund
National Priorities
X
(ACS #131)
Remedial,
Federal
Facilities
List (NPL) sites
(RA Projects)**
Annual number of
Superfund sites
with remedy
construction
completed
(CCs)**
X
(ACS #141)
Remedial,
Federal
Facilities
Number of
Superfund sites
with human
X
X
X
Remedial,
Federal
Facilities
exposure under
control
(ACS #151)
(ACS #151)
(HEUC)**
Superfund sites
with contaminated
Remedial,
Federal
Facilities
groundwater
migration under
control
X
(ACS #152)
(GMUC)**
Number of
Superfund sites
ready for
anticipated use
sitewide
X
X
(ACS #S10)
X
(ACS #S10)
X
(ACS #S10)
Remedial,
Federal
Facilities
(SWRAU)**
Acres 'Protective
for People Under
Current
Conditions' (PfP)
X
Remedial,
Federal
Facilities,
Acres 'Ready for
Remedial,
Anticipated Use'
(RAU)
X
Federal
Facilities,
Pre-Remedial
Enforcement
Action at
X
OSRE-01
Enforcement
Superfund Sites
Past Costs
Addressed >
$500,000 via
Settlements,
X
OSRE-02
Enforcement
Referral, Write-
off, or Claims in
Bankruptcy
Volume of
Contaminated
Media Addressed
X
HQ-VOL
Enforcement
(VCMA)
Total Response
Commitments
Enforcement
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OLEM Directive 9200.3-153
Measure Name
Slralegic
Plan (JPK A
IVrliirmance
Measures
Annual
IVrliirmance
Plan
('iimmilmeiils 'ฆ
ke>
IVi'liii'inance
Indicators
High Priuril>
Performance
(ฆuals
C'russ-
Pnigram
Ke\ ilali/.aliun
Measures
Kcspunsihlc
Supcrl'iind
Program
Total Cost
Recovery
Settlements
Enforcement
Value of
Potentially
Responsible Party
(PRP) Oversight
Enforcement
"Code numbers are provided for each measure tracked in ACS or the Integrated Compliance Information System (ICIS).
**Beginning in FY 2014, performance measure results include non-NPL sites with Superfund Alternative Approach
(SAA) agreements
To support the GPRA framework, the Agency has several management and reporting tools
to track its plans and accomplishments. The Office of the Chief Financial Officer (OCFO) uses the
ACS to facilitate the development and tracking of the Annual Commitments by each EPA program,
including Superfund. OCFO annually issues National Program Manager (NPM) guidance
identifying the schedule for entering data into ACS. Coordinators in the Office of Land and
Emergency Management (OLEM) and the Office of Enforcement and Compliance Assurance
(OECA) work with their regional counterparts to ensure that the regional programs are aware of
the schedule for entering draft and final bids and final performance commitments into ACS.
Regions negotiate their own specific commitments with Headquarters (HQ) during annual work
planning sessions. The work planning process is discussed in section II.D.2 in more detail.
The Integrated Compliance Information System (ICIS) is a web-based national database
for federal (and some state) enforcement and compliance data, and is managed by OECA's Office
of Compliance. ICIS is a comprehensive tool which integrates data from all media, including
Superfund, and allows users to access multi-media enforcement and compliance data. The database
is primarily used for programmatic management of EPA's federal enforcement and compliance
(FE&C) program. ICIS is used by OECA and the regions to manage information associated with
the Volume of Contaminated Media Addressed (VCMA) GPRA measure. Annually, OECA issues
the Reporting Plan memorandum and its attachments which contain a schedule and detailed
instructions for reporting FE&C activities and results for the FY. Deputy Regional Administrators
(DRAs) certify to the accuracy and completeness of the ICIS and the Superfund Enterprise
Management System (SEMS) data during end-of-year certification process lead by the Office of
Compliance.
SEMS is an internal management tool used by program staff and managers to plan and
track program activities and resource use. Various SEMS reports are used by senior Superfund
managers in the Office of Land and Emergency Management (AA OLEM), the Office of
Enforcement and Compliance Assurance (AA OECA), and the regions to monitor the progress
each region is making towards achieving annual performance goals described in the Strategic Plan
as well as help the program project future program performance.
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OLEM Directive 9200.3-153
II.B.1 Removal Program Measure
a. Removal Actions Completed
This measure tracks the number of removal completions performed by EPA or overseen
by EPA where the primary responsible party has been identified and is performing the
cleanup with or without an enforcement instrument (e.g., Administrative Order on
Compliance [AOCs], Unilateral Administrative Order [UAOs] or voluntary agreements).
The Agency or Potentially Responsible Party (PRP) is responding to the release of
hazardous substances with the goal of cleaning the contamination and protecting human
health and the environment. Removal actions fall into one of three categories: 1)
emergency, 2) time-critical, and 3) non-time critical. EPA is the lead for Superfund-lead
removal actions when the responsible party cannot be identified or is unable to perform the
cleanup. Funding for these actions comes from Superfund, established as part of
Comprehensive Environmental Response, Compensation and Liability Act (CERCLA).
II.B.2 Remedial and Federal Facilities Program Measures
a. Number of Superfund Remedial Site Assessments Completed (Site Assessments)
Remedial site assessments are performed to determine and recommend the appropriate
responses to releases of hazardous substances to the environment, including whether or not
there is a need for remedial cleanup or further EPA involvement. Completing site
assessments determines which cleanup program is the best approach for addressing site
conditions (National Priorities List [NPL], removal, state voluntary cleanup program, etc.).
This also allows the program to show benefits earlier in the cleanup process. The remedial
site assessment measure also includes two related sub-measures: 1) reduce the number of
non-federal sites over five years old without a preliminary assessment completed by 10
percent; and 2) address 10 percent of non-federal sites over 16 years old without an NPL
listing decision. Federal Facilities site assessment is performed by federal agencies (E.O.
12580) and only reviewed by EPA in accordance with the Hazard Ranking System (HRS)
criteria. More information about the site assessment measure can be found in chapter VI,
titled 'Remedial Site Assessment.'
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action [RA] Projects)
This measure demonstrates progress in reducing risk to human health and the environment,
since multiple Remedial Action (RA) projects may be necessary prior to achieving sitewide
construction completion. Completion of the RA is documented in a Remedial Action
Report (see Close Out Procedures for National Priority List Sites, OSWER 9320.2-22, May
2011). More information about the RA Proj ects measure can be found in chapter VIII, titled
'Remedial Program.'
c. Annual Number of Superfund Sites with Remedy Construction Completed
(CCs)
Construction completion means physical construction of all cleanup actions is finished at
a site, including actions to address all immediate threats and to bring all long-term threats
under control. This measure tells the public that a site has generally entered a phase of
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long-term, routine operation and maintenance. Construction completion is documented in
a Preliminary Close Out Report (Close Out Procedures for National Priority List Sites,
OSWER 9320.2-22, May 2011), and requires HQ's concurrence. More information about
the CCs measure can be found in chapter VIII, titled 'Remedial Program.'
d. Number of Superfund Sites with Human Exposure Under Control
The Human Exposure Under Control (HEUC) environmental indicator documents long-
term human health protection on a sitewide basis by measuring the progress achieved in
controlling unacceptable human exposures to contamination at Superfund Alternative
Approach (SAA) and NPL sites. Information about the HEUC indicator is available on
EPA's Superfund Remedial Performance Measures website at:
http://www.epa.gov/superfund/superfund-remedial-performance-measures.
More information about the HEUC indicator can be found in chapter VIII, titled 'Remedial
Program.'
e. Superfund Sites with Contaminated Groundwater Migration Under Control
The Groundwater Migration Under Control (GMUC) environmental indicator documents
whether contamination is below protective, risk-based levels or, if not, whether the
migration of contaminated groundwater is stabilized and there is no unacceptable discharge
to surface water. Monitoring is conducted to confirm that affected groundwater remains in
the original area of contamination. Information about the GMUC indicator is available on
EPA's Superfund Remedial Performance Measures website at:
http://www.epa.gov/superfund/superfund-remedial-performance-measures.
More information about the GMUC indicator can be found in chapter VIII, titled 'Remedial
Program.'
f. Number of Superfund sites Ready for Anticipated Use Sitewide (SWRAU)
The Sitewide Ready for Anticipated Use (SWRAU) measure tracks sites where all physical
construction of remedies is complete, human exposure is under control, and all Institutional
Controls are in place. SWRAU demonstrates the Agency's efforts to make sites ready for
reuse. This is an integral part of the Superfund process and reflects the importance of
considering future land use as part of the cleanup. It also demonstrates that land at
Superfund sites is available for the anticipated reuse as specified in the Record of Decision
(ROD) or other decision documents. Information about the SWRAU measure is available
on EPA's Superfund Remedial Performance Measures website at:
http://www.epa.gov/superfund-redevelopment-initiative/performance-measures.
More information about the SWRAU measure can be found in chapter VIII, titled
'Remedial Program.'
II.B.3 Enforcement Program Measures
a. Pre-Remedial Enforcement Action
Pre-Remedial Enforcement Action at Superfund sites is intended to maximize Potentially
Responsible Party (PRP) participation by reaching a settlement or taking an enforcement
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action by the time of the RA start at 99% of non-federal Superfund sites (with RA starting
during the FY), that have known viable, liable parties. Also, see chapter X, titled
'Enforcement,' for further discussion on the measure.
b. Past Costs Addressed > $500,000
Past Costs Addressed is the decision either to take cost recovery action by use of
administrative cost recovery settlement, to transmit a section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a Consent Decree (CD)
(with no prior litigation referral); to prepare a decision document or 10-point settlement
analysis document not to pursue cost recovery, or to file a claim in bankruptcy at 100% of
sites with statute of limitations (SOL) cases and unaddressed past Superfund costs greater
than or equal to $500,000. Also, see chapter X, titled 'Enforcement,' for further discussion
on the measure.
c. Volume of Contaminated Media Addressed (VCMA) - Soil and Groundwater
By 2018, the OECA program will obtain commitments to clean up 1,025 million cubic
yards of contaminated soil and groundwater media as a result of concluded CERCLA and
RCRA corrective action enforcement cases. Information for this target is entered into
OECA's ICIS database. Further information on calculating the VCMA may be found in
the Measure and Calculations for Volume of Contaminated Medium Addressed with
Respect to the Superfund and RCRA Corrective Action Programs, November 2003. Also,
see chapter X, titled 'Enforcement,' for further discussion on the measure.
d. Total Response Commitments
Total Response Commitments is the total universe of CERCLA enforcement instruments
(CDs, UAOs, AOCs, Consent Agreements [CAs], Bankruptcy Settlements and
Judicial/Civil Judgments [JGs]) where the parties agree to conduct cleanup work and/or
make cash payments toward future response costs at a site. The value of Total Response
Commitments is based on the estimated value of PRP response work and/or payments
(cashout) made by responsible parties toward response costs at a site. Also, see chapter X,
titled 'Enforcement,' for further discussion on the measure.
e. Total Cost Recovery Settlements
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements (CDs, AOCs, CDs, CAs, Bankruptcy Settlements, JGs, and
Administrative/Voluntary Cost Recovery actions i.e., demand letters) where the parties
agree to pay past costs to the Agency. Also, see chapter X, titled 'Enforcement,' for further
discussion on the measure.
f. Value of PRP Oversight
The Value of PRP Oversight is the total amount billed to PRPs for PRP-lead actions where
a settlement document is in place with EPA that provides for payment of federal oversight
costs. Also, see chapter X, titled 'Enforcement,' for further discussion on the measure.
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OLEM Directive 9200.3-153
lie ANNUAL PERFORMANCE PLAN AND BUDGET DEVELOPMENT
CYCLE
The Agency's budget and the Annual Performance Plan are developed hand-in-hand. The
budget development process is ongoing, and, in any given month, activities may be taking place
for several budget years at the same time. In any given year, the Agency is concurrently
formulating the President's request for the outyear budget, planning the upcoming year's budget,
and implementing (executing) the current year budget.
II.C.1 Outyear
Outyear preparation of the Annual Performance Plan and budget formulation process
begins in the spring, eighteen months prior to the start of the FY for which the budget is being
prepared. Budget formulation is guided by the Strategic Plan, the Annual Performance Plan.
agency initiatives, and other emerging priorities. The Annual Performance Plan includes
objective, results-oriented, quantifiable, and measurable performance goals; resources necessary
to meet goals; performance indicators to assess outputs, services, and outcomes; and verification
and validation procedures. Development of the budget requires identification of major program
issues, analysis of program costs, and alignment of resources among competing priorities. The
plan, initiatives, priorities, and the budget are established through a series of executive level
meetings, which take place in the late spring and early summer. The Annual Performance Plan
includes objective, results-oriented, quantifiable, and measurable performance goals; resources
necessary to meet goals; performance indicators to assess outputs, services, and outcomes; and
verification and validation procedures. Development of the budget requires identification of major
program issues, analysis of program costs, and alignment of resources among competing priorities.
The plan, initiatives, priorities, and the budget are established through a series of executive level
meetings, which take place in the late spring and early summer.
EPA program offices generally submit budget formulation proposals to OCFO in the late
spring. SEMS outyear planning data are used to inform senior managers of Superfund program
resource trends and highlight opportunities to invest or disinvest in specific initiatives. As such,
high quality site planning data are essential. Once the proposals pass through an internal review
process, EPA submits its proposal to the Office of Management and Budget (OMB) in the late
summer. After the late fall OMB 'passback', during which time other revisions to EPA's proposals
may be made, the President submits a final budget (Annual Performance Plan and Congressional
Justification) to Congress by the first Monday in February for the new FY beginning on October
I.
II.C.2 Planning Year
The second component of the budgeting process begins the summer before the upcoming
FY and involves revising the budget in anticipation of enactment of an appropriation and
determination of the allocation of funds for the regions for the new FY. During Phase I of operating
plan development, OCFO sets preliminary targets, based on the President's budget request, for the
national programs to use for developing initial resource allocations for regional budgets by budget
object class (BOC) and other categories so that the financial system will be ready to make funds
available once an appropriation (or continuing resolution) is passed. OCFO pre-calculates the
regional targets for some of these categories, such as budgets for non-site travel, working capital
fund, workforce support, and payroll. The Superfund national program offices determine resource
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allocations for the regions for the other BOC categories, including contracts and interagency
agreements, grants and cooperative agreements, and site travel, but are not required to distinguish
the allocations among these BOCs. OLEM program offices allocate most of these resources to the
regions using site allowance codes that allow these program offices to budget the use of regional
resources at a more detailed level in the Agency's financial system. OSRE does not use a site
allowance code for budgeting enforcement resources to the regions, but the OSRE regional
allocation is still often referred to as a site allowance.
Some HQ program offices (the remedial program in particular) initially assign most of the
resources to a Regional Reserve, which does not identify the specific amounts that individual
regions will receive in the upcoming year. Rather, during annual work planning meetings that start
in late summer, HQ program offices review and analyze regional Superfund implementation and
funding plans (based on SEMS data) and develop preliminary budget estimates for the regions for
the upcoming year. The financial management components of this manual focus on the use of
resources issued to the regions through the site allowances. A description of the financial
management process is outlined in chapter III, titled 'Financial Management.'
II.C.3 Current Year
Phase II of operating plan development advances the planning year into the budget
execution year as the new FY begins and the appropriation is enacted by Congress. Enacted
operating plans for HQ and regional offices are finalized in the Agency's BAS by BOC, and OCFO
issues initial resources to the programs through the Agency's financial management system.
Those HQ Superfund program offices that maintain Regional Reserve resources will send
(issue or reprogram) these resources to individual regions throughout the course of the year in site
allowances according to site-specific allocation methodologies, formulas, or funding plans
(program-specific details are provided in the section on site allowances). For example, once funds
become available, the HQ remedial program office will develop a preliminary ongoing
construction funding plan and issue first quarter RA and Pipeline Operations Site Allowance
resources to the regions. The HQ remedial program office will issue additional funds later in the
year, taking into consideration changing regional plans.
In some years, an appropriation is not enacted by the start of the FY, and Congress passes
one or more continuing resolutions (CR) to fund the government until a final appropriation is
enacted. Under a CR, only a portion of the annual appropriation is made available for the Agency's
use. OCFO issues special guidance to address funding issues under the CR, and any increases,
reductions or mandated redirections are reflected in the Agency's final operating plan. Under short
term CRs, the program offices work very closely with the regions to determine the funding needs
on a monthly (or weekly) basis to ensure that the limited available resources are allocated where
needed.
Superfund HQ program offices expect regions to work within the annual regional
Superfund budgets allocated to them. Agency-wide policy allows regions and HQ offices to shift
resources among programs (e.g., Superfund remedial and Superfund enforcement) on a limited
basis throughout the year as long as they are consistent with specific program office and OCFO
policies regarding those shifts. Within a specific program (e.g., Superfund remedial), regional
Superfund program offices may shift appropriated funds among site allowances (e.g., Pipeline
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Operations and Remedial Action), but only with prior HQ program office approval. HQ program
offices also use a mid-year evaluation/review process to assess progress in meeting performance
targets and to realign resources in the current FY. Current year resource adjustments focus on
changes needed due to cost and project schedule modifications. Changes may result in resource
shifts both within program areas and among regions.
Exhibit II.2 provides a timeline for the formulation, planning, and execution processes.
Timing for some activities is dependent on the completion of other actions; e.g., occasions when
Congress does not pass an appropriation by the beginning of the FY.
EXHIBIT II.2. BUDGET PLANNING TIMELINE
Month
Oul.tcar liml^cl
(l-'Y 2)
Planning Year liud^ol
(l-'Y 1)
('iirrcnl Year ISudticI
(l-'YO)
(From September Outyear
Budget FY)
(From September Plan Budget
FY)
October
Congress provides resources to
the Agency in the form of an
annual appropriation or
continuing resolution.
OCFO loads resources into
Compass enabling spending, and
once the appropriation is
enacted, EPA submits the
Agency's Operating Plan to
Congress to finalize the enacted
budget. OLEM develops
preliminary ongoing
construction funding plan and
issues first quarter RA and
Pipeline Operations Site
Allowance resources to regions.
OECA and the Office of
Compliance (OC) approve
allocation of the initial technical
Enforcement Site Allowance and
the Full Year Site Allowance for
the legal case budget
November
OMB passback of budget
request
OCFO issues prior year
carryover
December
Revision to the Agency's
Strategic Plan begins
HQ appeal of the OMB budget
passback
January
OLEM issues second quarter RA
Site Allowance resources to
regions
February
President submits budget request
to Congress
March
Congressional Appropriation
Hearing on President's Budget
Third quarter Response Site
Allowances and remaining call
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Month
Oul.tear limlgel
(l-'Y 2)
Planning Year ISudgel
(l-'Y 1)
('urrenl Year ISudgel
(l-'YO)
memo for Enforcement Site
Allowance are issued
April
Annual national goal meetings
are held
OLEM pulls programs and
financial planning information
from SEMS to help OLEM
managers develop proposals
Mid-year assessment held to
evaluate regional progress and
utilization of regional
programmatic budgets
OLEM issues third quarter RA
Site Allowance allocation to
regions. OECA issues second
allocation of Enforcement Site
Allowance resources.
May
National planning meetings are
held and NPMs submit
investment/disinvestment
proposals
OLEM generally begins to
approve recertification requests
of deobligated resources (may
occur earlier)
June
OMB sets budget targets and
OCFO issues policy for budget
formulation
Regions submit and OLEM pulls
program and financial planning
information from SEMS
(planning year budget process
begins here)
Fourth quarter response Site
Allowances calculated
July
OCFO begins review process of
national program proposals,
develops a straw budget, and
conducts a budget forum
OLEM reviews and analyzes
regional budget estimates.
Phase I operating plan
development data are entered
into BAS.
OECA develops allocation of
Enforcement Site Allowance for
Phase I operating plan.
OLEM issues fourth quarter RA
Site Allowance resources and
final allocation of Pipeline Site
Allowance resources.
HQ pulls target/accomplishment
and financial data from SEMS
for analysis of program
accomplishments and
obligation/commitment rate.
August
Agency leadership makes budget
decisions and EPA submits
proposed budget to OMB on the
second Monday of the month.
OLEM/OECA/regions hold
work planning meetings to
establish budget/targets for
planning year.
OLEM/OECA continues to pull
target/accomplishment and
financial data from SEMS for
analysis of program
accomplishments and regional
obligation commitment rate.
September
(Go to beginning of Planning
Year Budget)
OLEM develops preliminary
ongoing construction funding
plan
(Go to beginning of Current
Year Budget).
II.D PLANNING AND REPORTING CYCLE
The Superfund planning and reporting process is roughly a 16-month cycle beginning in
June. The cycle ends with final accomplishment reporting after the completion of the fiscal
implementation year. Because the duration of this cycle exceeds a year, multiple cycles overlap,
which means the regions and HQ conduct reporting activity for the current year and planning
activity for subsequent years at the same time.
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II.D.1 Third Quarter
a. Current Year Performance Tracking
On the sixth working day of April, OSRTI pulls second quarter planning and
accomplishment data for the current FY from SEMS. Generally, OSRE pulls second
quarter enforcement accomplishments data from SEMS and other systems on the eleventh
working day of April.
Shortly after the sixth working day of April, OSRTI transfers mid-year Annual
Performance Measures data into ACS.
In the April/May timeframe, HQ and the regions hold mid-year reviews to discuss regional
progress in achieving current year negotiated targets and regional budget utilization
(obligation rates). These discussions provide HQ and the regions with an opportunity to
assess performance, consider the impact of regional program performance on the
Superfund pipeline, and identify trends in program performance and adjust program
management strategies accordingly. These meetings also facilitate communications
regarding site-specific technical and funding issues as well more general policy and
strategic planning questions. During the mid-year review processes, the regions are also
expected to update plans to use available funds in each special account in a manner
consistent with guidance. Special accounts are discussed further in section III. J of chapter
III, titled 'Financial Management.'
b. Planning for the Upcoming Year
In late spring, HQ issues a Superfund Remedial and Enforcement Work Planning
memorandum that outlines the process for the upcoming work planning sessions. The work
planning memorandum includes the schedule, scope, and areas of emphasis for developing
the upcoming year's priorities, targets, and budgets. A copy of the Superfund Remedial
and Enforcement Work Planning memorandum is included in appendix A of the Superfund
Program Implementation Manual (SPIM).
The Federal Facilities program conducts a separate work planning session with the regions
that addresses similar topic areas as the remedial program, but with a program-specific
focus. Schedules for this discussion is determined on an annual basis.
Work planning sessions between HQ program offices and the regions allow HQ to
communicate program priorities, discuss new initiatives, and obtain preliminary estimates
for program performance and funding needs for the upcoming FY. HQ may also use this
opportunity to review past and projected regional accomplishments, historical obligation
trends, and planned durations/dollars to ensure that the region is planning the appropriate
amount of work given the dollars it is requesting.
II.D.2 Fourth Quarter
a. Planning for the Upcoming Year
HQ staff holds work planning meetings with each region twice a year. Pursuant to the
guidance in the Superfund Remedial and Enforcement Work Planning memorandum,
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regions will enter the applicable planning data into SEMS by a date designated by HQ in
the Work Planning memorandum, and HQ program offices will review program target and
accomplishment data before the meetings. Data to be reviewed include planned
obligations; government-performed and PRP-performed planned activities/site schedules;
and RAF task order plans for Fiscal Years 2018-2020. In addition to the planning year, a
continued focus will be placed on three-year work planning. By extending our work
planning focus to three future years, OLEM will be able to better support budget
justifications and forecasts, better integrate the Remedial Acquisition Framework (RAF)
into project planning, more strategically manage Special Accounts, and improve overall
program performance.
The regional work planning meetings scheduled to take place in the summer of 2017 will
cover FY 2018, FY 2019 and FY 2020, plus past performance.
b. End of Year Performance Tracking
HQ pulls preliminary end-of-year accomplishments on the fifth working day of September
as a starting point for preparing for the end-of-year assessment that occurs in November.
This information gives HQ an indication of progress expected through the end of the year
and allows the regions and HQ to identify and review final issues that may affect program
success. In the final weeks of the FY, HQ staff from each Superfund program office will
closely monitor regions' progress toward meeting Annual Performance Plan commitments
and ensure that the accomplishment data are entered into SEMS, ACS, and ICIS in a timely
manner.
II.D.3 First Quarter (of the subsequent year)
a. Planning for the Current Year
During the first quarter of the FY, HQ meets with the regional division directors to discuss
the national program's annual performance goals. OSRTI develops a preliminary ongoing
construction funding plan and allocates RA and Pipeline Operations Site Allowance
resources to the regions. FFRRO finalizes regional commitments and has discussions on
budget allocation during end-of-year regional work planning meetings.
b. Prior Year Performance Tracking
HQ pulls final SEMS accomplishment reports for annual performance measure
accomplishments as well as all other regional accomplishments on the eleventh working
day (holidays are not counted as a working day) of October. OSRTI and OEM annual
performance measure data are transferred to ACS by HQ after a short review period
following the eleventh working day of October. Regions explain differences that occur
between the commitment and actual performance using the 'Comments' field on the results
screen in ACS. HQ will publicly report these accomplishments in late October to mid-
November. This schedule allows regions opportunity to review end-of-year financial data,
ensure that all accomplishments are accurately reflected in SEMS, and determine when the
commitments were met.
Although OSRE coordinates end-of-year accomplishment reporting with OLEM and
OECA, OECA's accomplishments reporting schedule differs from Superfund's. Each year,
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OLEM Directive 9200.3-153
OECA issues the current FY's reporting plan. The 'Reporting Plan' describes the
enforcement and compliance reporting requirements for regional and OECA offices,
including key dates for second quarter and end-of-year data entry and reporting as well as
data certification deadlines. Typically, the annual 'Reporting Plan' is distributed to the
regions in April.
II.i: PLANNING, TARGET, AND ACCOMPLISHMENT REPORTS
The following lists provide the primary SEMS reports used by HQ and the regions to track
regional performance. The first set of reports is used to establish regional targets/measures and to
evaluate and report regional accomplishments. OSRE and FFRRO-specific management reports
are also identified. OEM does not use SEMS to run any management reports.
Additionally, Superfund also maintains a set of senior management reports that illustrate
site progress through the Superfund pipeline and the involvement of PRPs in cleanup activities.
These reports include regional, state, or national views and the reports on site assessment, Federal
Facilities, construction completions, performance on annual commitments and other internal
program measures and provide a comprehensive picture of program activity.
II.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting
PGMT-008: The Actions and Associated Planned Ob Report is used by EPA to display
activities with planned obligations associated to them. There are several options available
to run the report including by Planned Ob Type, Planned Ob FY, and Program Area.
SCAP-002: The Site Summary Report is used by EPA to display enforcement sensitive
SEMS data for NPL and non-NPL sites.
SCAP-004: The Financial Report will display aggregate dollars by program area and
provide both site-specific and non-site specific backup from SEMS. There will be various
options available to run the report by specific program areas.
SCAP-013: The Site Assessment Report is used for reporting site assessment plans and
accomplishments. This report tracks a wide range of site assessment activities and
complements the remedial site assessment completion data included on the SCAP-15
GPRA report.
SCAP-014: The Superfund Accomplishments Report is used to track targeting, planning,
and accomplishment actions in support of the remedial, enforcement, removal, and Federal
Facility programs.
SCAP-015: The GPRA Report is used to track GPRA performance goals and measures in
support of the Response program.
SA-006: Site Assessment Accomplishments report is used to report the results of
assessments completed during the fiscal year and the number of sites needing remedial
assessment.
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SA-031: The Final Assessment Decisions report is used to report the number of final
assessment decisions (FADs) made during the fiscal year. FADs are a component of EPA's
cross-program CERCLA site assessment measure.
SA-034: Remedial Site Assessment Completion Sub-Measures report tracks progress
towards completing remedial Preliminary Assessments at sites over five years old and
making NPL listing decisions at sites over 16 years old.
II.E.2 OSRE Management Reports
ENFR-003: The Settlement Master Report is the official OSRE accomplishment report.
This report displays and summarizes all settlements completed during the user selected
time frame. It displays the Value of Past Costs, Value of Cashout Dollars, or the Estimated
Value of PRP Response for the settlement, remedies, and other qualifier information.
ENFR-004: The PRPs, Party Listing Report displays the PRPs and their information for a
Site or all Sites associated with PRPs and their corresponding enforcement instrument or
notice letter activity.
ENFR-007: The De Minimis Settlement Report provides a master list of settlements for
Cost Recovery and Response. For each settlement, the report identifies the associated
number of Parties, Compliance Status, Start and Finish dates, Lodging or Intent to Comply
data, Statutes, Remedies, Settlement Type and Qualifier and Cost Recovery, Penalty
Cashout or Value of Work Financial data. This report is used for comprehensive planning
purposes.
ENFR-011: The Ongoing Remedial Design/Remedial Action (RD/RA) Negotiations
Timeline Report is used to track the duration of ongoing RD/RA negotiations. The report
shows categories of duration (e.g., between 60 and 120 days).
ENFR-016: The Cost Recovery Decision Documents Report provides justification why
past costs are unrecoverable and written off.
ENFR-017: The Cost Recovery Targeting Report is a tool used to identify potential targets
for cost recovery with upcoming statute of limitations.
ENFR-022: The ROD Amendment and RD/RA Negotiations Report is used to track
RD/RA negotiation progress. The report is categorized into RD/RA negotiations started
from signed ROD and No RD/RA negotiations started from signed ROD.
ENFR-025: The Administrative/Unilateral Orders Issued Report lists AOCs and UAOs that
have been issued. The report is an audit report for the ENFR-03 Report.
ENFR-066: The RA Starts with Viable PRPs Report is the Official GPRA measure report
to track enforcement instruments for RA actions started within the user specified year with
viable PRPs.
ENFR-067: The Financial Assurance Report is used to identify response settlements where
financial assurance is required as well as a tool to monitor and track when a financial
mechanism is coming up for renewal based on the financial mechanism expiration date.
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OLEM Directive 9200.3-153
II.E.3 FFRRO Management Reports
The Federal Facility Accomplishments Report is a subset of the SCAP-014 report. It
includes several extra categories concentrating specifically on accomplishments at Federal
Facility sites (NPL, non-NPL, and Base Realignment and Closure [BRAC])
FF-005: The Federal Facility Audit Report lists all of the Federal Facility data issues
detected in SEMS for the selected FY.
FYR-003: This contains all the data formerly in the Federal Facility Five Year Review
Status Report. It lists the status of all the planned and completed Federal Facility Five Year
Reviews.
CPRM Audit-002: This contains all the data formerly in the Federal Facility Findings of
Suitability to Transfer (FOST)/Findings of Suitability to Lease (FOSL)/ Environmental
Baseline Survey (EBS) Reports and in the Federal Facilities Site Summary Report. It lists
the EBS finish date and all of the FOST, FOSL and Findings of Suitability to Early Transfer
(FOSET) that EPA has concurred on in the selected FY. Also included are summaries of
all the actions, EBSs, FOSTs, FOSLs, FOSETs and Supplemental Environmental Projects
(SEPs) for the entire history of all the Federal Facilities in the selected region(s).
FF-015 - FF Percent Complete: This report is used by the Federal Facilities program to
measure incremental progress at operable units within a larger Federal Facilities NPL site.
The FF Percent Complete is based on an average of three specific factors at each Federal
Facility NPL site: 1) Operable Unit (OU) percent complete; 2) Total actions percent
complete; and 3) Duration of actions percent complete.
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Superfund Program Implementation Manual
FY 18
Chapter III: Financial Management
FY 18
SPIM
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CHAPTER III: Financial Management
Table of Contents
III.A Introduction III-l
III.B Financial Management Roles and Responsibilities III-l
III.B. 1 Regional Organization Financial Roles and Responsibilities III-l
a. Regional Administrator (unless delegated) III-l
b. Regional Finance Office (RFO) III-l
c. Regional Program Office (RPO) III-2
d. Administrative Support Unit III-2
III.B.2 Regional Staff Financial Roles and Responsibilities III-3
a. On-Scene Coordinator (OSC) Ill-3
b. Remedial Project Manager (RPM) Ill-3
c. Regional Project Officer or Deputy Project Officer III-4
III.B.3 Headquarters Support Office Financial Roles and Responsibilities III-4
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO III-4
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO III-4
c. Office of Acquisition Management (OAM), OARM. III-5
d. Office of Budget, OCFO Ill-5
e. Office of the Controller, OCFO III-5
f. Office of Grants and Debarment (OGD), OARM. Ill-5
g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,
OCFO Ill-5
III C Superfund Accounting Information III-6
III.C. 1 Superfund Account Number III-6
III.D Financial Data Management Tools III-9
III.D. 1 Budget Automation System (BAS) 111-10
III.D.2 Compass 111-10
III.D.3 Compass Data Warehouse (CDW) 111-10
III.D.4 Compass Business Objects Reporting Tool 111-10
III.D.5 Superfund Enterprise Management System (SEMS) III-l 1
III.E Handling Financial Data in the SEMS Environment III-l 1
III.F Financial Vehicles III-l2
III.F. 1 Contracts 111-12
III.F.2 Interagency Agreements (IAs) III-l 2
III.F.3 Cooperative Agreements (CAs) 111-12
III.F.4 Grants Ill-13
III G Allocating Superfund Resources Among the Regions 111-13
III.G.l Managing Site Allowance Resources in SEMS 111-14
III.G.2 Using Prior Year Funds 111-14
a. Carryover Ill-14
b. Deobligations III-l 4
III.G.3 Removal Program Resources (PRC 303DC6) Ill-15
III.G.4 Homeland Security Resources (PRC 303D72) Ill-16
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III.G.5 Remedial Response Program Resources (PRC 303DD2) 111-16
a. Remedial Action Site Allowance III-l 6
b. Pipeline Operations Site Allowance III-l 7
III.G.6 Superfiind Federal Facilities Response Program (PRC 303DC9) Ill-17
III.G.7 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific]) III-l 8
III.G.8 Superfund Enforcement Program (PRC 501EC7) III-l8
III.G.9 Federal Facilities Enforcement Program Resources (PRC 501EH2) III-l8
III.H Cost Recovery III-l 9
III.H. 1 Recoverable Costs 111-20
a. Direct Costs 111-20
b. Contractors' Annual Allocation Costs 111-20
c. Indirect Costs 111-20
III.I Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 111-21
111.1.1 WQ SSID and WQ Action Code 111-21
a. WQSSID 111-21
b. WQ Action Code 111-22
111.1.2 ZZ SSID 111-22
111.1.3 00 SSID 111-22
III J Superfund State Contracts (SSC) and Cooperative Agreements (CA) 111-23
III.J. 1 Cost Share Provisions 111-23
III.J.2 Constraints on Obligating Funds for RA 111-24
III.J.3 Cost Share Payments 111-25
III.J.4 Using Funds from State Cost Share Payments 111-25
III. J.5 Close Out Process for SSCs 111-26
III.K Special Accounts 111-26
III.L Using the Fiduciary Reserve to Address Cost Overruns 111-27
List of Exhibits
Exhibit III.I. Superfund Account Number Structure III-6
Exhibit III.2. Sample Superfund Appropriation Codes (Not Inclusive) III-9
Exhibit III.3. Superfund Program Results Codes and Site Allowance Codes III-9
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CHAPTER III: FINANCIAL MANAGEMENT
III.A INTRODUCTION
This chapter introduces certain financial management components important to the
Superfund program. The following section outlines responsibilities of various offices and positions
within the Agency in managing and administering Superfund resources. The chapter goes on to
describe the Superfund financial account number structure; the numerous financial data
management systems and tools for tracking Superfund costs; how financial data are handled in the
SEMS environment; the variety of financial vehicles available to carry out Superfund response
actions; the processes by which the various Superfund programs make resource allocation
decisions among the regions; and a brief overview of the cost recovery process. The final sections
of this chapter address issues of special interest to financial management, including site-specific
charging policy (including bulk funding), special accounts, Superfund State Contract (SSC)
management, and using the Fiduciary Reserve. Various Superfund-specific financial management
policies issued by the Office of the Chief Financial Officer (OCFO) may be found in the 2550D
area of the Resources Management Directive System, available on the intranet at
http://intranet.epa.gov/ocfo/policies/resource.htm
III.B FINANCIAI MANAGEMENTROIESANDRESPONSIBIIITIES
Due to the complexities of the Superfund program, numerous organizational units within
the regional Environmental Protection Agency (EPA) offices have responsibility for Superfund
financial management. This section lists the primary regional offices with Superfund-related
financial management responsibilities and the duties for which each office has responsibility or
authority. The next section lists the financial management roles and responsibilities of several staff
positions. The last section lists the roles and responsibilities of the primary supporting headquarters
offices.
III.B.l Regional Organization Financial Roles and Responsibilities
a. Regional Administrator (unless delegated)
Approves cleanup actions under removal authority
Approves consistency exemptions at National Priorities List (NPL) sites where
the removal costs are more than $2 million
Awards Interagency Agreements (IAs), Cooperative Agreements (CAs), and
Technical Assistance Grants (TAGs)
Enters into SSCs
Initiates response planning activities
Ensures reimbursable Base Realignment and Closure (BRAC) costs are accurate
and appropriate (Interim Guidance for EPA's Base Realignment and Closure
(BRAC) Program, April 2006, section 3.2.1)
b. Regional Finance Office (RFO)
Processes Procurement Requests (PRs), Requisitions (REQs), IAs, and CAs
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Establishes Site/Spill Identification code (SSID) at request of Regional Program
Office (RPO)
Assigns Account Number, Document Control Number (DCN), and Cooperative
Agreements (CA) identification numbers to funding documents
Controls regional site allowance
Sets up regional account numbers, including SSIDs, in Compass (the Agency's
financial management system)
Enters commitments into Compass
Reviews invoices, monthly financial reports, and payment requests
Commits funds under regional contracts and modifications in the pre-application
phases of the CA development
Maintains Superfund document files on regional costs and handles the
compilation and review of cost documentation for cost recovery
Provides RPO with financial data as requested
Enters reprogramming information for recertification of deobligated funds into
Compass
Note that some of these functions may be performed by the RPO, Office of Financial
Services Finance Centers or other organizational units in some regions.
c. Regional Program Office (RPO)
Prepares Commitment Notices (CN), REQs, and PRs
Assigns Account Number to funding documents
Provides technical support to the Contracting Officer (CO)
Reviews vouchers and/or financial reports
Manages CAs and IAs
Requests SSIDs from the RFO
Develops SSCs
Approves Request for Proposals (RFP) or Request for Bids and contracts
developed by the states
Monitors the transfer of financial data on contracts, IAs, and CAs from Compass
into the Superfund Enterprise Management System (SEMS);
Maintains Superfund document files on regional work performed for cost
recovery
Monitors unliquidated obligations and deobligations
Requests recertification of any deobligated funds that are not automatically
returned to Responsible Program Implementation Office (RPIO).
Note that some of these functions may be performed by the RFO or other organizational
units in some regions.
d. Administrative Support Unit
Only exists in some RPOs, depending on regional structure
Provides administrative support to On-Scene Coordinators (OSC) and Remedial
Project Managers (RPM)
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Provides liaison between OSC/RPM and other groups involved in administrative
matters
Provides support to regional program management
Assists in developing regional removal or remedial budgets
Sets up and maintains active site files
Completes PRs, REQs, and CNs
Reviews Compass reports
Note that some of these functions may be performed by the RFO, or RPO, or other
organizational units in some regions.
III.B.2 Regional Staff Financial Roles and Responsibilities
a. On-Scene Coordinator (OSC)
Individual is an employee of EPA or U.S. Coast Guard (USCG)
Individual is an Ordering Officer (must have 'Delegation of Procurement
Authority', also called 'Warrant Authority', signed by a Senior Procurement
Manager)
Conducts response activities at hazardous substance spills and releases, or threats
of release
Initiates and manages cleanup actions under removal authority
Aware of, in control of, and responsible for site charges
Ensures costs are reasonable and necessary
Prepares site budgets and contract action requests
Completes Action Memoranda
Initiates (along with the Regional Contract Officer Representative [COR]) PRs,
REQs, Contract Tasks, CAs, IAs
Approves site-specific and non-site specific contractor and IA invoices
Establishes and maintains official site file
Reviews and approves cleanup contractors' charges on a daily basis
Tracks site costs against the established site ceiling
Acquires services using warrant for up to $250,000
b. Remedial Project Manager (RPM)
Individual is an EPA employee
Initiates and manages remedial actions and, if applicable, removal actions at
remedial sites
Manages enforcement costs and activities
Aware of, in control of, and responsible for site charges
Ensures costs are reasonable and necessary
Reviews contractor invoices and monthly technical and financial reports
Establishes and maintains official site files in coordination with the Records
Center
Initiates site-specific PRs, CAs, and IAs (along with the Regional Project Officer)
Serves as the COR on contracts
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Approves site-specific IA invoices
c. Regional Project Officer or Deputy Project Officer
Individual is an EPA employee
Manages remedial, enforcement, removal, and general site support contracts
Evaluates and designates contractor award fees
Monitors contractors' activities
Reviews monthly contractor reports and site- specific attachments
Initiates REQs,(along with the RPM or OSC) PRs, WAs, CAs, IAs, and site-
specific contracts
Prepares Procurement Initiation Notifications (PIN) including contract Scope of
Work and Independent Government Cost Estimate (IGCE) for procurement of
Superfund Mission contracts such as Superfund Technical Assistance and
Response Team (START), Remedial Action Contract (RAC), and Emergency and
Rapid Response Services (ERRS)
Approves site-specific IA invoices
Identifies regional and site-specific contract requirements
Reviews invoices
Provides general contract management support
III.B.3 Headquarters Support Office Financial Roles and Responsibilities
Selected program offices in Headquarters (HQ), particularly within the OCFO and the
Office of Administration and Resources Management (OARM), also have Superfund Financial
Management responsibilities. Within the Office of Land and Emergency Management (OLEM)
and the Office of Enforcement and Compliance Assurance (OECA), each national program office
can address financial management issues associated with its program. Refer to appendix B to
identify the appropriate contacts within each office. Other Superfund financial management
functions provided by EPA's enabling support offices are briefly described below.
a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO
Provides accounting support for all Superfund IAs
Processes disbursement requests from other agencies
Issues and processes disbursements for reimbursable activities (e.g., special
accounts)
Enters IA obligations and disbursements into Compass
Enters all reclassification transactions into Compass
Records remedial state cost share credits into Compass
Monitors negative available balances in special accounts monthly
Calculates and applies interest earned to special accounts
b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO
Provides support of Grant Payments and financial closeout of Assistance
Agreements for all of the 11 Grant Award Offices
Processes payments under EPA's Local Government Reimbursement (LGR)
program for hazardous substance, pollutant, or contaminant threat response
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Provides consolidation and certification of EPA's daily grant, vendor, and travel
payments through the Treasury's Secure Payment System
c. Office of Acquisition Management (OAM), OARM
Manages Superfund contracting program
Negotiates, awards, monitors, modifies, and terminates contracts (some contracts
are also awarded by COs in the regions)
Provides technical guidance on contract administration
Provides cost and price analysis
d. Office of Budget, OCFO
Allocates, approves, and reprograms Superfund allowances among HQ and
regions
Monitors obligations and resource balances
Processes change requests
Reviews and approves regional requests for reimbursable authority
Approves requests to recertify prior year Superfund appropriated resources that
have been deobligated and not automatically returned to original RPIO.
Issues the deobligation recertification guidance memo
e. Office of the Controller, OCFO
Collects HQ Superfund cost documentation for cost recovery
Oversees annual allocation site-specific reporting process
Develops financial policies and procedures
Provides general accounting support
Records transfer allocations
Manages investments in the Superfund Trust Fund and calculates interest rates
Establishes and maintains accounting models in Compass
f. Office of Grants and Debarment (OGD), OARM
Issues policies, regulations, and guidance for processing, awarding, and managing
financial assistance agreements and IAs
Issues identification numbers for all IAs
Processes and awards HQ IAs
g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,
OCFO
Provides accounting support for all Superfund contracts
Enters contract award and obligation data into Compass
Processes contractor invoices
Enters payments into Compass via the Contract Payment System
Conducts redistribution of costs to various sites as requested by approving official
once invoices are paid
Completes corrections on contracts and simplified acquisitions
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OLEM Directive 9200.3-152
I IIX SUPERFUND ACCOUNTING INFORMATION
The Agency's financial account number structure is integral to the Agency's management
of financial resources and is used for processing and tracking financial transactions in Compass,
the Agency's financial management system. The unique aspect of Superfund financial tracking
stems primarily from the need to associate EPA's incurred costs with specific Superfund sites,
Operable Units (OU), and projects to support the cost recovery process. Court actions and cost
recovery negotiations with Potentially Responsible Parties (PRP) require careful documentation
of federal costs incurred at each site/spill.
III.C.l Superfund Account Number
The account number structure is primarily comprised of six fields of data elements that
identify the specific nature of the expense. These fields are: the budget fiscal year; fund (or
appropriation); organization; program results code; project and cost organization. Exhibit III. 1
provides an example of an account number and a brief definition of each of its fields. The sections
after the table provide more detail on each field.
EXHIBIT III.1. SUPERFUND ACCOUNT NUMBER STRUCTURE
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Sample I'.nln
Budget Fiscal
Year
(eight
characters)
The first four positions in this field identify the beginning budget fiscal year (e.g.,
"2015'). The last four positions in this field identify the ending budget fiscal year (for
expiring funds), but these positions are not generally used by the Superfund program
and should be left blank.
2 015
Fund
(six
characters)
The type of appropriation is entered into this field with up to four characters indicating
appropriation accounts and sub-accounts. The Superfund annual appropriation fund
code is 'T'. Multi-character 'T*' fund codes represent Superfund sub-accounts (e.g.,
TD', 'TR2A'). Each year OCFO publishes an Advice of Allowance memorandum that
identifies which appropriation codes are available for use in the current fiscal year. The
most frequently used codes for obligation of Superfund resources are identified in
exhibit III.2.
TR 2 A
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Sample l.ntn
Budget
Organisation
(seven
characters)
The Budget Organization field includes the Allowance Holder/Responsibility Center
(AHRC) codes (e.g., 07H). The AHRC code can be between three and seven characters
in length.
In the regions, the first two positions represent the region and type of allowance holder
(AH) in use. The 'A' AH is represented with the regional number in the first position
and an 'A' in the second position. The '0' AH is represented by a '0' in the first
position and the regional number in the second position (e.g., Region 7 may be
represented as 07 or 7A; Region 10 is represented as 10 or OA). The 'A' AH holds
extramural appropriated resources that response program (OLEM) HQ offices have
distributed to specific Superfund site allowances for Superfund actions. The '0' AH
generally holds other regional resources such as personal compensation and benefits,
site and non-site travel resources, and certain administrative expenses. OECA does not
use the 'A' AH and distributes extramural as well as intramural resources to the '0'
AH.
At HQ, AH represents the National Program Manager (NPM) office responsible for
managing and allocating the resources (e.g., '72' for the Office of Superfund
Remediation and Technology Innovation [OSRTI], 'D3' for the Office of Emergency
Management [OEM]).
The third position of the Budget Organization is an alphanumeric character that
designates the responsibility center within the region or HQ office (see the region's
budget office for a list of these codes). The fourth position has multiple region or HQ
specific uses.
The fifth position generally represents the Superfund site allowance code (shown in
exhibit III.3) within the Response Program Results Code (PRC) (e.g., Pipeline
Operations or Remedial Action). The response program Superfund site allowance
codes are used with the 'A' AHs.
Positions five through seven may also represent a local option or congressional add-on
(e.g., CUD - counter-terrorism response) to further identify resources beyond the
appropriation code and PRCs (e.g., RSF for Recovery Act Superfund Maintenance and
Operations), or other special purposes. These uses may necessitate overriding the use
of the fifth position as a Superfund site allowance.
Certain regions use a combination of characters within the Budget Organization Field
to identify site-specific budgets for the use of special account resources. This practice
varies across regions and has not been codified.
7 A OOP __
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Program
Results Code
(PRC)
(nine
characters)
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designed to reflect the Agency Strategic Plan and annual commitments made under the
Government Performance and Results Act (GPRA). The PRC identifies the goal,
objective, NPM, and program/project. The remaining positions should be left blank.
Resources for Superfund Response programs are found under Goal 3, Objective 03
(the first three positions of the PRC), and resources for the Superfund enforcement and
Federal Facilities enforcement programs are found under Goal 5, Objective 01.
The most common NPMs (fourth position of the PRC) associated with Superfund are
OLEM (D), OECA (E), and OCFO (J).
Program/projects (fifth and sixth positions of the PRC) within the Superfund program
further distinguish the nature of the work within each program office (i.e., homeland
security is '72', emergency response and removal is 'C6', enforcement is 'C7', Federal
Facilities is 'C9', remedial is 'D2', and Federal Facilities enforcement is 'H2').
Positions seven through ten of the PRC are reserved for special use.
Exhibit III.3 shows PRCs that support key Superfund response program areas for
which national program offices allocate resources to regional program offices
primarily through site allowances. Descriptions of each of the programs are given in
chapter 1, section l.B.2. The exhibit also identifies the site allowance codes that the
Response programs use to allocate resources to the regions. The site allowance codes
are found in the fifth position of the Budget Organization field.
3 03DD2
Project
(eight
characters
representing
different
financial
components-
SSID. Action
Code, and
Operable
Unit)
The first four positions define the SSID, which the Agency uses to account for and to
compile Superfund costs by site. The SSID is comprised of the regional number in the
second position (e.g., '07' for Region 7) with an alphanumeric placeholder in the first
position. For Region 10, ' 10' or 'AO' is generally entered in this position. The third
and fourth positions are alphanumeric characters that, with the rest of the SSID,
uniquely identify a site or some other form of financial transaction.
Positions five and six represent the action code, which is a two-character alpha code, a
listing of which can be found in chapter IV, exhibit IV. 3.
The Operable Unit number is entered in positions seven and eight (e.g., '01' for
Operable Unit 01). The two-letter state code should be used in the OU positions for
non-site cooperative agreements awarded to states consistent with the FY 2016
Dictionary of Superfund Action Codes for Compass Financial Transactions Dictionary.
Generally, an SSID should be established when there is a reasonable expectation that a
future response action will be taken, but no later than either site proposal to the NPL,
execution of an action memo, or an official decision to undertake a response. Other
SSIDs (ZZ, WQ, or 00 in the third and fourth positions) denote site-specific work
where a site-specific SSID has not yet been established, or funding where the precise
amount to be charged to a site or action is not known at the time of obligation, or non-
site funding. These codes are described in more detail in section III.F.
The Project field can also be used to track conference spending and information
technology (IT) -related transactions. A unique format is used for IT related
transactions that overwrites Superfund specific uses of this field. For IT obligations
using special account resources, the Superfund format is used in the project field.
07 2 3RA01
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Sample I'.nln
Cost
Organization
(seven
characters)
For the Superfund program, the first position of this field is system generated by 'C'.
The numerical characters in the second, third, and fourth positions represent the action
sequence number (e.g., '002' for the second occurrence of an action at a site). The
remaining positions should be left blank.
C002
EXHIBIT III.2. SAMPLE SUPERFUND APPROPRIATION CODES (NOTINCLUSIVE)
I niid (ode
Tide
T
Superfund (this appropriation code is also used for funds obligated in fiscal
year [FY] prior to current FY and deobligated in current FY (such funds
continue to reflect original FY)
TC
Superfund Carryover
TD
Superfund Deobligations (recertified for obligation in current FY)
TR
Superfund Reimbursable - Funds-in Interagency Agreements
TR1
Superfund Reimbursable -SSC (state match funds)
TR2
Non-Federal Special Accounts - future costs
TR2A
Federal Special Accounts - future costs
TR2B
Special Accounts - past costs and interest
EXHIBIT III.3. SUPERFUND PROGRAM RESULTS CODES AND SITE ALLOWANCE CODES
Program
Program Results Code
Site Allowance Code (BAS Local Code)
Remedial Program
303DD2
Remedial Action
R
Pipeline Operations
P
Removal and Removal Support
303DC6
E
Homeland Security
303D72
C
Federal Facility Response
303DC9
F
BRAC (non-site)
303D41
none
BRAC (site-specific)
303D41B4
none
Enforcement - Technical and Legal
501EC7
none
Federal Facility Enforcement
501EH2
none
III.D FINANCIAL DATA MANAGEMENT TOOLS
The following data management systems and tools are used to plan and track the use of
EPA and Superfund resources.
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III.D.l Budget Automation System (BAS)
Budget Automation System (BAS) is the central EPA system which contains resource
(dollars and full time equivalent [FTE]), planning, and performance data that is used to support
budget formulation, annual planning, and operating plan development. EPA also uses BAS to
record and track regional commitments of performance targets within the Agency and project-
based planning/resource allocations within Offices. Reprogrammings that will move annually
appropriated funds between program projects should be entered into BAS. Reprogrammings to
recertify prior year annual appropriations that are made available from deobligations or
reclassifications should be entered in Compass and do not need to be entered into BAS.
III.D.2 Compass
Compass is the comprehensive name for EPA's financial management and reporting
system. This system replaced an earlier financial management system, Integrated Financial
Management System (IFMS), at the beginning of fiscal year (FY) 2012. The Compass financial
system supports the general ledger, budget execution, funds control, accounts payable,
disbursements, accounts receivable and collections, travel, project cost accounting, fixed assets
and standard reporting functions. Compass is integrated with several agency financial systems,
including the Bank Card Payment System, the Fellowship Payment System (FPS), the Integrated
Grants Management System (IGMS), Concur (the Agency's travel service provider), Property
Inventory, eBusiness, the Grants Payment Allocation System (GPAS), BAS, the Inter-Agency Doc
Online Tracking System (IDOTS), the Web Order System (WEBOS), the Small Payment
Information Tracking System (SPITS), the EPA Acquisition System (EAS), the Integrated
Resource Management System (IRMS), the Contract Payment System (CPS), and PeoplePlus.
III.D.3 Compass Data Warehouse (CDW)
The Compass Data Warehouse (CDW) is an official agency reporting tool that contains a
collection of financial and administrative data in an Oracle database pulled from Compass and
other agency systems. The CDW intranet site is only available to EPA users. CDW data are
refreshed constantly as transactions are processed in the Compass financial system.
Historical financial data in Compass and portions of the CDW are limited. While all open
(i.e., unliquidated) obligations at the end of FY 2011 were migrated to Compass, completed
transaction data only from budget fiscal year (BFY) 2001 and later are contained in Compass and
portions of the CDW. At the CDW intranet site, there is a link to Financial Data Warehouse (FDW)
queries that may be used to access historic data, which are frozen as of FY 2011. These queries
allow access to all data migrated to Compass as of the end of FY 2011 as well as historic data that
were not migrated. Neither CDW nor FDW contain certain pre-IFMS financial data, which are
stored elsewhere. Reporting out of Compass may be done through the Compass Business Objects
Reporting tool or the Compass Data Warehouse.
III.D.4 Compass Business Objects Reporting Tool
The Compass Business Objects Reporting tool (CBOR) provides a corporate, web-based
approach to agency financial reporting and information needs. CBOR also integrates financial,
administrative and program performance information, which is useful for monitoring agency
operating activity, conducting trend analysis, and developing program strategy. Financial
information is pulled from the CDW. CBOR consists of three main components:
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Standard Reports: Provide users with detail and summary information on automated
disbursement, budget execution, fixed assets, General Ledger accounting, special accounts,
and purchasing.
Ad Hoc Reports: Provides users with custom reporting capabilities to meet the needs of
their respective organizations.
Information Centers: Provide users with a platform for posting, viewing and sharing reports
of interest with multiple users across their RPIO organization.
III.D.5 Superfund Enterprise Management System (SEMS)
SEMS is a Superfund database that houses site- and non-site specific data, including the
financial planning data that are used by program managers to monitor resource needs and uses.
SEMS contains various screens and reports that support program planning and performance (see
chapter II, titled 'Performance Measures, Planning and Reporting Requirements'). Regions enter
planned obligations in SEMS. HQ uses the Superfund Comprehensive Accomplishments Plan
(SCAP) 4 report to track regional financial planning. Resource planning data are usually
considered enforcement sensitive and are not made available to the public, since they may
inadvertently give leverage to PRPs who are negotiating settlements with EPA.
SEMS also imports Compass data on Superfund financial transactions (commitments,
obligations, payments; Compass does not contain any financial planning information) to enable
regions to track and manage their use of Superfund resources. Compass data are transferred nightly
into SEMS through an automated link. The SEMS interface with financial information in Compass
depends on the account codes used for resource planning and the account codes used in Compass
to conduct agency financial transactions. Compass financial information in SEMS is used for
management purposes only and is not an official representation of Superfund incurred costs.
III.E HANDLING FINANCIAL DATA IN THE SEMS ENVIRONMENT
When regions plan resources in SEMS, SEMS will generate Superfund account numbers
(e.g., Budget Fiscal Year, Fund Code, Budget Organization, Program Results Code (PRC), Project,
Cost Organization, Budget Object Class, Financial Object Class) that are used as the basis for
preparing and executing financial transactions through the Agency's financial systems. The
account number generated in SEMS must be entered on all funding documents at the time the
planned obligation is executed, i.e., committed or obligated, or the Compass financial transaction
transfer to SEMS will not work properly.
The regional Information Management Coordinator (IMC) or Budget Coordinator can
request, on a regular basis, a report from the RFO that contains all Superfund financial transactions
in Compass. The CDW is another source for this information. This information can be used to
compare the financial data in Compass to SEMS. If there is a discrepancy between SEMS and
Compass, the funding document should be used to verify the information in both systems.
Errors in account number or other information on the original funding document can only
be corrected by the same process used to initially create the financial record (i.e., by a contract
modification or by amendment to the IA or CA).
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I U.I FINANCIAL VEHICLES
EPA uses a variety of acquisition vehicles to carry out the Superfund response actions.
These include contracts, interagency agreements, grants, and cooperative agreements.
III.F.l Contracts
Superfund contracts are awarded through standard procurement procedures as outlined in
the Federal Acquisition Regulations (FAR) and EPA Acquisition Guidelines (EPAAG). There are
three basic types of contracting within Superfund: site-specific, non-site specific, and support
contracts. Site-specific contracts are generally awarded to support work at a particular site or
project. Funds for site-specific contracts are obligated and tracked on a site-specific basis. The
non-site specific contract vehicles primarily support program areas, such as remedial or removal
programs, and include RAC, Remedial Acquisition Framework (RAF), START, ERRS, Contract
Laboratory Program (CLP), and Environmental Services Assistance Team (ESAT). Generally, the
non-site support contracts allow for site-specific task or delivery orders, funding for which can be
obligated on a site-specific basis. Task or delivery orders may also be bulk funded with the 'WQ'
SSID (or 'WQ' action code) and then paid out site- or non-site-specifically. Bulk funding (WQ) is
discussed in detail in section III.H. Mission Support Contracts are contracts that provide support
to HQ and regional program offices and are not generally used for site-specific work.
RAF provides a toolbox of acquisition tools for executing Superfund remedial services.
The toolbox includes a variety of acquisition tools already familiar to the EPA workforce such as
site-specific contracts, Interagency and Cooperative Agreements, removal program contracts,
regional oversight contracts, and regional specialty contracts. RAF also includes new acquisition
tools, specifically, three suites of nationally-placed Indefinite Delivery Indefinite Quantity (IDIQ)
multiple award contracts to support phases of the Superfund remedial process. These IDIQ
contracts use performance based contracting principles and competitively placed task orders to
drive efficiency across the remedial program. These three suites of contracts are: the Design and
Engineering Services (DES) contract to provide architecture and engineering (A&E) services from
investigations through preparing the remedial design; the Remediation Environmental Services
(RES) contract to provide for remedial action services and construction; and the Environmental
Services and Operations (ESO) contract to provide oversight and cleanup operations, as needed.
III.F.2 Interagency Agreements (IAs)
An interagency agreement (previously known as IAG) is a written agreement between
federal agencies under which goods and services are provided. The Superfund program uses
Disbursement IAs to request federal agencies' assistance with site cleanups and associated
activities, and to provide ongoing support or services. HQ manages a number of IAs with other
agencies, including but not limited to, USCG, Department of Justice (DOJ), U.S. Fish and Wildlife
Service (FWS), National Oceanic and Atmospheric Administration (NOAA), and United States
Army Corps of Engineers (USACE). Each IA specifies the services required and identifies the
method of payment. The regional program offices initiate and manage site-specific IAs.
III.F.3 Cooperative Agreements (CAs)
A Superfund CA is a legal instrument between the federal government and a state, political
subdivision, or Indian tribe (including intertribal consortia) that forms a working relationship
whereby both parties provide funding and services for the design and implementation of Superfund
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responses. There are several types of Superfund CAs which serve different purposes, including
pre-remedial activities, enforcement, site-specific removal and remedial responses, support agency
functions, and general support for state Superfund programs. These CAs have unique provisions
that are described in 40 CFR Part 35 Subpart O, including satisfying the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA) provisions regarding state
involvement and payment of state cost share.
Several offices are involved in the commitment process for a CA. The RPO prepares the
commitment notice and obtains the necessary program approvals; the regional finance office
certifies availability of funds, assigns DCNs, and enters commitments in Compass; and the Grants
Administration Division assigns the CA identification number. The Regional Administrator (or
designee) must first sign the CA before funds may be obligated. The Las Vegas Finance Center
processes the obligation in accordance with OAM, Grants Administration Division (GAD), and
Financial Management Division (FMD) requirements and then enters the obligation into Compass.
III.F.4 Grants
The Superfund program has limited grant making authority, but does include a unique
program called Technical Assistance Grants, authorized by the Superfund Amendments and
Reauthorization Act of 1986 (SARA), that was established to provide technical assistance to
eligible communities. An initial grant up to $50,000 is available to qualified community groups so
they can contract with independent technical advisors to interpret the technical information about
the site and explain it to the community. TAGs are available at NPL sites and sites proposed to the
NPL where response actions have begun.
III.G ALLOCATING SUPERFUND RESOURCES AMONG THE
REGIONS
Each Superfund national program office has specific procedures for allocating resources
among the regions. This section focuses on resources that the national program offices allocate to
the regions through site allowances (formerly known as Advices of Allowance), which the national
program offices may track using SEMS.
Each site allowance represents a national program office's annual allocation of extramural
resources for the regions to fund specific program functions. Extramural resources are identified
using budget object class (BOC) codes as follows:
BOC 36 = Administrative expenses
BOC 37 = Contracts and Interagency Agreements
BOC 41 = Grants and Cooperative Agreements
The national program offices also have various methodologies to allocate additional
resources to the regions for other functions, namely site- and non-site-specific travel and Working
Capital Fund (BOCs 28, 21, and 38, respectively), but these resources are not generally planned in
SEMS and their distribution is not addressed in this manual. Regions may use their discretion to
plan the use of BOC 38 resources, which occasionally will be allocated from regional site
allowances to fund, for example, information technology (IT) functions or aerial surveys, in
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SEMS. Other resources, such as those used to pay claims, are also not generally directly planned
in SEMS.
III.G.l Managing Site Allowance Resources in SEMS
Regions are required to plan obligations in SEMS by site allowance and program/project
(PRC code). Planned obligations in SEMS are site (i.e., project and OU-specific) or non-site
specific. Some planned obligations are associated with specific site activities, while other planned
obligations are estimates of total funding required for an activity within a region (i.e., bulk
funding). Regions should make sure all their programmatic funding needs are reflected in SEMS
and that they correspond with the appropriate program site allowance.
Once funds are issued to the regions, the regions are responsible for managing the funds
within each site allowance and for operating within budget ceilings, floors, and other restrictions.
Compass tracks all financial transactions in the Agency, and commitments, obligations, and
expenditures associated with the site allowance are imported into SEMS on a nightly basis to
facilitate ongoing regional management of these funds. Additionally, regions must follow agency
reprogramming guidelines issued annually by OCFO to shift resources among program/project
codes or BOCs.
III.G.2Using Prior Year Funds
Superfund appropriated resources are no-year appropriation funds. This means that EPA
does not have congressional time constraints for obligating and expending these funds. However,
OCFO issues an annual 'Advice of Allowance' policy to manage the execution of these and other
agency resources.
a. Carryover
Under OCFO's policy, the Agency effectively treats Superfund appropriated resources as
two-year appropriation funds. Thus, if an organization does not obligate current BFY
resources in the current year, the funds will 'carry over' and be available for use in the
subsequent year. At the end of the second year, uncommitted/unobligated balances are
swept by the Agency and used to meet the Administrator's priorities. Although this policy
provides flexibility to the Superfund program, OLEM strongly discourages the regions
from carrying over any funds associated with the response program site allowances.
Because of coding complexities, it is very difficult to track the availability and use of these
funds in Compass and SEMS, and due to continual Superfund program budget constraints
and the need for HQ to carefully allocate funds across regions, it is inappropriate for a
region to not obligate funds in the year in which they have been provided. Reimbursable
authority for special account and Superfund state cost share (reimbursable) resources
carried over from FY 2016 to FY 2017 in a pilot process by OCFO. Reimbursable resources
are expected to carry over from FY 2017 to FY 2018; however, OCFO is monitoring the
utilization of requested reimbursable authority to determine if the carry-over of unobligated
reimbursable authority should continue in FY 2019.
b. Deobligations
For various reasons, a region will find that a portion of the funds obligated to a particular
activity have not been expended (referred to as unliquidated obligations) and are no longer
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necessary to implement the activity. Under OCFO policy, EPA may deobligate funds
appropriated in a prior year and reuse them in a subsequent year. The deobligation and
reuse of prior year funds is a good fiscal management practice and helps offset shortfalls
in the current year Superfund budget.
Beginning in FY 2014, funds obligated in the fiscal year prior to current fiscal year return
directly to region upon deobligation and do not require recertification. For example, if a
region obligated BFY 2015 site allowance funds in 2015 and then deobligated those funds
in either 2015 or 2016, they would be immediately returned to the region's site allowance
as available balance ready for use. However, if a program deobligates funds that were
issued two or more years prior (e.g., BFY 2014 or earlier if the current year is BFY 2016),
the funds must first be recertified pursuant to procedures described in the Deobligation
Recertification Guidance - Superfund/LUST/Oil Spill Response Resources, February 2015,
( Recertification Policy'), issued jointly by OCFO, Office of Superfund Remediation and
Technology Innovation (OSRTI), the Office of Site Remediation Enforcement (OSRE),
and Office of Emergency Management (OEM) as necessary. Beginning in FY16, the
Federal Facilities Restoration and Reuse Program will begin implementing a process
mirroring the Recertification Policy and will participate with the other offices in issuing
joint guidance.
The Recertification Policy also includes national program-specific policies regarding the
use of recertified funds. Depending on the program, a region may be required to recertify
a portion of the prior year deobligations to the national program office (to a 'National
Pool'), who may redistribute these funds to other regional offices based on national
priorities.
Special account and Superfund state cost share (reimbursable) resources that are
deobligated return automatically to the special account or reimbursable account.
Deobligated special account and Superfund state cost share resources do not need to be
recertified to be made available for use.
Because of changes in the Agency financial management system, the Agency continues to
modify the policies and procedures for deobligating and recertifying funds. Interested staff
should participate in budget and finance community networks to keep up to date on the
most current procedures.
III.G.3Removal Program Resources (PRC 303DC6)
OEM manages the removal response program budget. Removal resources are allocated in
one site allowance: the Removal and Removal Support Site Allowance (fifth position of the
Budget Organization code is site allowance code E) and This allowance can be used to provide
resources for emergency response and site-specific removal actions and for activities such as
removal assessments, site management, equipment procurement and maintenance, and OSC
training and exercises. Resource distribution under the removal site allowance is based upon a
historical allocation methodology as well as the annual obligation of resources.
Following enactment of the annual appropriations and establishment of the Agency's
operating plan, HQ issues funding to the regions in two increments. The first increment is
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distributed during the first quarter of the fiscal year and the second at the beginning of the third
quarter. HQ also retains a reserve for emergencies or removal actions that may exceed a region's
annual resource allocation. Regions may request these funds at any point during the year by
submitting a request along with a justification to the Office of Emergency Management Director.
If the reserve remains unobligated by early in the fourth quarter of each year, HQ will ask the
regions to submit a list of critical sites that require additional resources. Sites selected for funding
will be determined by the type of threat a site poses; e.g., potential for a significant fire, explosion
or the threat of a catastrophic release.
III.G.4Homeland Security Resources (PRC 303D72)
The Homeland Security program develops and maintains the Agency's Homeland Security
capabilities and assets in both headquarters and regions. The Homeland Security (HLS) Site
Allowance (fifth position of the Budget Organization code is site allowance code C) is used to
allocate resources equally across the regions to implement core Homeland Security preparedness
programs and activities. The program ensures readiness of EPA preparedness and response
personnel through planning, training, and exercises, and coordinates Homeland Security activities
with the Department of Homeland Security and other federal agencies to ensure consistency with
the National Response Framework.
III.G.5Remedial Response Program Resources (PRC 303DD2)
OSRTI manages the remedial response program budget. Remedial resources are allocated
in two site allowances: Remedial Action and Pipeline Operations. Each year, OSRTI determines
the amount of resources to allocate to these site allowances based on the process for developing
the Agency's annual budget.
Work planning for FY2018-2020 will commence in August 2017 per the FY2018-2020
Superfund Remedial, Removal, and Enforcement Work-Planning (see Appendix A). As part of the
work planning process, planned obligations (appropriated and reimbursable) for the Pipeline
Operations and Remedial Action (RA) site allowances will be reviewed for three yearsthe year
which is being entered into, plus the two out-years (e.g. if entering into FY 2018, then work
planning discussions would focus on FY 2018-2020). By extending work planning focus to three
years, OLEM will be able to better support budget justifications and forecasts, better integrate the
RAF into project planning, more strategically manage Special Accounts, and improve overall
program performance.
a. Remedial Action Site Allowance
The RA Site Allowance (fifth position of the Budget Organization site allowance code is
R) is used to allocate appropriated resources for new and ongoing remedial actions and
non-time-critical removals at NPL sites (collectively termed 'construction'), long-term
response actions and five-year reviews. Regions are required to enter all planned
obligations site-specifically into SEMS for all actions funded through the RA Site
Allowance. Five year reviews directly funded by HQ do not require financial planning in
SEMS.
Through the annual work planning process, OSRTI works with the regions to develop
funding plans for the upcoming year for ongoing construction projects, including long-term
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response actions and five-year reviews. During the work planning process, OSRTI relies
on planned obligation data from SEMS, ongoing discussions with the regions, and
projections of the availability of funds to develop a preliminary ongoing construction
funding plan. Only funds that a region intends to obligate in the identified year for
anticipated work should be planned for that year. Regions should ensure that available
special account resources are planned and utilized to the maximum extent prior to entering
planned needs for appropriated funds. Once an appropriation is enacted and funds are
allocated to the national program offices through the operating plan, HQ will issue funds
to the regions based on the preliminary ongoing construction funding plan. If the fiscal year
begins without an enacted appropriation, HQ will allocate available resources to each
region on a case-specific basis until an appropriation is enacted and the Operating Plan is
approved. HQ and regions will continuously work together to update the plan based on
site-specific cost estimate adjustments that occur throughout the year. Regions must also
regularly update planned obligations in SEMS to accurately reflect the current year's
expected use of RA Site Allowance resources and to identify additional funding needs.
Regions are required to coordinate with the OSRTI Construction and Post Construction
Management Branch for any proposed changes to the ongoing construction funding plan
and to record all changes to planned obligations in SEMS. Because of the changing needs
of the regions during the course of the year, OSRTI will continually monitor regional
obligation rates and usage of the RA Site Allowance resources. Based on mid-year regional
reviews as well as contact throughout the year, OSRTI will update the ongoing construction
funding plan to reflect changes in regions' resource needs as well as additional resources
that may become available (e.g., through recertification). Unless otherwise directed by
OSRTI, regions are required to return allocated resources that will not be used according
to the ongoing construction funding plan to HQ by way of the reprogramming process.
OSRTI will include these resources in a national resource pool from which it will fund
remaining program priorities. Regions may not shift resources into or out of the RA Site
Allowance without prior OSRTI approval.
b. Pipeline Operations Site Allowance
Annually, HQ will determine the amount of resources to include in the Pipeline Operations
Site Allowance based on available appropriation funds. At the initiation of the annual work
planning process, OSRTI will provide general guidance regarding its projections of the
funding that will be available to the regions through the Pipeline Operations Site
Allowance. Using this information, each region will plan out the use of these resources and
enter its planned obligations and accomplishments into SEMS.
If the fiscal year begins without an enacted appropriation, HQ will work with each region
to determine its funding needs until an appropriation is enacted and the Operating Plan is
approved. Funds from the Pipeline Operations Site Allowance may not be moved to any
other site allowance without prior OSRTI approval.
III.G.6Superfund Federal Facilities Response Program (PRC 303DC9)
Regional Superfund Federal Facilities response budgets (fifth position of the Budget
Organization code is site allowance code F) are determined during the annual work planning
sessions. If the Agency has an enacted budget, each region will receive 50% of its portion of the
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approved budget during the first quarter and will receive the remainder during the third quarter. If
a region has a low obligation/utilization rate, discussions will be held prior to third quarter
distribution as to what the need is for the remainder of the funds. To request additional funds, a
region should contact Federal Facilities Restoration and Reuse Office (FFRRO) and provide a
description of the amount needed and a justification for the funds. Funds may not be moved out of
the Federal Facilities Site Allowance without the FFRRO office director' s prior approval.
III.G.7Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-
specific])
To assist the Department of Defense (DoD) with cleaning up and transferring selected
BRAC I-IV properties, DoD provides resources to EPA to cover the cost for those employees
working in the BRAC program. Upon receiving transfer authority, the U.S. Army transfers BRAC
resources to EPA via a Military Interdepartmental Purchase Request (MIPR). Once the HQ Grants
Administration Division has processed a fully executed IA and Cincinnati Finance Center posts
the information, FFRRO distributes resources via a reprogramming to the various Allowance
Holders. Although resources are not loaded into Compass on an installation-specific basis, DoD
provides the funding to the Agency site-specifically. To increase or decrease the funding level for
any BRAC installation, regions must receive prior approval from HQ.
III.G.8Superfund Enforcement Program (PRC 501EC7)
The Superfund enforcement program uses program/project C7. Under program/project C7,
enforcement resources are distributed under the program code 501EC7 which are Superfund
enforcement technical and legal resources that are managed by OSRE in OECA, and program code
501JC7 which are Superfund enforcement financial management resources that are managed by
OCFO. The resources for these programs have not been assigned a site allowance code and are
identified in financial management databases by program/project.
The initial operating budget for technical and legal enforcement extramural resources are
allocated based on each region's share of the usage rate (as measured by expenditures for the
current fiscal year to date and the preceding two years) for enforcement activities. HQ allocates 40
to 50% of the President's budget request (if there has been congressional appropriation committee
mark-up, it will be the lesser of the two) in the early phases of the Operating Plan. This initial
allocation is made available once there is an enacted appropriation.
An additional allocation is typically made in the third quarter of the fiscal year. OSRE
issues a call to the regions to submit requests for additional funding. Emphasis is placed on funding
program priorities which are outlined in the call. The call considers all sources of unallocated
funding, including the remaining new obligating authority, carryover of funds from the previous
year, projected reprogrammings, and a projection of deobligations.
III.G.9Federal Facilities Enforcement Program Resources (PRC 501EH2)
The Federal Facilities enforcement program budget consists of two components:an
Environmental Programs and Management (EPM) appropriation and a Superfund appropriation,
which are both managed by the Federal Facilities Enforcement Office (FFEO). At the beginning
of the fiscal year, Regions are asked to submit their FFEO funding requests through their Federal
Facility Enforcement Enhancement plans. The Plans outline the region's planned Federal Facility
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enforcement and compliance plans for the coming fiscal year, and the regions are requested to
prioritize these funding requests. The resources consist of New Obligating Authority (NOA), and
carryover of prior year funds. The funds are disbursed by project, and monitored by HQ. The
resources for this program have not been assigned a site allowance code and are identified in
financial management databases by program/project. Funds may not move into or out of the
enforcement function without Congressional approval. Funds may be redirected within the Federal
Facility Enforcement Site Allowance and to other regions or HQ offices.
III.H COST RECOVERY
CERCLA allows the federal government, states, and some private parties to recover
response costs. If EPA does cleanup work using Superfund money, it will try to recover those costs
from PRPs. EPA is permitted to recover all costs of response that are found to not be inconsistent
with the National Contingency Plan (NCP).
EPA's cost recovery process involves documenting the costs, evaluating the factors for
pursuing recovery of those costs, notifying parties of the costs along with a demand for repayment,
and negotiating a payment agreement.
When EPA uses Superfund money for work at a site (or relating to a site), the Agency must
document all of its cleanup costs so they can be recovered later on (See the next section on
Recoverable Costs). For example, costs related to any work performed by contractors must indicate
that the work was authorized and completed. Further, cost documentation must prove that the costs
were actually incurred and paid for by the government. Costs incurred by EPA are recorded in
Compass via the use of the Account Number and are paired and presented alongside images of
supporting cost and technical documentation in the Superfund Cost Recovery Package and Image
On-Line System (SCORPIOS) to yield a complete cost recovery package.
EPA's decision to pursue cost recovery is based on the evaluation of several factors, such
as strength of liability evidence, financial strength of PRPs, and the amount of incurred costs.
As a matter of policy, EPA typically sends a written demand letter to PRPs prior to filing
a cost recovery lawsuit. The demand letter requests that the PRPs reimburse the Superfund Trust
Fund for a specified amount and triggers the accrual of prejudgment interest on the costs sought
by EPA. Following the issuance of a demand letter, EPA and PRPs will attempt to negotiate a
settlement for the reimbursement of EPA's response costs. EPA will often pursue not only costs
incurred ('past costs'), but also costs it anticipates incurring at or in connection with the site
('future costs'). If a PRP agrees to reimburse EPA for its costs, the resulting settlement will be
documented in a judicial consent decree or in an administrative settlement. If a PRP refuses to
reimburse EPA for its costs or if a settlement agreement cannot be reached, EPA may refer the
case to the DOJ, who would then file a cost recovery action in court to recover past and/or future
costs. EPA may deposit costs recovered through settlements into special accounts within the
Superfund Trust Fund (See section III.J) to pay for cleanup activities at the site for which it
received the money if future work remains to be performed at or in connection with the site.
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III.H.l Recoverable Costs
EPA may recover all of its costs that are 'not inconsistent' with the NCP. Examples of
costs that the courts have found are recoverable include:
Planning, implementing, or overseeing cleanup actions
Investigation and monitoring
Actions to limit access to the site
Indirect costs, as computed on the direct costs incurred at or in connection with site
EPA's contractor costs
Annual allocation costs
a. Direct Costs
Direct costs are those expenses directly traced to a particular activity at a particular site.
These costs can include the following expenses incurred by EPA and the cleanup
contractor:
Time spent on a cleanup-related activity
Travel to and from the site
Contractor costs at the site
Equipment used at the site, etc.
b. Contractors' Annual Allocation Costs
Contractors' annual allocation costs include money spent by government contractors doing
site-related work not traceable to a particular site. For example, training received by
contractors in handling hazardous materials is an allocable cost. This training is essential
to Superfund cleanup site work, but the training received may be used at several sites.
On an annual basis, contractors are required to follow a documented methodology for
allocating certain non-site specific costs to sites and submit an annual allocation report to
EPA for review and approval. Annual allocation costs are computed site-specifically in
SCORPIOS to enable their cost recovery. More information can be found on the Superfund
- Annual Allocation site at:
http://intranet.epa.gov/ocfo/superfund A/annual allocation.htm.
c. Indirect Costs
Indirect costs are EPA's expenses for managing the Agency. These costs are not directly
traceable to any particular site-specific activity and include the following activities:
Superfund program support
Agency support activities that benefit Superfund program
Non-site portion of personnel compensation and benefits
Office rent, utility, communication, supply costs, etc.
EPA uses a complex methodology, computed in SCORPIOS, for allocating these costs site-
specifically to enable their cost recovery. OCFO annually issues computed regional
indirect rates o on the Superfund - Indirect Cost Rates site at:
http://intranet.epa.gov/ocfo/superfund A/indirect cost rate.htm.
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More information about indirect rates and methodology can also be found on EPA's
Superfund Cost Recovery webpage at:
https://www.epa.gov/enforcement/superfund-cost-recovery.
III.I SITE CHARGING POLICY (SITE-SPECIFIC, ZZ, 00 SSIDS)
The funding documents processed through EPA's administrative and financial systems
must contain enough information to assign Superfund costs properly. Consequently, EPA uses the
SSID to properly assign hazardous waste cleanup costs by site for cost recovery and reporting
purposes. The SSID is a four-character alpha-numeric code occupying the first four positions of
the Project field in EPA's Account Code Structure, as described in the Superfund Accounting
Information section of this chapter.
All costs directly associated with cleanup/response actions at or for a particular Superfund
site must be charged to a site-specific SSID for that site. Costs to be charged include salaries and
benefits, travel, rental and purchase of equipment and supplies, and those costs incurred by parties
external to EPA, such as EPA's contractors, other federal agencies, local governments, and states.
However, under some circumstances, it is impossible or impractical to charge certain
Superfund costs to a specific site. EPA uses special SSID codes for these situations (WQ, ZZ, 00).
These standard codes (see following sections) appear in the third and fourth position of the SSID
and must be used by all regions and HQ offices charging costs to the Superfund.
Refer to Direct Charging of Superfund Costs Site-Specific Cost Accounting Methods,
2550D-04-P1, December 2008 in OCFO's RMDS Resources Management Directive System (and
Technical Interpretation - Direct Charging of Superfund Costs Site-Specific Accounting Methods,
2550D-04-T1, September 2010) available on OCFO's Resources Management Directive System
on the intranet at http://intranet.epa.gov/ocfo/policies/resource.htm
III.I.1 WQ SSID and WQ Action Code
'WQ' represents a generic code used to obligate funds when the precise amount to be
charged to a site or non-site action is not known at the time of obligation. The WQ code may be
applied to the SSID, to the action code, or to both, in the Project field in EPA's Account Code
Structure.
a. WQ SSID
The WQ SSID is a generic SSID code (e.g., 02WQ) that EPA uses to obligate funds to IAs,
cooperative agreements, grants, and contracts when the precise amount to be charged to
specific sites or non-site actions is unknown at the time of obligation. Use of the WQ SSID
is called 'bulk funding'.
Once WQ SSID obligations are expended, these costs must be redistributed from the WQ
SSID to a site-specific, ZZ, or 00 SSID (see Direct Charging of Superfund Costs Site-
Specific Cost Accounting Methods, 2550D-04-P1, December 2008 on the intranet). Payroll
and travel may not be obligated to the WQ SSID.
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Special account funds (appropriation codes TR2, TR2A, and TR2B) and state cost share
funds (appropriation code TR1) must be obligated to site-specific SSIDs, not a WQ or non-
site SSID.
b. WQ Action Code
The WQ action code is a generic action code (described in chapter IV, titled SEMS Data
Management and Coding) that occupies the fifth and sixth positions of the Project field in
EPA's Account Code Structure. The WQ action code serves a similar function as the WQ
SSID, but applies to the type of actions that are being conducted in association with the
site or non-site SSID. Use of the WQ action code is also called 'bulk funding'. It is possible
to use both the WQ SSID and WQ action code simultaneously in the Project field of an
obligating document (e.g., 02WQWQ00). Just like the WQ SSID, once WQ action code
obligations are expended, these costs must be redistributed from the WQ action code to a
site- or non-site-specific action code. Payroll and travel may not be obligated to the WQ
action code.
Special account funds for a specific site may be obligated to a WQ action code and then
redistributed action-specifically upon expenditure. State cost share funds must be obligated
to site-specific SSIDs, and to site-specific remedial action codes.
111.1.2 ZZ SSID
The 'ZZ' SSID (e.g., 02ZZ) records initial assessment costs at a Superfund site where an
SSID has not been assigned. Within the removal program, costs charged to the ZZ SSID primarily
include removal assessment and technical assistance-related costs. For the remedial program, costs
charged to the ZZ SSID generally include, but are not limited to, preliminary assessment/site
inspections. If EPA determines that a cleanup response is necessary, a site-specific SSID is set up
to charge all future costs incurred. Generally, site-specific obligations associated with the
Remedial Investigation and beyond should be assigned to a site-specific SSID, not the ZZ SSID.
Once a site-specific SSID is established, the approving official, usually the project officer,
will request adjustment of previous disbursements from the ZZ SSID to the site-specific SSID.
Generally, readjustments should be conducted during the first billing cycle after the site-specific
SSID is established. Redistributions of ZZ cooperative agreement disbursements are not required
due to the complexity associated with tracking site-specific costs outside agency systems.
Additionally, ZZ intramural redistributions are not required due to the relatively low amount of
time charged. However, once a site-specific SSID is established, subsequent disbursements for the
site should not be charged to the ZZ SSID.
111.1.3 00 SSID
The '00' SSID (e.g., 0200) is used to record general non-site-specific Superfund costs or
when it is not economically feasible to charge costs on a site basis. For example, if an employee's
time is divided among several sites in a manner that is not economically feasible to charge to a
specific site (e.g., less than 15 minutes per site), or the time cannot be tracked by site, the 00 SSID
should be used. Multi-site project management should also be charged to the 00 SSID when it is
not economically feasible to divide costs among site-specific SSIDs. Efforts associated with
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preparing a response to a site-specific Freedom of Information Act request for information about
a particular site are charged to the 00 SSID.
III. J SUPERFUND STA TE CONTRACTS (SSC) AND COOPERATIVE
AGREEMENTS (CA)
An SSC is a legally binding agreement between EPA and a state or tribe that provides the
mechanism for obtaining statutorily required state cost share and other assurances, outlines the
statement of work for the response action, includes a cost share payment schedule, and documents
responsibilities for implementation of response activities at a site. The SSC does not obligate funds
but is used to describe the state' s or tribe's role when EPA or a political subdivision has the lead
for a Fund-financed remedial action or long-term response action. The SSC is signed by EPA, the
state or tribe, and, if necessary, the political subdivision. The SSC must be signed prior to the
obligation of funds for a Fund RA. The region must provide the Cincinnati Finance Center (CFC)
copies of any SSC, amendment, or closeout document within five business days.
Alternatively, where a state or tribe has the lead for a Fund RA, a remedial action
cooperative agreement (CA), which transfers resources to the state, is used to document the
statutory assurances and other requirements addressed by the SSC. EPA can also award a political
subdivision a CA to conduct remedial response and enter into a parallel Superfund State Contract
with the State, if required (See 40 CFR ง35.6800, when a Superfund State Contract is required).
The political subdivision may also be a signatory to the Superfund State Contract. See Section III.
F. 3 for more information about Cooperative Agreements.
Greater detail is provided below and in Subpart O of 40 CFR Part 35, and in State Cost
Share Provisions for Superfund State Contracts and Remedial Cooperative Agreements, 2550D-
09-P1, March 2017 and Technical Interpretation - Superfund Cooperative Agreements and
Superfund State Contracts. 2550D-09-P1-T1, August 2012) which are located in OCFO's
Resources Management Directive System on the intranet at
http://intranet.epa.gov/ocfo/policies/resource.htm
III.J.l Cost Share Provisions
A signed SSC or remedial CA for remedial action has five statutorily required assurances,
including a remedial state cost share assurance that must be made by a state before EPA can
obligate or expend appropriated funds for remedial action (and long-term response action if
applicable) at a particular site. The following provisions address some of the basic components of
the cost share assurance requirements.
a. Ten percent. Where a facility, whether privately or publicly owned, was not operated by
the state or political subdivision thereof, either directly or through a contractual relationship
or otherwise, at the time of any disposal of hazardous substances at the facility, the state
must provide 10% of the cost of the remedial action, if CERCLA-funded (CERCLA
104(c)(3)(C)(i)); or
b. Fifty percent or more (herein after referred to as 50%). Where a facility was operated by a
state or political subdivision either directly or through a contractual relationship or
otherwise, at the time of any disposal of hazardous substances at the facility, the state must
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provide at least 50% of the cost of removal, remedial planning, and remedial action if the
remedial action is CERCLA-funded (CERCLA 104(c)(3)(C)(ii)); and
c. Operation and Maintenance. The state must provide an assurance that it will assume
responsibility for all future operation and maintenance (O&M) of CERCLA-funded
remedial actions, including institutional controls if applicable, for the expected life of each
such action.
Based on the terms of the SSC or remedial CA, the RPO, with assistance from the RFO,
will use project and action-specific direct, extramural expenditures of Superfund appropriated
resources (as well as any state cost share [TR1 fund code] resources expended) to calculate the
amount of remedial state cost share liability incurred. Typically, a state's 10% cost share will be
calculated using specific action codes that correspond with the remedial action (activity code RA)
and long-term response action (activity code LR); costs associated with five-year reviews (activity
code FE) are not subject to state cost share. If the 50% or more cost share requirement applies,
other or additional action codes (for removal, planning, and design) may be included in the cost
share calculation. The RPO may consult with Regional Counsel and HQ program staff to confirm
the scope of activities to be captured in the cost share calculation and to ensure consistent
application across the regions.
III.J.2 Constraints on Obligating Funds for RA
EPA may not obligate funds for Fund RA without having a signed SSC or remedial CA in
place. Regions are to use the Superfund State Contract Model Provisions, OSWER 9242.3-18,
November 2015 issued in November 2015. When EPA conducts an EPA-performed, Fund-
financed RA, it will generally obligate funds to a contractor or to another federal agency through
an IA. EPA may obligate Remedial Design (RD) funds to initiate the RA procurement process, up
to the point of soliciting for construction bids without a signed SSC. In cases of extreme urgency,
a solicitation (for bids on RA work) may be issued before an SSC is signed. The solicitation must
notify prospective bidders that the availability of funds for the contract is contingent on EPA and
the state signing an SSC. To ensure that Fund monies are effectively used, procurement activities
should be initiated with RD funds only when the region is confident the SSC will be signed before
bids are opened. If the SSC is not signed before the bid opening, one of the following decisions
must be made: 1) the solicitation may be canceled; or 2) the bid opening date may be postponed
(giving bidders an opportunity to withdraw, modify, or submit new bids) (See the Obligation of
Funds Under Superfund State Contracts, OSWER 9735.7-02, August 1993).
Among other requirements, the SSC must contain a Statement of Work with the estimated
costs per task, and a standard task to ensure a sign is posted at the site, the value of the remedy that
EPA will implement using Fund resources (and the state's share), the amount of cost share that the
state is assuring to provide, and a cost share payment schedule. EPA may not expend RA resources
in excess of the estimated value of the remedy determined in the SSC. If there are increases to the
cost of the RA, the SSC must be amended to reflect the change and document the state's increased
share of the cost (See Superfund State Contract Model Provisions, OSWER 9242.3-18, November
2015 and Ensuring the Adequacy of Cost Share Provisions in Superfund State Contracts, OERR
93 75.7-01. March 1993).
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III.J.3 Cost Share Payments
A state may pay for its share of response costs using cash, in-kind services, credit, or any
combination thereof. Greater detail of these cost share payment provisions and their requirements
are described in Subpart O, sections 35.6285 and 35.6815.
1. Cash. A state may pay for its share of response cost by direct cash payments to EPA.
Payment terms are specified in the SSC between the state and EPA.
2. In-kind Services. This form of payment may be provided only through a cooperative
agreement. Where EPA (or a political subdivision) is conducting the remedial action
and an SSC is required, this form of payment must also be documented in the SSC. In-
kind Services are described in 2CFR 200.306. In-kind services cannot be reimbursed
to the state nor used to satisfy cost share requirements at another site.
3. Credit. A state may satisfy its cost share requirement using credits, which are limited
to state site-specific expenses that EPA determines to be reasonable, documented,
direct, out-of-pocket expenditures of non-federal funds for remedial action, as defined
in CERCLA section 101(24), that are consistent with a permanent remedy at the site.
a. Credits are established on a site-specific basis and only a state may claim credit.
b. For sites already listed on the NPL, the state may be eligible for credit only if the
state initiated the remedial action after obtaining EPA's written approval
(authorization to conduct work).
c. Expenditures of non-federal funds for removal actions, as defined in CERCLA
section 101(23), are not eligible for credit.
d. The state must first apply all credit to the site for which it was earned. With the
approval of the EPA regional administrator (or delegate), the state may use excess
credit earned at one site for its cost share at another site. EPA will not reimburse
excess credit.
III.J.4 Using Funds from State Cost Share Payments
SSC collections are designated as reimbursable resources using the TR1 fund code. These
funds must be used at the site for which they were collected, and EPA cannot obligate these funds
until reimbursable authority is available. Reimbursable authority for Superfund state cost share
resources carried over from FY 2016 to FY 2017 in a pilot process by OCFO. Unobligated
reimbursable authority is expected to carry over from FY 2017 to FY 2018; however, OCFO is
monitoring the utilization of requested reimbursable authority to determine if the carry over of
unobligated reimbursable authority should continue in FY 2019. To receive reimbursable authority
in excess of the amount carried over, the RPO generally initiates a request and the RFO submits a
reprogramming document in Compass to request unobligated TR1 resources associated with the
site.
To maximize the use of appropriated resources elsewhere in the program, the region should
annually assess the availability of TR1 funds at a particular site to determine whether these
resources may be used in lieu of T funds. Generally, obligations of TR1 funds, relative to T
obligations for remedial action, should roughly match the proportions specified in the cost share
contract (e.g., TR1 obligations would equal 10% of the value of total remedial action appropriation
obligations). Since resource use is a dynamic process, such estimates will necessarily be rough,
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and the precise calculation of cost share amounts will occur during draft and final financial SSC
reconciliation.
III.J.5 Close Out Process for SSCs
In order for a SSC to be closed (i.e., achieve Final SSC Conclusion), a final financial
reconciliation must be completed such that remedial action costs (including all change orders,
claims, total expenditures of annually appropriated and state cost share funds, total collections,
verification and application of credit and in-kind services, final payments, refunds, or transfers of
State overpayments, etc.) are reconciled and documented to ensure that both EPA and the State
have satisfied the CERCLA cost share requirement. Further, the final financial reconciliation
should reflect: (1) all billings/collections/credits, refunds, and transfers are completed; (2) all
disbursements are recorded in EPA's financial system; (3) disbursements have been reclassified when
applicable; (4) advances in EPA's financial system equal zero; and (5) there are $0 TR1/5R1 funds
available for the site (use CBOR SSC Available Balance report to determine available balance).
Once, the final financial reconciliation is completed, the SSC can be Administratively
Closed when: (1) the response activities under the SSC have been satisfactorily completed; (2)
the final reconciliation has been completed; (3) the State has accepted transfer of any Federal
interest in real property (as applicable); and (4) that State has assumed responsibility for all
future operation and maintenance (O&M). The Administrative Closure is documented with an
SSC amendment.
Final SSC Conclusion occurs when O&M in concluded, a PRP has taken over O&M
requirements for the site and the SSC is terminated, or the SSC is terminated for other reasons.
Final SSC Conclusion is documented with an SSC amendment.
III.K SPECIAL ACCOUNTS
Special accounts are site-specific, interest bearing accounts within the Superfund Trust
Fund established through settlements and used to fund site-specific work. CERCLA authorizes
EPA to retain and use funds received in settlement with PRPs at sites where future response work
remains, which preserves annually appropriated resources for sites without viable PRPs. Use of
special account resources helps to achieve cleanup without relying solely on EPA's annual
Superfund appropriations.
EPA's success in collecting funds from PRPs for future response work and placing those
funds in special accounts has required EPA to place a greater focus on managing and using those
funds. In particular, EPA manages special accounts in order to:
1. Ensure available special account funds are needed for future site cleanup work and are
being used as expeditiously as possible;
2. Ensure special account funds rather than appropriated resources are used for response
work as appropriate;
3. Reclassify and transfer funds to the general portion of the Superfund Trust Fund when
they are no longer needed for future cleanup work at a particular site;
4. Close special accounts where funds are no longer required for work at the site, no
unliquidated obligations remain, and no future deposits are expected, and,
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5. Continue special accounts data collection to more effectively monitor the planned and
actual uses for these funds.
The SEMS Special Accounts Management screen enables regions to see and enter planning
data for the use of available special account funds for individual sites. Special account financial
data are transferred into SEMS from Compass on a nightly basis, with the exception of work
planning and mid-year data updates (data are frozen during those periods to allow regions to update
static data). Regions are expected to plan the use of available funds in each special account
consistent with guidance. Special account planning data should be updated at least twice a year
during the work planning and mid-year review processes, but also more frequently when a
milestone is reached (e.g., an account is established, funds are received, new planning information
is available). OSRTI and OSRE review special account planning data to ensure SEMS planning is
appropriate and special account funds are being used expeditiously to further cleanup work at sites.
The 'Data Monitoring Plan for Special Accounts' (updated March 6, 2014) provides an overview
of the special account financial and planning data that is reviewed by the regions and Headquarters
during the work planning and mid-year review processes, as well as other times throughout the
fiscal year.
Several guidance documents are available to assist the planning and use of special account
funds for response actions at the Special Accounts Policy, Guidance, and Factsheets Intranet site
at: http://intranet.epa.gov/oeca/osre/work-team/workgroup/sa/sa-policv.html.
I ILL USING THE FIDUCIARY RESER VE TO ADDRESS COST
OVERRUNS
EPA has a strong commitment to ensure that unliquidated obligations are periodically
reviewed, and if appropriate, are deobligated and made available for obligation where needed. The
Agency discourages the practice of retaining funds after a project period expires. Offices should
deobligate any unliquidated obligations with expired project periods, with the exception of funds
to address immediate pending invoices (OSRTI recommends within 90 days).
The Agency's fiduciary and expired fund reserve accounts, which are monitored by the
Office of Budget, are sufficient to cover circumstances where funds were deobligated but
subsequently needed. For Superfund, the Agency has an enhanced reserve in order to encourage
timely deobligation and to help maintain the pace of cleanups. Use of the fiduciary reserve will
not cause an Anti-deficiency Act violation. However, the Director, Office of Budget (OB), at
his/her discretion, may ask the program office responsible to reimburse the fiduciary reserve for
any overrun with current dollars if OB believes there is a need to replenish the fiduciary reserve.
Accessing the fiduciary reserve does not require Office of Budget approval, only
notification if the amount is over $50,000. The obligating official, payment official, or Contracting
Officer should fund the obligation with a modification that includes the appropriate accounting
information, based on the year of the overrun. Program offices should not submit new
commitments to cover these obligations.
Because of the possibility that the program office will need to replenish the reserve, if the
prior year obligation is within the remedial program and is over $50,000, the region should consult
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with OSRTI, Chief of the Budget Planning and Evaluation Branch (BPEB), before proceeding to
fund the obligation.
For prior year obligations of Superfund resources other than the remedial program, please
contact the appropriate program office.
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Superfund Program Implementation Manual
FY 18
Chapter IV: SEMS Data Management and Coding
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CHAPTER IV: SEMS Data Management and Coding
Table of Contents
IV. A Introduction IV-1
IV.B SEMS Regional/Headquarters Roles and Responsibilities. IV-1
IV.B.l Regional Roles IV-2
a. Information Management Coordinators IV-2
b. Budget Coordinators IV-3
IV.B.2 HQ Roles IV-3
a. Data Sponsors IV-3
b. Data Owners IV-3
c. Office of Superfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch IV-4
d. OSRTI Resource Management Division - Information Management Branch. IV-4
e. OSRTI Assessment and Remediation Division (ARD) Regional Support IV-4
f. Office of Site Remediation Enforcement (OSRE) Regional Support IV-4
g. Office of Emergency Management (OEM) Regional Support IV-4
h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5
IV. C General SEMS Data Entry/Quality Control Requirements IV-5
IV.C.l Quality and Timeliness of Data Entry IV-5
IV.C.2 Setting Targets in SEMS IV-5
a. Remedial Program IV-5
b. Federal Facilities Program IV-6
c. Enforcement Program IV-6
d. Removal Program IV-6
IV.C.3 Changes to Historical Accomplishments IV-7
IV.C.4 Data Validation and Verification IV-7
IV.D A ctivity Lead Codes IV-8
IV.E A ctivity Codes A vail able for Financial Transactions IV-9
IV.F Anomalies and Other SEMS Codes IV-14
IV.F.l Takeovers, Phased Indicators and Other Activity Code Anomalies IV-14
a. Takeovers IV-14
b. SEMS Coding For Takeovers IV-15
c. Phased Projects IV-17
d. Other Anomalies IV-17
e. Mega-Sites IV-19
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List of Exhibits
Exhibit IV. 1. Regional/HQ SEMS Responsibilities TV-2
Exhibit IV.2. Activity Lead Codes In SEMS IV-8
Exhibit IV.3. Activity Codes Available for Financial Transactions Sorted by SEMS activity Name
('Who Pays for What') IV-10
Exhibit IV.4. SEMS Activity Anomaly Reference Table IV-14
Exhibit IV.5a. Takeovers IV-16
Exhibit IV.5b. Phased Projects IV-17
Exhibit IV.5c. Other Anomalies IV-18
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CHAPTER IV: SEMS DATA MANAGEMENT AND CODING
IV.A INTRODUCTION
The Superfund Enterprise Management System (SEMS) is the Superfund program's
primary repository of program planning and accomplishment data, including resource planning
estimates and program targets and measures. Regions are primarily responsible for all Superfund
data in SEMS, which contains removal, site assessment, remedial, Federal Facility, and
enforcement program data. SEMS also contains Superfund Comprehensive Accomplishments Plan
(SCAP) reports that provide summary and detail information on site progress, target and measure
accomplishments, and resource planning. Headquarters (HQ) uses SCAP reports (and others)
internally to manage regional performance as well as to report progress to the public. The Agency
system for recording performance measure commitments and accomplishments is called the
Annual Commitment System (ACS). Before finalizing annual commitments for ACS measures,
regions enter initial bids in ACS, which may be re-negotiated with headquarters before being
finalized and locked. End-of-year accomplishment data for Superfund originates in SEMS; is
transferred to the Office of Land and Emergency Management's (OLEM)'s Performance
Assessment Tool (PAT) where data are reviewed by HQ (regions are contacted as needed to clarify
data issues); and finally transferred to ACS. ACS accomplishment data must be in agreement with
the information contained in SEMS.
This chapter describes in detail how HQ and the regions use SEMS to manage resource
planning and program performance within Superfund. The first section outlines responsibilities for
individual roles within the region and HQ as it relates to SEMS data entry. The next two sections
deal with SEMS data requirements and treatment of SEMS accounting data. The final sections
discuss specific SEMS codes that include program results codes, activity lead codes, budget codes,
special interest codes and qualifiers.
IV.B SEMS REGIONAL/HEADQUARTERS ROLES AND
RESPONSIBILITIES
HQ and regions have individual and shared responsibilities to ensure that planning and
accomplishment data are well maintained in SEMS. These responsibilities also extend to
participation in Superfund program performance reviews that use planning and accomplishment
data in conjunction with discussions of regional practices and national program priorities. Such
reviews enable management to recognize high performance, examine program accomplishments,
analyze and discuss issues that affect the successful operation of the Superfund program, initiate
changes in program operations or reallocate/redirect resources, and provide training and technical
assistance to those regions that are experiencing difficulties.
Exhibit IV. 1 describes general HQ/regional responsibilities for maintaining planning and
accomplishment data in SEMS, and the following subsections outline roles and responsibilities of
individual positions in the regions and HQ.
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EXHIBIT IV.l. REGIONAL/HQ SEMS RESPONSIBILITIES
Region ill Kesponsi hi li 1 ies
HQ Kesponsihilities
Add sites into SEMS and coordinate with financial
management counterparts to assign Site/Spill
Identification code (SSID)
Plan and schedule all Superfund site activities and
related extramural budgets in SEMS in a timely
manner and in accordance with national schedules
Enter planning, budget, and accomplishment data
into SEMS
Keep all planning, budget, and accomplishment
data up-to-date in SEMS
Prepare and submit data or process change
requests, as appropriate
Ensure there is 'objective' evidence to support
accomplishment data in SEMS
Prepare information to support mid-year and
annual work planning meetings and reviews
Coordinate annual and mid-year meeting with regions and
regularly communicate national program priorities
Negotiate with regions to set regional sub-targets which
total to the national Annual Target for each key program
performance measure
Determine extramural program regional funding allocations
Communicate changes in budget, SCAP process, the
Superfund Program Implementation Manual (SPIM), and
provide other program guidance that affects planning with
regions
Maintain SPIM accomplishment definitions, ensuring
SCAP logic accurately reflects definitions
Maintain functionality of SEMS and respond to regional
requests for data or process changes through the change
requests process
Ensure quality and timeliness of SEMS data by performing
periodic reviews of random data samples
Continually assess program performance, provide guidance
to, and solicit input from, regions on opportunities to
improve program performance
I V.B.I Regional Roles
a. Information Management Coordinators
The Information Management Coordinator (IMC) is a senior position which serves as
regional lead for all Superfund program and SEMS data systems management activities.
The following lead responsibilities for regional program planning and management rest
with the IMC:
Coordinate program planning, budget development, and reporting activities;
Ensure regional planning and accomplishments are complete, current, and
consistent, and accurately reflected in SEMS by working with data sponsors and
data owners;
Provide liaison to HQ on SCAP process and program review issues;
Provide liaison to regional management and data entry staff, as appropriate;
Coordinate regional reviews by HQ;
Ensure that the quality of SEMS data is such that accomplishments and planning
data can be accurately retrieved from the system; and,
Ensure there is 'objective' evidence to support accomplishment data in SEMS.
(Objective Evidence Rule: 'All transactions must be supported by objective
evidence, that is, documentation that a third party could examine and arrive at the
same conclusion.')
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b. Budget Coordinators
The Budget Coordinator (BC) serves as the regional lead for all Superfund program
resource activities. The Budget Coordinator:
Coordinates the planning, development, and reporting of resources;
Coordinates the planning and execution of regional priorities;
Communicates and implements national and regional Superfund budget policies;
Assists IMC to ensure regional resources associated with Superfund site and non-
site activities are complete, current, and consistent, and accurately reflected in
SEMS; and
Serves as regional liaison to HQ on program budget issues.
IV.B.2 HQ Roles
a. Data Sponsors
Data Sponsors include the senior staff in program offices in HQ that, along with data
owners, are responsible for the quality of data stored in SEMS. The current list of data
sponsors by program area is included in Appendix B. Data Sponsors:
Identify data needs;
Oversee the process of entering data into the system;
Use data for reporting purposes;
Conduct periodic audit reports;
Provide definitions for data elements;
Promote consistency across the Superfund program;
Initiate changes in SEMS as the program changes;
Provide guidance requiring submittal of these data;
Support the development of requirements for electronic data submission; and
Ensure there is 'objective' evidence to support the accomplishment data in SEMS
by identifying data requirements and checking to assure compliance by
performing periodic reviews of a random SEMS data samples. (Objective
Evidence Rule: 'All transactions must be supported by objective evidence, that is,
documentation that a third party could examine and arrive at the same
conclusion.')
b. Data Owners
Both HQ and the regions are Data Owners. The primary responsibilities of Data Owners
are to:
Enter and maintain data in SEMS, and
Assume responsibility for complete, current, consistent, and accurate data.
Ensure there is 'objective' evidence to support accomplishment data in SEMS.
(Objective Evidence Rule: 'All transactions must be supported by objective
evidence, that is, documentation that a third party could examine and arrive at the
same conclusion.')
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c. Office of Superfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch
The Budget Planning and Evaluation Branch (BPEB) provides leadership for budgeting,
program planning, and program analysis for the Office of Superfund Remediation and
Technology Innovation (OSRTI). The branch coordinates regional work planning and
review efforts, including negotiating regional pipeline action performance targets during
annual work planning, tracking performance progress during mid-year discussions, and
preparing year-end summary analyses. BPEB is also responsible for distributing and
monitoring Remedial Action (RA) and Pipeline Operations Site Allowance funds,
coordinating the annual regional unliquidated obligation analyses, and tracking and
providing OSRTI approval of recertifications of deobligated/reclassified funds to the
National RA Pool.
d. OSRTI Resource Management Division - Information Management Branch
The Information Management Branch (1MB) provides leadership for information
management, office automation, records management and program measurement functions
throughout OSRTI. 1MB designs, implements, and maintains SEMS, oversees the
Superfund program's nationwide data quality efforts, and consults with HQ program
offices on the development and operation of program databases and systems. 1MB also
manages the implementation of office automation systems and productivity tools for
OSRTI and works closely with the Budget, Planning and Evaluation Branch, as well as
with other staff throughout the other branches, to conduct comprehensive program
evaluations of the Superfund program.
e. OSRTI Assessment and Remediation Division (ARD) Regional Support
OSRTI's Assessment and Remediation Division (ARD) generally includes the primary
contacts for regions regarding site-specific issues and is often the primary conduit to
regions for communicating and interpreting national policies related to the remedial
program.
f. Office of Site Remediation Enforcement (OSRE) Regional Support
The Office of Site Remediation Enforcement's (OSRE) Program Evaluation and
Coordination Branch (PECB) in the Policy and Program Evaluation Division (PPED) has
established specific contacts, who communicate with regions on a variety of Superfund
enforcement related matters including site-specific matters, national priorities, SEMS data,
Integrated Compliance Information System (ICIS) data, and enforcement resource matters.
g. Office of Emergency Management (OEM) Regional Support
The Office of Emergency Management's (OEM) Preparedness and Response Operations
Division (PROD) has specific contacts assigned to provide information to each region and
to address questions or issues raised by any region that is associated with removal activities
and Homeland Security. The Resources Management Division (RMD) supports OEM
removal activities through analysis, planning, and budget support for the program. This
includes measures planning and tracking, data quality assurance, resource allocation and
redistribution, and other activities as required.
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h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support
The Federal Facilities Restoration and Reuse Office (FFRRO) has specific contacts who
serve as the primary contacts for regions regarding site-specific issues and national policy.
FFRRO works closely with OSRTI on issues that may have an impact upon both the federal
and private cleanup programs in the regions.
IV C GENERAL SEMS DA TA ENTR Y/QUALITY CONTROL
REQUIREMENTS
This section addresses several issues regarding SEMS data entry and data quality of
activities that are reported in SEMS.
IV.C.l Quality and Timeliness of Data Entry
It is essential that planning and accomplishment data in SEMS remain current and up-to-
date throughout the year and that accomplishments are reported as they occur. At a minimum, HQ
pulls targets and measures accomplishment data from SEMS at mid-year and end of year.
However, Environmental Protection Agency (EPA) managers, other agencies, and the public
continually request up-to-date accomplishment, budget, and site-specific data from the program
on a quick turnaround basis. Data needs to be consistent and timely to avoid confusion with data
provided in prior data requests or by more than one entity.
All activities at National Priorities List (NPL) sites and sites with a Superfund Alternative
Approach (SAA) agreement should be planned out through the entire cleanup cycle as early as
possible. During the Remedial Investigation/Feasibility Study (RI/FS), the regions should enter
into SEMS all the estimated planned start and completion dates for future activities. Site schedule
and financial planning information should be reviewed and updated on an ongoing basis. If
changes in planning information (schedule and/or funding needs) warrant changes in SEMS, the
data owner is responsible for making the changes within five working days after being made aware
of the need for the change. Regions should ensure accomplishments data are reflected in SEMS
within five working days of the activity occurring unless otherwise noted in the program-specific
chapters of this manual.
HQ only recognizes targets and accomplishments that are correctly reported in SEMS
through SCAP reports. Although HQ may perform data quality checks and inform regions of
discrepancies, regions are responsible for performing data quality checks and making adjustments
to SEMS if the database or reports do not reflect accurate targets or actual accomplishments.
Regions should ensure planning and accomplishment data is reflected in SEMS within five
working days of the end of the quarter in which it occurred.
IV.C.2 Setting Targets in SEMS
a. Remedial Program
Regions use the Targets and Work planning screen in SEMS to select targets. Information
on this screen as well as the SCAP 4 and SCAP 14 is used to review regional plans and
targets during work planning and mid-year review discussions between HQ and the region.
The procedures and schedule for finalizing summary and detail level targets are typically
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OLEM Directive 9200.3-153
provided in the annual work planning memo issued annually by OSRTI and OSRE. Some
targets are non-site-specific estimates of the number of accomplishments of an activity a
region will achieve. However, in a number of instances, regions must set targets site-
specifically. In many cases site substitutions are allowed, however, five-year review targets
are site-specific and substitutions are not allowed. Sites targeted for five-year reviews must
be completed by the statutory due date.
Under the Superfund Pipeline Site Allowance allocation methodology, regions must set
site-specific targets for a subset of pipeline activities (government [GOVT] RI/FS,
Potentially Responsible Party [PRP] RI/FS, GOVT Remedial Design (RD), PRP RD, and
PRP Remedial Action [RA Starts]) in order to obtain Pipeline resources. For these
activities, regions must ensure that detail level targets match summary level targets within
the SCAP 14. Although regions have flexibility to alter their site-specific plans after
Pipeline resources are allocated, HQ will use only a region's original overall numerical
targets for the resource allocation calculation the following year (e.g., if a region originally
targets 10 RD starts for the year and is allocated resources based on that value, the model
will use the target of 10 RD starts the following year as its basis for calculating the region's
resource allocation. This process occurs regardless of whether the region reduced or
increased its target because the model takes into consideration the portion of the previous
year's target that the region met when allocating the following year's resources. Therefore
the region has incentive to target accurately in the current year.) Although regions have
flexibility to alter plans, the regions are still accountable for meeting the targets established
at the beginning of the fiscal year (FY). Regions should discuss with HQ any issues that
may affect the meeting of negotiated annual targets during the mid-year reviews.
b. Federal Facilities Program
An annual memo is transmitted to the regions to convey dates and targeting expectations
before work planning meetings. Regions are expected to set targets for RI/FS Starts,
Decision Documents, Final Remedy Selected, RA Starts, RA Completions, Five-Year
Review Completions, Construction Completions, and Sitewide Ready for Anticipated Use.
c. Enforcement Program
Targets must be set site-specifically for negotiations and for past costs addressed greater
than $500,000. It is vital to the management of the cost recovery program that sites with
upcoming statute of limitations (SOL) be addressed prior to the expiration of the SOL.
Therefore, regions will not be allowed to substitute targeted sites that have SOLs occurring
within the current fiscal year or in the first quarter of the upcoming fiscal year. Regions are
required to submit their final SOL targets to OSRE before September 30th and to ensure
that all final SOL targets are identified in SEMS by fiscal year quarter and appear on the
SCAP-14 report.
d. Removal Program
HQ and the regional offices discuss the regional targets at several points every year. For
removal activities, the target being monitored is the number of removal completions (Fund-
lead and PRP-lead combined) in the fiscal year. The targets are set in the prior fiscal year,
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OLEM Directive 9200.3-153
and each region's progress on reaching their target is checked on during mid-year calls
with the regions.
IV.C.3 Changes to Historical Accomplishments
As of FY 2016, SEMS incorporated an "accomplishment lockout" feature that maintains a
record of all changes to historic accomplishments. Each region establishes procedures and assigns
system roles to ensure that the appropriate individuals have knowledge of and approve any
accomplishment changes.
A regional manager shall approve in writing (e.g., email to appropriate individuals), each
change made to historical accomplishment data. Only regional IMCs, and individuals designated
by the IMC, shall have access or authority to change/add/delete data once the written approval has
been received. Approval documentation must be maintained by the IMC for the duration of the life
cycle of the data changed (up to seven years).
IV.C.4Data Validation and Verification
The Government Performance and Results Act (GPRA) requires that an agency address its
verification and validation procedures for performance data in the annual performance plan. SEMS
data verification and validation procedures are incorporated as part of the Superfund program's
submission to the Agency's annual performance plan.
A key component of SEMS verification/validation procedures is the regional SEMS Data
Entry Control Plan. The control plans include: 1) regional policies and procedures for entering
data into SEMS; 2) a review process to ensure that all Superfund accomplishments are supported
by source documentation; 3) delegation of authorities for approval of data input into SEMS; and
4) procedures to ensure that reported accomplishments meet accomplishment definitions. In
addition, regions document in their control plans the roles and responsibilities of key regional
employees responsible for SEMS data (e.g., regional project manager, information management
coordinator, supervisor, etc.), and the processes to assure that SEMS data are current, complete,
consistent, and accurate.
Regions are required to update their SEMS Data Entry Control Plan at least annually,
unless otherwise directed by HQ. HQ reviews these plans for conformance to national guidance,
and suggests improvements where necessary.
In addition, regions are required to submit to their regional Superfund Records Center the
document that constitutes or justifies an accomplishment date (start or finish) recorded in SEMS.
(Documentation requirements for these dates can be found in the later chapters of this manual
under the description of the applicable target or measure.) When submitting the documentation to
its Records Center, the region should provide the target/measure category and the SEMS operable
unit (OU)/activity name/sequence number. The regional Records Center is to include these SCAP
data with the document index metadata, and provide the document index number from its tracking
system for entry into SEMS associated with the applicable accomplishment date. Once the
document has been loaded into SEMS, regional data entry staff should then ensure that the
document is properly associated to the activity. Within the site schedule in SEMS, select the Site
Activity tab, and then the Accomplishment (SCAP) Details tab in order to associate documents.
FY 18 SPIM
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OLEM Directive 9200.3-153
IVI) ACTIVITY LEAD CODES
SEMS uses multiple mechanisms to identify entities that are performing individual
activities and the sources of funding for those activities. The site schedule in SEMS subdivides the
major pipeline functions (e.g., Removal, RI/FS, RD, RA, LR) within each program area into
GOVT, PRP and Federal Facility (FF) performed actions. Program accomplishments in the SCAP
14 are measured on the basis of these subdivisions. These subdivisions signify the entity type
performing the identified activities in the schedule.
'Performance' lead codes allow regions to specify the entity that is conducting the work.
Performance lead codes for GOVT activities identify which organization is performing the activity
itself (e.g., EPA in-house, EPA [contractors], State, Tribe). Performance lead codes for PRP
activities identify the organization performing the oversight of the PRP-conducted response action
(e.g., EPA in-house, EPA [contractors], State, Tribe). Oversight of work conducted by federal
agencies under the Federal Facilities program use the 'Federal Facilities' performance lead code.
Performance lead codes may be assigned in the Work Package Info tab screen for each work
package selected through the Site Schedule in SEMS but are only required for those activities that
are recorded in the SCAP 14 Accomplishments report.
'Financial' lead codes are used to distinguish the various sources of funding used to either
conduct or oversee the activity. Generally, sources of funding are subdivided into three groups,
annually appropriated resources (in SEMS, state cost share resources are included in this category),
special accounts, and mixed sources. Under SEMS, regions use the 'mixed source financing' code
to represent multiple sources of funding for the same activity and do not have to determine whether
a specific source provides the majority of funding that activity. Financial lead codes may be
assigned in the Work Package Info tab screen for each work package selected through the Site
Schedule in SEMS but are only required for those activities associated with financial transactions.
Under SEMS, leads for actions that are not recognized as performance accomplishments
(i.e., state deferral, state action/over sight without a formal EPA agreement, state Record of
Decision [ROD] without EPA concurrence) are designated with the use of anomaly codes, rather
than lead codes. These codes are also entered in the Work Package Info tab screen for each work
package selected through the Site Schedule in SEMS.
The table below identifies the codes and definitions of the Performance and Financial lead
codes used in SEMS.
EXHIBIT IV.2. ACTIVITY LEAD CODES IN SEMS
Lead
Code
Name
Description
Performing Leads
EP
EPA Performed In-House
EPA-performed response/enforcement actions using intramural
resources.
F
EPA Performed
EPA-performed response/enforcement actions using extramural
resources.
FF
Federal Facilities Performed
Federal Facility-performed response actions conducted under EPA
oversight using either internal EPA or extramural resources.
July 31,2017
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OLEM Directive 9200.3-153
PE
EPA Oversight In-House
PRP-performed response actions conducted under EPA oversight using
intramural resources.
PS
State Oversight
PRP- or federal agency performed response actions conducted under the
oversight of a state pursuant to a Cooperative Agreement (CA) with
EPA, a Superfund Memorandum of Agreement (SMOA), or other formal
document between EPA and the state that allows EPA review of PRP
deliverables. If no formal agreement exists, use in conjunction with the
SR anomaly code (no resources should be associated with projects
having the SR anomaly code).
PT
Tribe Oversight
PRP- or federal agency performed response actions conducted under the
oversight of a tribe pursuant to a CA with EPA, a Tribal Memorandum of
Agreement (TMOA), or other formal document between EPA and the
tribe that allows EPA review of PRP deliverables.
RP
EPA Oversight
PRP-performed response actions conducted under EPA oversight using
either EPA or extramural resources.
S
State Performed
State-performed response/enforcement actions conducted pursuant to a
CA with EPA, a SMOA, or other formal document between EPA and the
state that allows EPA review of state deliverables. If no formal
agreement exists, use in conjunction with the SN anomaly code.
TR
Tribe Performed
Tribe-performed response/enforcement actions conducted pursuant to a
CA with EPA, a TMOA, or other formal document between EPA and the
tribe that allows EPA review of tribal deliverables.
Financial Leads
FU
Fund Financing
Financed with appropriated resources and/or state cost share resources
MS
Mixed Source Financing
Financed with a combination of appropriated, special account resources,
or other resources
OT
Other Financing
Financed by other Superfund reimbursables (e.g., TR, TR3) or non-
Superfund related sources (e.g., state, Federal Emergency Management
Agency (FEMA), Underground Storage Tank (UST), Oil)
SP
Special Account Financing
Financed with special account resources only.
Historical Performance Leads (retained as Performance lead only for historic actions)
CG
Coast Guard
Work performed by the Coast Guard - Limited to removals (Historic)
CO
Comm Org
Community Organization (Historic)
OH
Other
Other lead (Historic)
PP
Prosp Purch
Response actions funded by DoD performed at a Base Realignment and
Closure (BRAC) site by a non-federal party that takes title to the BRAC
property pursuant to Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) 120(h)(3)(C) (Historic)
IV.E ACTIVITY CODES A VAILABLE FOR FINANCIAL TRANSACTIONS
There are hundreds of activity codes available for use in SEMS to assist regions in planning
activities and recording accomplishments for regional and national program management. To
simplify and facilitate consistent financial transaction coding in SEMS and Compass, the Agency's
financial management system, the Superfund programs have determined that regions should assign
financial planning and obligation information to only a subset of these activities. Exhibit IV.3
identifies those activity codes that regions may use for planning obligations in SEMS as well as
FY 18 SPIM
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OLEM Directive 9200.3-153
the appropriate Program Results Codes (PRC), Site Allowance(s) (SA), and SSID types (Site
Designators) associated with them. For most activities, SEMS will assign the correct PRC, SA,
and SSID type to a planned obligation, depending on the activity for which resources are planned.
For certain activities, multiple options are possible and these choices are available (and required)
to be selected in the Site Obligations and Non-Site Obligations Planning screens in SEMS.
EXHIBIT IV.3. ACTIVITY CODES AVAILABLE FOR FINANCIAL TRANSACTIONS SORTED BY
SEMS ACTIVITY NAME ('WHO PAYS FOR WHAT')
I-Y20IX SI PI.RIT M) ACTIVITY ( ODI.S 1 OK MYWCIAI. TRANSACTIONS SOU 1I I) BY
ACTIVITY NAMI.
Ac(i\il\
(ode
PRC
SA
She l)es.
Administrative Records
AR
303DC6
303DC9
303DD2
501EC7
E
FF
P
E
S
S
s
s
Aerial Survey (formerly Pre-Remedial/Remedial Survey)
AS
303DC6
303DC9
303DD2
E
FF
P
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
Alternate Dispute Resolution
AD
303DD2
501EC7
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Bulk Funding
For extramural use only. May commit and obligate to this
action code but must expend (redistribute) to a different
action code.
WQ
303DC6
303DC9
303DD2
501EC7
E
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
CERCLA Criminal Litigation - 501EC7 is for HQ
(Department of Justice [DOJ] Interagency Agreements
flAsl) use only.
CC
501EC7
501E52
E
E
s
s
Claim in Bankruptcy Proceedings
CB
501EC7
E
s
Combined RI/FS
CO
303DD2
P
s
Community Involvement (non-Federal Facility)
May plan with WQ SSID but must obligate site-
specifically.
CR
303DC6
303DD2
E
P
s
s
Compliance Enforcement
uz
501EC7
E
s
Contract Management
JU
303DC6
303DC9
303DD2
501EC7
E
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Cost Recovery Negotiation
NE
501EC7
E
s
Design Assistance
DA
303DD2
P
s
Emergency PRP Removal
(Emergency Removals Without an Enforceable Instrument)
PJ
303DC6
303DC6
RV
E
s
s
Engineering Evaluation/Cost Analysis (EE/CA)
EE
303DC6
303DC9
303DD2
E
FF
P
s
s
s
ESI/RI
SS
303DD2
P
s
Expanded Site Inspection (ESI)
ES
303DD2
P
s
Feasibility Study
FS
303DD2
P
s
Federal Facility and BRAC General Support and
Management
303D41 is for payroll costs only.
TX
303DC9
303D41
FF
FF
00
00
FF Community Involvement
LZ
Not Available-Use FF Oversight (OX)
July 31,2017
IV-10
FY 18 SPIM
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OLEM Directive 9200.3-153
I-Y20IX SI PI.RII M) ACTIVITY CODI.S 1 OK MYWCIAI
TRANSACTIONS SOU 1I I) BY
ACTIVITY YWli:
Adi\ il\
(ode
PRC
SA
Silo IK'S.
FF ESI Review
TZ
Not Available
(QB)
-Use Generic PA/SI
FF Five Year Review
VY
Not Available
-Use FF Oversight (OX)
FF FS
NI
Not Available
-Use FF Oversight (OX)
FF LR
MZ
Not Available
-Use FF Oversight (OX)
FF Oversight
OX
303DC9
FF
S
FF Oversight (Site-Specific BRAC Costs) - 303D41XB4 is
303D41XB4
S
for payroll and site travel only.
FF PA Review
RX
Not Available
(QB)
-Use Generic PA/SI
FF RA
LY
Not Available
-Use FF Oversight (OX)
FF RD
LX
Not Available
-Use FF Oversight (OX)
FF Removal
LV
Not Available
-Use FF Oversight (OX)
FFRI
NH
Not Available
-Use FF Oversight (OX)
FF RI/FS
LW
Not Available
-Use FF Oversight (OX)
FF SI Review
TY
Not Available
(QB)
-Use Generic PA/SI
FiveYear Review
303DD2
P
S, WQ
May obligate to WQ SSID but must plan/outlay site-
FE
303DD2
RA
S, WQ
specifically.
Five-Year Review Addendum
303DD2
P
S, WQ
May obligate to WQ SSID but must plan/outlay site-
WV
303DD2
RA
S, WQ
specifically.
Forward Planning/ Redevelopment/ Reuse
FM
303DD2
P
s
General Support and Management
BM
303DC6
303DD2
E
P
00
00
501EC7
E
00
General Enforcement
GE
501JC7
00
501EH2
FFE
00
Generic PA/SI
QB
303DD2
303DC9
P
FF
S, WQ, ZZ
S, WQ, ZZ
Groundwater Monitoring (PostROD)
GM
303DD2
303DC9
P
FF
s
s
Hazard Ranking System (HRS) Package
HR
303DD2
P
s
303DC9 is for HQ use only.
303DC9
FF
s
303DC6
E
S, WQ, ZZ, 00
303DC9
S, WQ, ZZ, 00
Information Management Support
IJ
303DD2
FF
S, WQ, ZZ, 00
501EC7
P
E
S, WQ, ZZ, 00
303DC6
E
S, WQ, ZZ, 00
303DC9
S, WQ, ZZ, 00
Laboratory Support
LA
303DD2
FF
S, WQ, ZZ, 00
501EC7
P
E
S, WQ, ZZ, 00
Legal Review and Analysis
PS
501EC7
E
s,zz
Litigation - Generic
LT
501EC7
501JC7
E
s
s
Long Term Response Action (LTRA)
LR
303DD2
RA
s
Management Assistance
MA
Renamed-See State Support Agency
Cooperative Agreement (MA)
FY 18 SPIM
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OLEM Directive 9200.3-153
I-Y20IX SI PI.RI I M) ACTIVITY CODI.S 1 OK FINANCIAL TRANSACTIONS SOU 1I I) BY
ACTIVITY NAMI.
Adi\ il\
(ode
PRC SA
Silo IK'S.
MultiSite Cooperative Agreement
MS
Not Available-Use State Support
Agency Cooperative Agreement (MA),
Generic PA/SI (QB), or Bulk Funding
(WQ), as appropriate
Negotiation - Generic
NG
501EC7
501JC7
501EH2
E
FFE
S
S
s
Non-NPL PRP Search - For expending unliquidated
obligations only. Use QV for new obligations.
RP
Not Available-Use PRP Search (QV)
NPL RP Search - For expending unliquidated obligations
only. Use QV for new obligations.
NS
Not Available-Use PRP Search (QV)
Operation and Maintenance (O&M) - Use Trust Fund
resources only to oversee O&M. Use reimbursable
resources to conduct or oversee O&M.
OM
303DC9
303DD2
FF
P
s
s
Prospective Purchaser Agreement (PPA) Assessment
QX
501EC7
E
s
Pre-CERCLA Screening
HX
303DD2
P
S, WQ, ZZ
Preliminary Assessment (PA)
PA
303DD2
P
S, WQ, ZZ
Preparation of Cost Documentation
PC
501EC7
501JC7
E
s
s
PRP FS
NK
303DD2
P
s
PRP LR
ME
303DD2
P
s
PRP RA
BF
303DD2
P
s
PRP RD
BE
303DD2
P
s
PRP Removal
Use Pipeline Site Allowance only for Remedial Program
Projects.
BB
303DC6
303DC6
303DD2
RV
E
P
s
s
s
PRPRI
NA
303DD2
P
s
PRP RI/FS
BD
303DD2
P
s
PRP Search
QV
501EC7
E
S, WQ, ZZ
RA Contractor Acquisition
ZB
303DD2
P
s
RD/RA Negotiation
AN
501EC7
E
s
Real Property Acquisition
RL
303DD2
P
s
Records Management
SW
303DC6
303DC9
303DD2
501EC7
501EH2
E
FF
P
E
FFE
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Remedial Action
RA
303DD2
RA
s
Remedial Design
RD
303DD2
P
s
Remedial Investigation
RI
303DD2
P
s
Removal - May plan with WQ SSID but must obligate
site-specifically.
Use RA Site Allowance only for Remedial Program
Projects.
RV
303DC6
303DC6
303DD2
RV
E
RA
s
s
s
Removal Assessment
RS
303DC6
303DC6
RV
E
S, WQ, ZZ
S, WQ, ZZ
Removal Negotiation
RN
501EC7
E
s
Research and Development
BG
303DD2
P
S, WQ, ZZ
RI/FS Negotiation
FN
501EC7
E
s
July 31,2017
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OLEM Directive 9200.3-153
I-Y20IX SI PI.RII M) ACTIVITY CODI.S 1 OK MYWCIAI
TRANSACTIONS SOU 1I I) BY
ACTIVITY YWli:
Adi\ il\
(ode
PRC
SA
Silo IK'S.
RI/FS Scoping
ZA
303DD2
P
S
Risk/Health Assessment
ED
303DC9
303DD2
FF
P
S
s
Section 104(E) Referral Litigation
SF
501EC7
E
s
Section 106 Litigation
sx
501EC7
E
s
Section 106/107 Litigation
CL
501EC7
E
s
Section 107 Litigation
sv
501EC7
E
s
303DC6
E
S, WQ, ZZ, 00
Senior Environmental Employee (SEE) Program - For
SM
303DC9
FF
S, WQ, ZZ, 00
extramural use only.
303DD2
P
S, WQ, ZZ, 00
501EC7
E
S, WQ, ZZ, 00
Site Inspection (SI)
SI
303DD2
P
S, WQ, ZZ
Site Reassessment
00
303DD2
P
S, WQ, ZZ
Site Security and Maintenance
PD
303DD2
P
s
SiteSpecific BRAC Costs
PX
Not AvailableUse FF Oversight
(OX)
State Core Program - For extramural use only.
SK
303DD2
P
00
State Support Agency Cooperative Agreement (formerly
MA
303DC9
FF
S, WQ, ZZ
Management Assistance) - For extramural use only.
303DD2
P
S, WQ, ZZ
303DC6
E
S, WQ, ZZ
Technical Assistance
TA
303DC9
FF
S, WQ, ZZ
303DD2
P
S, WQ, ZZ
Technical Assistance Grant - For extramural use only. May
TG
303DC9
FF
s
plan with WQ SSID but must obligate site-specifically.
303DD2
P
s
303DC6
E
00
Training
TH
303DD2
P
00
501EC7
E
00
Treatability Study
TS
303DD2
P
s
Tribal Core Program - For extramural use only.
TK
303DD2
P
00
Tribal Support Agency Cooperative Agreement
TJ
303DC9
FF
S, WQ, ZZ
For extramural use only.
303DD2
P
S, WQ, ZZ
Siie(SSID) Designators
S
Site-specific obligation
WQ
Unspecified obligation; outlays must be redistributed to S, ZZ or 00 site designators;
may not be used with special accounts
ZZ
Site related (ZZ) obligation for site assessment; may not be used with special accounts
00
Non-site (00) obligation; may not be used with special accounts
Sile Allowances (SA)
Site Allowance Code
Site Allowance Name
Compass Budget Org Code, Fifth
Position
E (not in SEMS)
Enforcement
No Compass Budget Org Code
FFE (not in SEMS)
Federal Facilities Enforcement
No Compass Budget Org Code
FF
Federal Facility Response
F
RV
Removal and Removal Support
E
P
Pipeline Operations
P
RA
Remedial Action
R
FY 18 SPIM
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OLEM Directive 9200.3-153
IV F ANOMALIES AND OTHER SEMS CODES
IV.F.l Takeovers, Phased Indicators and Other Activity Code Anomalies
Activity anomaly codes (labeled Takeover or Lead Changes/Phased Indicators in SCAP
reports) are used to signify activities that for some reason should not appear as valid starts or
finishes in SCAP planning and accomplishment reports but which still require tracking. There are
four general categories of anomaly codes: Takeover, Phased, Other Anomaly and Voluntary
Cleanup. Exhibit IV.4 is a reference table of all action anomaly codes in SEMS.
EXHIBIT IV.4. SEMS ACTIVITY ANOMALY REFERENCE TABLE
SEMS Acliv ilv Anomaly Reference Table
Code
Description
TO
Original Action Take Over
TN
New Action Resulting from Take Over
TT
Takeover of an Action Taken Over
PS
Phased Start
PC
Phased Completion
PB
Phased Start & Completion
OS
Other Start Anomaly
OC
Other Completion Anomaly
OA
Other Start and Completion Anomaly
VC
Voluntary Cleanup; use in conjunction with S Performance
Lead code
SD
State Deferral; use in conjunction with S Performance
Lead code
SN
State Performed, No EPA Funding or CA; use in
conjunction with S Performance Lead code
SR
PRP Under State Order, No Agreement with EPA; use in
conjunction with PS Performance Lead code
SW
State ROD, No EPA Concurrence; use only with ROD
activity code; use in conjunction with S Performance Lead
code
a. Takeovers
Over the course of a cleanup at a site, the lead for the various cleanup phases may change.
For example, EPA may perform an RI/FS (GOVT RI/FS), but pursuant to a consent decree
(CD) or administrative order on consent (AOC), a PRP may take responsibility to perform
the RD (PRP RD). This form of lead change is not a takeover, because each entity is
responsible for a discrete phase of work.
A takeover occurs when there is a change in the entity performing a response action after
the activity has been initiated but before it is completed. A takeover typically occurs when
the PRP is unable or unwilling (e.g., due to non-compliance with an AO or CD) to complete
an activity (e.g., PRP RD) that it started to perform, and a government agency must perform
(take over) the activity. In such a case, the original PRP Performed activity should be
terminated in SEMS and a new GOVT Performed activity started using the appropriate
anomaly codes (see below for takeover coding instructions).
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In order to avoid delays resulting from lead changes, the Limiting Lead Transfers to Private
Parties During Discrete Phases of the Remedial Process, OSWER 9800.1-01, November
1991 encourages lead changes between discrete phase of response activity, and discourages
PRP takeovers of EPA performed actions that are already underway, except in unusual
circumstances. The limitations in this policy do not apply to EPA takeovers of PRP work
or lead changes involving states.
Although early site assessment activities will be GOVT Performed, response lead changes
can occur at any of the following points in the process:
Prior to development of an EE/CA for a non-time critical (NTC) removal action;
Prior to the ESI/RI or RI/FS;
Prior to the FS if the RI and FS are being done separately;
After the ROD is signed and prior to beginning the RD or RA; or
Prior to RA contract solicitation, when funding the RA would have significant
implications for the GOVT and when no significant delays will occur.
When circumstances warrant passing the lead to PRPs during a phase of cleanup, steps
should be taken to minimize potential causes of delay. For example, if PRPs assume the
lead during the RI/FS, they should be given a limit of 60 days to enter into an AOC for
performing the work.
If a PRP is allowed to take over a GOVT-financed response activity after dollars have been
obligated, the region should deobligate any unliquidated obligations, and use the region's
available annually appropriated funds, deobligations, or special account funds to pay for
oversight of the response activity conducted by the PRP.
b. SEMS Coding For Takeovers
Using SEMS codes to identify takeovers will prevent reporting of multiple starts and
finishes for the same response activity on SCAP planning and accomplishment reports. A
takeover creates a new activity, but does not create a new OU. In the case where one entity
takes over an activity from another, the region must establish a new activity with the
appropriate Performance lead code as well as apply the appropriate the Activity Anomaly
Codes to both the original activity and the new activity.
The finish date of the original activity must be the same as the start date of the new activity.
Takeover/Phased Indicators must be entered for both activities. The 'Original Activity
Takeover (TO)' indicator is used to flag the original activity which has the change in lead,
whereas a 'New Activity Resulting from Takeover (TN)' indicator is used to flag the new
activity.
On rare occasions, an activity that has been taken over requires an additional lead change.
For example, EPA reaches settlement with the PRPs after an EPA performed activity (e.g.,
GOVT RI/FS) has begun. The original GOVT RI/FS is terminated and a new PRP RI/FS
is started. After the PRPs start work, EPA experiences problems with the PRPs in meeting
deadlines or in the quality of the work. As a result, EPA makes a decision to take over the
PRP- financed activity.
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The first three steps below describe the SEMS data entry for a takeover scenario. All 5
steps describe the data entry for a takeover and subsequent takeover of a takeover. Exhibit
IV. 5a provides examples of the SEMS coding for a takeover and a takeover of a takeovers.
1. The original GOVT RI/FS activity is added to SEMS with the appropriate start
date. The 'F' Performance lead code is selected in the Work Package Info tab
screen for the GOVT RI/FS work package to indicate that EPA is performing the
action (i.e., rather than the state).
2. After the PRP takes over the GOVT RI/FS work, the appropriate finish date is
entered for the original GOVT RI/FS. The TO indicator is selected in the Work
Package Info tab screen.
3. A new PRP RI/FS activity is added under the same OU with the same start date as
the finish date of the original GOVT RI/FS. The TN indicator is selected in the
Work Package Info tab screen for this activity. The 'RP' Performance lead code is
selected in the Work Package Info tab screen to indicate that EPA is overseeing
the PRP response (i.e., rather than the state).
4. After EPA takes over the PRP RI/FS work, the appropriate finish date is entered
for the PRP RI/FS. The TT indicator ('Takeover of an Action Taken Over') is
selected in the Work Package Info tab screen (this replaces the previously used
TN anomaly code).
5. A new GOVT RI/FS activity is added under the same OU with the same start date
as the finish date of the PRP RI/FS. The TN indicator is selected in the Work
Package Info tab screen for this activity. The 'F' Performance lead code is
selected in the Work Package Info tab screen to indicate that EPA is performing
the action.
EXHIBIT IV.5A. TAKEOVERS
()l
Aeli\ ilj
Name
Se(|
Tal
Perl
lead
icover
Acl Siarl
Coding for
Ael ('(imp
PRP taking
Takeo\er/
Phased
Indiealor
over GOV
Comments
T RI/FS
01
GOVT
Combined
RI/FS
001
F
8/1/1997
12/1/1997
TO
Original Activity Takeover-no
Completion accomplishment
01
PRP RI/FS
002
RP
12/1/1997
3/1/1998
TN
New Activity Resulting from
Takeover-no Start
accomplishment
Takeover Coding for EPA taking over the PRP takeover of the GOVT RI/FS
01
GOVT
Combined
RI/FS
001
F
8/1/1997
12/1/1997
TO
Original Activity Takeover-no
Completion accomplishment
01
PRP RI/FS
002
RP
12/1/1997
3/1/1998
TT
Takeover of an Action Taken
Overno Start or Completion
accomplishment
01
GOVT
Combined
RI/FS
003
F
3/1/1998
9/1/1999
TN
New Activity Resulting from
Takeover-no Start
accomplishment
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OLEM Directive 9200.3-153
c. Phased Projects
At any stage in the cleanup process, a project may be phased or time-sequenced to
accelerate the cleanup effort. Phasing is complementary to OUs. Whereas OUs break large,
complex projects into smaller, more manageable work elements, phasing is a method to
accelerate the implementation of projects within OUs. Phasing manipulates the internal
steps required to complete each OU, thereby optimizing the overall schedule of a GOVT
RA that, for example, requires site clearing prior to constructing an incinerator. The
clearing would be one phase of the GOVT RA, while the construction of the incinerator
would be a second phase. In the case of a phased project, only the start of the initial activity
and the finish of the final activity are recorded as valid accomplishments in SCAP
accomplishment reports.
A region will enter into SEMS a separate activity, under the same OU, for each phase of
the action that is to be tracked uniquely. Phases of each response activity are shown in
SEMS by the use of the Takeover/Phased Indicators of 'Phased Start (PS)' and 'Phased
Complete (PC)' or 'Phased Start and Completion (PB)' Funding required for each of the
phases is tracked against the phase. However, the duration of the project is calculated from
the date the first phase started to the date the last phase is finished.
In cases where HQ makes decisions to fund certain components of a GOVT RA project
that used Fund financing (i.e., the FU financial lead code), HQ may direct a region to use
or not use phased project coding in order to accurately depict the funding decision.
EXHIBIT IV.5B. PHASED PROJECTS
()l
Acli\i(\
\;imo
Scซ|
Poll
l.oiid
Ad Sliirl
Acl Cfimp
T;ikoo\or/
Phiiscd
Indicium-
('(lllllllCIIIS
01
GOVT RD
001
F
8/1/1997
12/1/1997
PC
Phase I (Phased Completion--] m
Completion accomplishment)
01
GOVT RD
002
F
12/1/1997
3/1/1998
PB
Phase II (Phased Both~no Start
or Completion accomplishment)
01
GOVT RD
003
F
3/1/1998
9/1/1999
PS
Phase III (Phased Start-No Start
accomplishment)
d. Other Anomalies
Anomalies are those projects that do not fit the normal definitions of pipeline activities.
Anomalies can be those projects that 1) should not appear on a SCAP planning and
accomplishment report, but still need to be tracked or 2) occur out of the ordinary pipeline
progression. Additionally, projects that are permanently suspended or discontinued should
be assigned a finish date when such determination is made, and use the appropriate
anomaly code to signify the activity's status.
An example of a SCAP anomaly occurs when different entities conduct FS work
simultaneously that leads to a single ROD. Since it is inconsistent to report more FS starts
than finishes (the Agency would have to explain why FS work is not leading to a ROD),
the SCAP planning and accomplishment report should identify only one start and finish for
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OLEM Directive 9200.3-153
one FS. These projects are coded under the same OU with multiple sequence numbers and
those FSs that should not appear in the SCAP report should be assigned a Takeover/Phased
Indicator of 'Other Start and Completion Anomaly (OA).'
In addition, certain codes that had been identified as lead codes under CERCLIS have
become anomaly codes under SEMS. These codes represent activities with unique leads
that are tracked in SEMS but are not included in SCAP accomplishment reports.
With respect to the SR anomaly projects, the Agency recognizes that states can and have
assumed the lead role in reaching an agreement with the PRPs for response activities at
NPL sites without negotiating a cooperative agreement or other formal agreement with
EPA. However, the National Contingency Plan (NCP) has determined that in the absence
of a formal agreement, the state will not be officially recognized as the "lead agency" for
the project and EPA will not concur on the remedy selected.
EXHIBIT IV.5C. OTHER ANOMALIES
Ol
Acli\i(\
Nilim'
So(|
Poll
l.oiid
Acl S(;ir(
Acl ('omp
T;ikoo\or/
Phiisod
Imlii'iilor
( (lllllllOIIIS
01
PRPRI/FS
001
RP
8/1/1997
12/1/1997
OS
Other Start-No Start
accomplishment
01
PRPFS
001
RP
12/1/1997
3/1/1998
OA
Other Anomaly-No Start or
Completion accomplishment
01
Combined
GOVT
RI/FS
001
F
3/1/1998
9/1/1999
OC
Other CompletionNo
Completion accomplishment
01
Combined
GOVT
RI/FS
001
S
3/1/1998
9/1/1999
vc
Voluntary Cleanup; use in
conjunction with S Performance
Lead code
01
Combined
GOVT
RI/FS
001
S
3/1/1998
9/1/1999
SD
State Deferral; use in
conjunction with S Performance
Lead code
01
Combined
GOVT
RI/FS
001
s
3/1/1998
9/1/1999
SN
State-financed (no Fund dollars)
response actions performed by
the state (applies to response
actions); use in conjunction with
S Performance Lead code
01
PRPRI/FS
001
PS
3/1/1998
9/1/1999
SR
PRP response under a state
order/ CD where no EPA
oversight support or money is
provided through a CA and no
other formal agreement exists
between EPA and the state
(applies to response actions); use
in conjunction with PS
Performance Lead code
01
ROD
001
s
3/1/1998
9/1/1999
SW
State ROD without EPA
concurrence; use only with ROD
activity code; use in conjunction
with S Performance Lead code
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e. Mega-Sites
Generally, a site is considered to be a mega-site if the combined extramural, actual and
planned, removal and remedial action costs incurred by Superfund or by PRPs are greater
than $50 million. The mega-site designation may be applied to any federal or non-Federal
Facility NPL or non-NPL site. For the purposes of reporting in SEMS, a site should receive
the mega-site (MS) special interest code if:
the cumulative value of the extramural capital costs of all selected remedies (as
expressed in decision documents such as RODs, ROD amendments, or action
memoranda) exceeds $50 million; OR
the cumulative estimated value of all PRP or Federal Facility actual and expected
extramural capital costs (as memorialized in documents such as settlements,
orders, or Memorandums of Agreement [MO A]) for removal or remedial action
response activities (excluding Long Term Response Action [LTRA]) at the site
exceeds $50 million; OR
the cumulative value of net actual extramural obligations for GOVT-financed
removal and remedial actions (excluding LTRA) at the site exceeds $50 million;
OR
the cumulative estimated value of post-ROD (or post-action memorandum),
removal, and remedial action obligations (excluding LTRA) planned in SEMS for
the selected remedies at the site exceeds $50 million; OR
the cumulative value of any combination of the above costs exceeds $50 million.
A site is defined as a potential mega-site (MP) if the region, using its best judgment, expects
that the total costs of removal and remedial actions will exceed $50 million, but the
documentation of actual or expected costs (e.g., through decision or settlement documents
or actual obligations) does not currently exist. Once such documentation is developed, the
site should be reassigned as MS. Conversely, if new information suggests that the site is
not a mega-site, the MP or MS special interest code should be removed.
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Superfund Program Implementation Manual
FY 18
Chapter V: Site Information
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Chapter V: Site Information
Table of Contents
V.A Introduction V-l
V.B Initiating Program V-l
V C Identification (ID) Numbers V-l
VD Site Name. V-2
VE Site Location/Geospatial Information V-3
VF Alias Name/Location. V-4
VG Federal Facility Status V-5
VH Formerly Used Defense Sites (FUDS) V-5
V.I Preliminary Assessment (PA) Petitions V-6
V.J Site Type Category/Sub-Category V-6
V.K National Priorities List (NPL) Status V-6
VL Non-NPL Status V-8
V.M Tribal Data V-9
V.N Special Interest V-10
V. O Eligible Response Site and No Further Federal Action Designations V-l 1
VP Site Inventory Designations V-l2
V.Q Archive Indicator V-l2
V.R Parent/Child Relationships V-l5
VS Final Assessment Decisions (FAD) V-16
V. T Operable Unit (OU) V-l 7
V.U Site Description V-17
V. V Site Comments V-l 7
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CHAPTER V: SITE INFORMATION
1.1 INTRODUCTION
The Superfund program tracks site information data with the goal of compiling both basic
identifying data that portray the physical location and characteristics of a site, as well as more
detailed data that can be utilized as a progress indicator of where a site falls in the assessment and
cleanup pipeline. This chapter describes the site-level information that is tracked by the Superfund
program and the corresponding data entry requirements in the Superfund Enterprise Management
System (SEMS).
V.B INITIATING PROGRAM
Following notification of a potential site needing federal Superfund program attention, the
site can be added to the SEMS database via the Add Site module. Superfund involvement varies
based on the characteristics of a confirmed or potential release, including urgency of response
needs, involvement of other Federal agencies, and the requirements of the remedial assessment
and removal programs.
The current initiating programs - Federal Facilities, Other Federal Agency, Removal, Site
Assessments, and States will soon be updated as follows. These new initiating programs will define
the path a site will take for assessment and possible cleanup.
Federal Facility Remedial Site Assessment;
Non-Federal Remedial Site Assessment Only;
Non-Federal Removal Only;
Combination of Non-Federal Removal and Non-Federal Remedial Site Assessment.
Upon selection of one of the new an Initiating Programs, the system will generate a
schedule of activities for the site according to a pre-defined template for the selected initiating
program.
As new information becomes available, some sites initiated in one program (e.g., removal)
may require involvement of another program (e.g., remedial site assessment). When this occurs,
SEMS offers flexibility to incorporate activities from multiple programs into the same site
schedule.
V.C IDENTIFICATION (ID) NUMBERS
SEMS tracks several different types of site identification numbers.
Environmental Protection Agency (EPA) ID
The EPA ID Number is a unique 12-digit identifier for a site or facility that is created when
a new site is added to SEMS. Before adding a site to SEMS, regions must research the
SEMS database to ensure the site is not already tracked in SEMS. Users should also refer
to Envirofacts to help determine if the site exists in another EPA cleanup program before
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adding it to SEMS. For new sites, the system automatically generates an EPA ID in the
Add Site Information screen. A user may change the system-generated EPA ID if needed
(i.e., to match the Resource Conservation and Recovery Act [RCRA] ID already used in
RCRAInfo, or the Brownfields ID) only before saving the site. Once the new site is added
and saved, the EPA ID field can no longer be edited.
With the exception of Navajo Nation (NN) sites which span states and EPA regions, the
first two characters of the EPA ID are the standard two-digit state abbreviation of the state
in which the site is located.
In general, except for older sites, the last 7 digits in the EPA ID are the Site ID (see below).
Site ID
The Site ID Number is a distinct seven-digit number assigned by SEMS to a site. The first
two digits represent the region responsible for tracking the site. For example, all Site ID
numbers for sites in Region 1 start with '01'.
RCRAInfo Site ID
Site identification number recorded in RCRAInfo for a site that is tracked in SEMS. This
field is used to track legacy sites where the RCRAInfo site identifier was not used as the
EPA ID. Any new site added to SEMS should use the existing RCRA site identification
number as the EPA ID number if the site already exists in RCRAInfo.
State Site ID
Optional site identification number used to track a site in a state database.
Site/Spill ID (SSID)
A unique alphanumeric identification code assigned to a site or incident by the EPA region
for use in the Financial Management System. A removal site is required to have a Site Spill
ID before planning work. The second digit of the Site Spill ID represents the EPA region
in which the site is tracked. The identifier must be unique and the system ensures that
duplicate Site Spill IDs are not entered. If more than one SSID is assigned to a site, one
must be designated as primary
Parent Site/Child Sites
See section V.R in this chapter for more information on tracking parent and child site
identification numbers.
VI) SITE NAME
The Site Name is the primary name assigned in SEMS to a confirmed or potential
hazardous waste release or an unanticipated removal (incident). If additional site names are
identified, they may be entered as site alias names (see Site Alias section V.F).
For sites that get proposed to the National Priorities List (NPL), EPA confers with the
region before including the site name in the proposed and final rulemaking published in the Federal
Register. The site name published in the Federal Register is tracked as the Federal Register Site
Name in SEMS and is also used to overwrite the primary Site Name. For sites placed on the NPL,
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primary site names can only be changed through a Federal Register update and require approval
by the regional Superfund Division Director. Revised site names for NPL sites are published in a
proposed rule in the Federal Register. If no negative comments are received, Headquarters (HQ)
will process the primary site name change in SEMS.
V.E SITE LOCA TION/GEOSPA TIALINFORMA TION
SEMS requires the entry of general site locational information including: street address,
city, state, zip code, and county. Congressional district is required for sites proposed to the NPL
and sites on the NPL. Site location data is entered using the Add Site module when a new site is
added to SEMS. This information can be updated on the Site Information tab within the Site
Management module in SEMS.
SEMS applies the requirements defined in the National Geospatial Data Policy, August
2005 which established standards for collecting and managing geospatial data used by federal
environmental programs and projects within the jurisdiction of EPA.
The Office of Superfund Remediation and Technology Innovation (OSRTI) has not issued
a final Superfund geospatial data policy to date. In the interim, Regions should add decimal latitude
and longitude values and associated metadata in SEMS for new sites added to the SEMS active
site inventory once a specific location is determined for a site. To the extent practicable, this
requirement extends to sites that have completed Pre-Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) Screening and do not get added to the active site
inventory.
Since locations generally get refined as sites go through the assessment and cleanup
process, site address and geospatial data in SEMS should be updated as necessary following
completion of key phases in the Superfund pipeline. Geospatial data includes latitude and
longitude coordinate values and associated metadata.
Following initial entry of geospatial data for a site, ideal situations to refine site location
data may include:
Remedial Site Assessment - when a Final Assessment Decision (FAD) has been made.
Removal - when a final Pollution Report (POLREP) is completed.
Remedial Cleanup - when a site is proposed to the NPL
Geospatial metadata includes several attributes of latitude and longitude coordinates,
including:
Decimal Degree Latitude: The measure of the angular distance on a meridian north or
south of the equator, in decimal degrees. When entering data, users must include the plus
(+) or minus (-) sign prefix to designate the latitude is North or South of the equator. Except
for certain territories in the Pacific Ocean, all sites in U.S. states and territories are located
within the northern hemisphere and the should use the plus (+) sign.
Decimal Degree Longitude: The measure of the angular distance on a meridian east or
west of the prime meridian, in decimal degrees. When entering data, users must include
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the plus (+) or minus (-) sign prefix to designate that the longitude is East or West of the
Prime Meridian. Except for certain territories in the Pacific Ocean, all sites in U.S. states
and territories are located within the western hemisphere and should use the minus (-) sign.
Collection Date: The date that a point latitude/longitude measurement is collected.
Source: The party responsible for providing the latitude/longitude coordinates.
Collection Method: The method used to obtain latitude/longitude coordinates e.g. Global
Positioning System device, census block centroid etc.
Verification Method: The process in which a latitude/longitude measurement has been
verified by EPA staff, grantees or contractors.
Accuracy Meters: The range (+/-) of accuracy in meters
Accuracy Measure Unit: The unit of measure applicable to the relative accuracy of the
latitude/longitude coordinates.
Reference Datum: A code identifying the reference datum of a latitude and longitude.
Reference Point: A description of the location where geographic coordinates were taken,
e.g., entrance to a facility, center of a facility, etc.
Geometry Type (Point/Line/Area): The geometric entity represented by one point or
sequence of latitude and longitude points.
Source Map Scale: A number that represents the proportional distance on the ground for
one unit of measure on the map or photo.
Accuracy Unknown: The indicator that represents whether some method of accuracy
information is still unknown or unavailable.
Comments: The text that provides additional information about the geographic
coordinates.
Additional Latitude/Longitude Coordinate Attributes
Multiple latitude/longitude coordinates may get tracked at a site. Additional attributes are
available in SEMS to differentiate coordinate records, including:
Primary Flag - indicates the primary latitude and longitude coordinates for the site. This
flag identifies the latitude and longitude that will be used for reporting purposes. If no
coordinate records at a site have the Primary Flag, SEMS will use the most recent set of
non-sensitive coordinates for public reporting.
Non-Releasable Flag - indicates the set of latitude and longitude coordinates should be
treated as sensitive or confidential and withheld from public disclosure.
NPL Coordinate Flag identifies coordinates that were documented in the Federal
Register in a proposed or final NPL rule.
V.F ALIAS NAME/LOCATION
Site aliases are alternate names or addresses associated with a site. When the name of an
existing site is changed, the new name is entered as the Site Name in SEMS. The former name
should generally be added as an Alias site name to enable concordance with historical documents.
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For NPL site name changes, OSRTI will add the former site name as an Alias site name in
SEMS. Regions are responsible for adding all other Alias site names and locations as necessary.
V G FEDERAL FACILITYSTATUS
The distinction between Federal Facility (FF) sites and non-Federal Facility sites is an
important one in tracking Superfund sites. The Federal Facility Status field in SEMS identifies
whether or not a site is a federal (U.S. government) facility. The valid status values include:
Federal Facility: The site is federally owned or subject to the jurisdiction, custody, or
control of a department, agency, or instrumentality of the United States, except for land
held in trust by the United States for an Indian tribe.
Not a Federal Facility: The site is not federally owned nor subject to the jurisdiction,
custody, or control of a department, agency, or instrumentality of the United States.
Includes sites on land held in trust by the United States for an Indian tribe.
Undetermined. Not enough information available to make a determination of Federal
Facility status. EPA regions should update this status as soon as a determination can be
made.
NPL sites that are not Federal Facilities are included in "Table 1 - General Superfund
Section" within Appendix B to Part 300 of the NCP. NPL sites that are Federal Facilities are
included in "Table 2 - Federal Facilities Section". These NCP tables are updated based on NPL
rule-making procedures implemented by EPA. Once a site is added to one of these tables, the
Federal Facility Status indicator in SEMS should not be changed unless and until a change is
effected in the NCP tables via an NPL rule-making procedure.
V.H FORMERL Y USED DEFENSE SITES (FUDS)
The Department of Defense's (DoD) Formerly Used Defense Sites (FUDS) program cleans up
environmental contamination at properties which were under the jurisdiction of the Secretary of
Defense, Secretaries of the Military Departments, or Secretaries of any predecessor departments
or agencies of DoD and were owned by, leased to, or otherwise possessed at the time of actions
leading to contamination by hazardous substances but were transferred from DoD control prior to
October 17, 1986.
FUDS are Federal Facilities identified in the SEMS via the 'Formerly Used Defense Site'
checkbox on the Edit Site Information Screen. Once a site is designated as a FUDS site, additional
information should be entered on the Edit Site Information>FUDS Tracking tab. The FUDS
Tracking tab includes screens for entering FUDS Details, United States Army Corps of Engineers
(USACE) Project(s), and FUDS Aliases. This data should be entered during the Site Initiation
process, or whenever this information first becomes available. Sites with the FUDS designation
should generally be assigned a Federal Facility Status value of 'Federal Facility'.
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V.I PRELIMINARY ASSESSMENT (PA) PETITIONS
EPA may be notified of a potential site through various mechanisms including receipt of a
Preliminary Assessment Petition (also known as a Citizens Petition). In the past, EPA responded
to public requests to investigate suspected hazardous waste sites, however Congress formalized
this process through CERCLA section 105(d), which provides the public an opportunity to notify
EPA of a potential release by submitting a Preliminary Assessment Petition. For non-federal sites,
PA petitions should be addressed by the EPA Regional Administrator for the region in which the
release is located. For petitions involving Federal Facilities, the head of the appropriate federal
agency is responsible for addressing the petition.
V.J SITE TYPE CA TEGORY/SUB-CA TEGORY
Site Type Category and Site Type Sub-Category data are assigned in SEMS at the time of
site initiation and are used to identify and track the type of operations conducted at the site over
its history. Multiple main site type categories and associated subcategories can be selected for
sites. Users are required to enter at least one main site type and at least one site type subcategory
when adding a site. If multiple main categories and subcategories are selected, one
category/subcategory combination must be identified as the primary.
The main Site Type category selected should best describe the main operation that is taking
place, or has taken place at the site and was a major contributor of the hazardous substance
release(s) that caused the site to be considered for CERCLA removal or remedial assessment.
New Site Type Categories and Sub-Categories
No new Site Type categories or sub-categories have been added since the publication of the FY17
SPIM.
V.K NA TIONAL PRIORITIES LIST (NPL) STA TUS
The NPL Status field in SEMS tracks the current status of a site with respect to listing the
site on the NPL.
The NPL is a list of national priorities among the known or threatened releases of hazardous
substances, pollutants, or contaminants throughout the United States and trust territories. There are
three mechanisms for placing sites on the NPL for possible remedial action:
A site may be included on the NPL if it scores sufficiently high on the Hazard Ranking
System (HRS). The HRS serves as a screening device to evaluate the relative threat that
uncontrolled hazardous substances pose to human health or the environment. As a matter
of agency policy, those sites that score 28.5 or greater on the HRS are eligible for the NPL.
Each state may designate a single site as its top priority to be listed on the NPL, regardless
of the HRS score.
Certain sites may be listed regardless of their HRS score, if all of the following conditions
are met:
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The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S.
Public Health Service has issued a health advisory that recommends dissociation of
individuals from the release; and
EPA determines that the release poses a significant threat to public health; and
EPA anticipates that it will be more cost-effective to use its remedial authority than
to use its removal authority to respond to the release.
SEMS includes a drop-down list of NPL Status values to select. When a site is added to
the active inventory, the default NPL status value is 'Not on the NPL'. Regions can change the
status for sites that have not been proposed or placed on the NPL. HQ is responsible for updating
the NPL Status value beginning when a site is proposed to the NPL.
Proposed NPL Listing
The process of proposing a site for placement on the NPL is complete when a Proposed
Rule proposing the site to the NPL is published in the Federal Register. Sites proposed to
the NPL are assigned an NPL Status value of 'Proposed for NPL', database code = P.
Removal of Proposed NPL Listing
The process of removing a previous proposal to list a site on the NPL begins and
simultaneously ends when a notice announcing the removal of the site from NPL proposal
is published in the Federal Register (typically published in a regularly scheduled NPL
proposed rule). The removal of a previous proposal to list a site may be based on criteria
outlined in the Guidelines for Withdrawing a Proposal to List a Site on the NPL
(11/12/2002) or may be based on documented deferral or referral to another cleanup
authority. SPIM section VI.A.9 contains a description of cleanup alternatives. Sites
removed from proposal to the NPL are assigned an NPL Status value of 'Removed from
List of Proposed NPL Sites', database code = R.
Final NPL Listing
The listing process for a site is complete when a Final Rule adding the site to the NPL is
published in the Federal Register. Sites placed on the NPL are assigned an NPL Status
value of 'Currently on Final NPL', database code = F.
Withdrawn from the Final NPL
The process of withdrawing a site is complete when a Final Rule withdrawing the site is
published in the Federal Register. Sites withdrawn from the NPL are assigned an NPL
Status value of 'Withdrawn from NPL', database code = W.
Deleted from the Final NPL
The process of deleting a site from the NPL begins when a Notice of Intent to Delete
(NOID) is published in the Federal Register, and is completed when, after completion of
a public comment period, a Notice of Deletion is published. If the Direct Final Deletion
process is used, the Notice of Intent to Delete and Deletion notice are published in the
Federal Register at the same time. Sites deleted from the NPL are assigned an NPL Status
value of 'Deleted from NPL', database code = D. The date of the NPL deletion or partial
deletion in SEMS is the effective date of deletion/partial deletion published in the Notice
of Deletion/Notice of Partial Deletion in the Federal Register.
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HQ will update the following NPL Rule data when Proposed and/or Final NPL rules are
published in the Federal Register;
Rule type - NPL rule types include Proposal to NPL, Removed from Proposed NPL, Final
Listing on NPL, Withdrawn from the NPL, Notice of Intent to Delete, Notice of Intent to
Partially Delete, Partial Deletion and Deletion from NPL
Federal Register Citation - FR volume and page number in the following format '###-FR-
PPPPPPP
FR Publication date
Effective Date
indicate if it the Direct Final Deletion process was utilized (for Notices of Intent to Delete
and Intent to Partially Delete)
In addition, for each site listed in the published rule, HQ will review and update (if needed)
the following data:
Site Name;
Federal Register Site Name (for historical record keeping purposes should the SEMS site
name change);
HRS Score
Federal Docket Management System (FDMS) number, if not already assigned;
The following additional data will be updated by the system when a site is Proposed to the
NPL
The FAD Date will be added to the site and any associated child sites using the date of
NPL proposal (this automatically checks the FAD box);
The Eligible Response Site (ERS) Exclusion will be unchecked at the site and any
associated child sites;
The Non-NPL Status and date fields will be deleted;
The NPL and Non-NPL statuses for any child sites of the updated site will be updated to
reflect that Site is addressed as part of an NPL Site, and the Non-NPL status will be deleted.
The Federal Facility status.
NOTE: Further information on Deletion and Partial Deletion from the NPL can be found
in chapter VIII of this Manual. NPL Listing is a program measure.
V.L NON-NPL STATUS
The Non-NPL Status is a workload indicator in SEMS used to track summary level
progress on non-NPL sites. Every site that is not proposed to, currently on, or deleted from the
NPL is assigned a Non-NPL Status.
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When a site is added to the SEMS active inventory, the Non-NPL Status should generally
be based on the initiating program as follows:
Initiating Program
Federal Facility Remedial Site Assessment
Non-Federal Remedial Site Assessment Only
Non-Federal Removal Only
Combination of Non-Federal Removal and
Non-Federal Remedial Site Assessment
The Non-NPL Status field in SEMS displays the current Non-NPL Status for the site. User
may select from the drop down to enter or change the Non-NPL status of the site. The available
Non-NPL status values will be limited based on the NPL Status of the site. Regions should update
the Non-NPL Status field in SEMS as soon as possible following entry of a site assessment action
start and/or finish date. After completing a Site Assessment Decision form, the system will prompt
the user to review and update the Non-NPL status as necessary.
Reporting non-NPL site status information allows EPA to clearly identify the progress a
site has made in the Site Assessment Pipeline at any given time. For a list of Non-NPL Status
values and more information about entering non-NPL status values in SEMS, refer to the Reporting
Non-NPL Status Quick Reference Guide (QRG) and the Understanding NPL and Non-NPL Status
Code Relationships QRG.
Status Not Specified (SX) is one of the codes available for selection as a Non-NPL Status
value. Regions may select this code only if no other available Non-NPL Status value is appropriate.
If selected, the region should notify the EPA HQ Site Assessment Data Sponsor to determine
whether a new Non-NPL Status value needs to be created. Regions should review sites with an SX
value at a minimum on a semi-annual basis (prior to mid-year review and end-of-year assessment)
and update this value as appropriate.
The Non-NPL Status is also tracked at sites completing the Pre-CERCLA Screening (PCS)
process and not added to the active inventory. Non-NPL Status values specific to the PCS process
are available for selection in SEMS.
Whenever users change the Non-NPL status after its initial entry, they are prompted to
enter a Non-NPL Status Change Reason. The system requires the user to enter this before saving
the updated status. Changes to the non-NPL status should be communicated to appropriate state
staff and to tribes with a known interest in the site in a timely manner.
Non-NPL Status Date - this field is automatically populated by the system 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 decision was made at the site.
V.M TRIBAL DATA
SEMS tracks several key data points related to work on sites that impact Native American entities.
Non-NPL Status
FF PA Review Start Needed
PA Start Needed
Removal Only
PA Start Needed
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Navajo Nation Indicator
Sites that are on land under the governance of the Navajo Nation are managed by Region
9, regardless of the State in which it is located (which may be Region 6, Region 8 or
Region 9). The Navajo Nation indicator is only available on the Add Site screen for
Region 9 and should be marked when adding the site to SEMS
Native American Interest
The Native American Interest checkbox is available on the Add Site Information screen
and Site Status and Indicators box on the Edit Site Information screen. The Native
American Interest checkbox should be selected for sites which may be of interest to one or
more Native American entities whose members or land are directly affected by the release.
If the Native American Interest checkbox is marked, users are required to associate at least
one American Indian tribe or Alaskan native entity.
Associating Site to an American Indian Tribe/Alaskan Native Etitv
The Select/Associate Tribe screen in SEMS is used to identify the specific Indian entity
(e.g., American Indian tribe or Alaskan native corporation) associated with the site. Users
can associate one or more Indian entities to a site. The tribes available for selection
represent the official list of federally recognized tribes as defined in the Tribal Identifier
Data Standard. The list will only allow selection of tribes associated with the state where
the site is located.
On Tribal Property
The On Tribal Property field is used to indicate whether the release of hazardous materials
is on Indian country and any other land owned by the selected American Indian tribe or an
Alaskan native entity.
Associating an Indian entity to a site may be done at any point in the pipeline. Users may
associate an Indian entity to a site when the site is first added to SEMS, when an activity
occurs at the site where the Indian entity is the lead or signs an agreement, or at any other
time that an Indian entity shows interest in the activities at the site. Sites with an associated
federally recognized tribe are subject to applicable tribal consultation requirements.
V.N SPECIAL INTEREST
The Special Interest (previously called Special Initiative) field in SEMS is used to track
HQ or regional special priorities, interests or program initiatives with which a Superfund site may
be associated. Users may add one or more special interest codes at any time to a site using the
Special Interest(s) box on the Site Information Tab. The following new Special Interest categories
have been added since the publication of the FY17 SPIM:
M, MP, MMP, TBD Universe = Monitored inventory of potential or confirmed hardrock
mining (M), mineral processing (MP), or mining and mineral processing (MMP) facilities
M, MP, MMP Cat 1 = Site fluid hazard category 1
M, MP, MMP Cat 2 = Site fluid hazard category 2
M, MP, MMP Cat 3 = Site fluid hazard category 3
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M, MP, MMP TBD = Candidate for monitored inventory of hardrock mining, mineral
processing, or mining and mineral processing facilities
These Special Interest selection can only be assigned by HQ personnel.
V O ELIGIBLE RESPONSE SITE AND NO FURTHER FEDERAL
ACTION DESIGNA TIONS
SEMS includes indicators to track ERS exclusion and No Further Federal Action (NFFA)
decisions.
ERS Exclusion Decision
The ERS Exclusion indicator in SEMS is used to indicate if the region has made an ERS
exclusion decision at the site.
Under CERCLA section 101(41) (C), EPA may exclude sites from the Brownfields eligible
response universe if EPA conducts or has conducted a PA or Site Inspection (SI) and, after
consultation with the state, determines or has determined that the site obtains a preliminary
score sufficient for possible listing on the NPL or otherwise qualifies for listing on the
NPL.
NOTE: This checkbox may not be selected if the site NFFA checkbox has been selected.
Since NPL sites are excluded from the definition of Eligible Response Sites, HQ will
uncheck the ERS Exclusion checkbox when updating SEMS for sites that get proposed to
the NPL.
NPL sites, Federal Facility sites, and sites with planned or ongoing removals are excluded
from the definition of ERS sites. For more information regarding making an ERS exclusion
at a site, please refer to the Regional Determinations Regarding Which Sites are Not
"Eligible Response Sites" under CERCLA Section 101(41)(C)(i), as Added By the Small
Business Liability Relief and Brownfields Revitalization Act, OSWER 9230.0-107, March
2003.
ERS Exclusion Date - this date is system generated with the current date when the checkbox
is checked. This field is editable and should reflect the date the site was excluded.
No Further Federal Action (NFFA)
The NFFA indicator in SEMS only applies to sites that have been assigned an ERS
exclusion decision and denotes that the site requires No Further Federal Action. CERCLA
section 101(41 )(C)(i) authorizes EPA to make a site which was previously excluded as an
ERS, because it had obtained a preliminary score sufficient for possible listing, an ERS
again when EPA determines NFFA. The NFFA determination can be made at ERS
excluded sites that have subsequently been deferred or referred to another cleanup authority
and EPA determines the site requires No Further Federal Action under the federal
Superfund program based on discussions with the other cleanup authority. NOTE:
Proposed and Final NPL sites are not eligible to receive the NFFA designation. In addition,
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if a site has any planned or ongoing enforcement, cost recovery or removal activities, the
user will not be allowed to make an NFFA determination.
SEMS will not allow the NFFA indicator to be selected if the ERS Exclusion indicator is
currently selected at a site.
For more information regarding NFFA decisions, please refer to the Regional
Determinations Regarding Which Sites are Not "Eligible Response Sites" under CERCLA
Section 101(41)(C)(i), as Added By the Small Business Liability Relief and Brownfields
Revitalization Act, OSWER 9230.0-107, March 2003.
NFFA Date - this date is system generated with the current date when the checkbox is
checked. This field is editable and should reflect the date of the determination that no
further federal action would be taken at the site.
VP SITE INVENTORY DESIGNATIONS
SEMS divides sites into three main inventories: Non-Site, Active and Archive. Inclusion
of a specific site or area in SEMS does not by itself represent a determination of any party's liability
nor does it represent a finding that any response action is necessary. Users may filter the Site List
in SEMS Site Information module by Active Inventory (Active) and Archive Inventory
(Archived).
Non-Site Inventory
Sites that are pre-screened prior to entry into the Active site inventory and determined not
to require further Superfund remedial assessment are tracked in the SEMS Non-Site site
inventory. Minimal information is tracked on these sites to account for the pre-screening
work and for future reference should a screened site be resubmitted to the federal Superfund
program. The Non-Site inventory may also be used to track other non-site specific
information.
Active Inventory
The Active site inventory consists of sites placed on the NPL, and sites not on the NPL
where site assessment, removal, remedial, enforcement, cost recovery, or oversight
activities are planned or are being monitored or conducted.
Archive Inventory
The Archive site inventory consists of non-NPL sites that were formerly in the Active site
inventory which have no further site assessment, removal, remedial, enforcement, cost
recovery or oversight needed under the federal Superfund program based on available
information.
VQ ARCHIVE INDICATOR
The Archive Indicator field in SEMS is used as a filter on Superfund reports and data sets
to delineate whether a site is still in, or has been removed from, the SEMS Active Site inventory.
The Archive designation represents a sitewide decision that no further interest exists at the site
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under the federal Superfund program based on available information. It is a comprehensive
decision indicating there are no further Superfund site assessment, remedial, removal,
enforcement, cost recovery, or oversight activities being planned or conducted at the site. Regions
may perform re-evaluation work at a site while it is archived if site conditions change and/or new
information becomes available. Sites re-evaluated and determined to need substantial site
characterization and/or cleanup work under the federal Superfund program must be returned to the
SEMS active inventory. Regions may also record general enforcement related activities (e.g.
issuance of comfort letter or prospective purchaser agreements) at archived sites.
For more information about archiving sites in SEMS, refer to the SEMS Archived Sites
QRG.
When an archive decision is made, a note must be prepared and placed in the site file
explaining that no further federal Superfund interest exists at the site based on available
information. Since archiving is a comprehensive decision, the note must represent the interests of
the appropriate regional business units (e.g., site assessment, removal, etc.), including the regional
RCRA program for archive designations based on site deferral to RCRA. Regions should also
consult with state and/or tribal partners prior to making an archive designation to ensure any issues
related to archiving are considered and handled appropriately. The date of the note is the Archive
Date and entering this date automatically generates the Archive Indicator in SEMS.
Although the underlying basis for archiving a SEMS site is whether or not federal
Superfund interest exists, several categories of sites are used to generate lists of potential archive
candidate sites. Based on review of sites in these categories, regions should update the Archive
IND and Archive Date field as appropriate in a timely fashion. These categories are:
Sites that have completed only the site assessment process and have been given either a No
Further Remedial Action Planned (NFRAP) or Deferred decision at the conclusion of the
last completed site assessment action, and no other federal Superfund activity is
anticipated;
Sites that have completed both the removal and site assessment process, or have completed
the removal process and require no site assessment work (removal-only sites), and which
have completed all related oversight, cost recovery/other enforcement work, and have no
further federal Superfund activity anticipated;
Sites that have successfully completed state deferral as described in the Guidance on
Deferral of NPL Listing Determinations While States Oversee Response Actions, OSWER
9375.6-11, May 1995 and no further federal Superfund activity is anticipated;
Sites removed from the proposed NPL or final NPL (e.g., as a result of a lawsuit) that have
no further federal Superfund activity anticipated;
Child sites addressed as part of a parent non-NPL site that has been properly archived;
Sites that have been entered into the SEMS inventory via entry of a Remedial Site
Assessment Initiation and/or Removal site initiation date which have not had any work
started and, based on review, do not warrant any type of additional Superfund activity. An
abbreviated PA should be completed for these sites prior to designating archive status;
Non-NPL sites referred to another cleanup authority that have no further federal Superfund
activity anticipated based on discussions with the other cleanup authority;
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Other sites with no further federal Superfund interest based on currently available
information, including low priority NPL eligible sites where a state or tribal cleanup
program exists and the state or tribe agrees NPL listing is not warranted based on available
information.
Sites assigned a No Further Federal Action (NFFA) designation as described in SPIM
section V.O above.
As appropriate, sites can be returned to the SEMS inventory by unchecking the Archive
indicator. The Archive date will automatically be deleted. A note explaining why the site was
returned to the SEMS inventory must be prepared and placed in the site file.
Planning dates for archiving sites are not available. It is important to note that an archive
decision is not the same as a NFRAP decision. A NFRAP decision is recorded as a Qualifier, is
made only at the conclusion of a site assessment activity, and does not take into account any other
Superfund programmatic activity that may be going on at a site such as removals or cost recovery.
Archived site is a program measure for both non-Federal and Federal Facilities.
The SEMS application will prevent adding certain assessment, removal, remedial, and
enforcement activities at archived sites. The SEMS-Archive Quick Reference Guide lists the
prohibited actions. Prohibited actions can be added to a site by either: 1) returning the site to SEMS
(e.g., substantial site characterization and/or cleanup is needed); or 2) requesting a database
revision through HQ (e.g., entry of historical data). The restriction will not prevent users from
entering activity-related data such as start/finish dates, leads, qualifiers, etc., at existing activities.
A site cannot be archived if there are any planned or ongoing archive prohibited actions at
the site. For a list of archive prohibited actions, refer to the SEMS Archived Sites QRG. SEMS will
also prevent the archival of NPL sites (Proposed, Final, and Deleted).
Indicating that a site has been archived will result in a pop-up message asking the user if
they would like to make a NFFA determination at this time. If the user selects yes, the NFFA flag
will be populated and an NFFA date will be system generated.
Archive designations should be made in a timely fashion to accurately portray the status of
sites to all users of Superfund program information. The site assessment program area within the
SEMS reports module contains reports to help EPA regions maintain the integrity of archived data.
The SA-002 Report contains options to look at a Potential Archive Site Inventory which lists sites
that may be eligible for archival. In addition, it will provide an option to view an Archived-To-Be-
Reviewed Site Inventory which lists sites that may warrant data corrections/updates or return to
the active SEMS site inventory.
Multiple Archive Site/Site Unarchived actions may be created at a site if the archive
indicator is added, deleted, and then added again. A pending SEMS change request is in place
create a new Archive Site or Site Unarchived action on the schedule each-time the archive indicator
is added/deleted at a site.
The archive status of a child site should match the archive status of its parent site.
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Archive Date - this date is system generated with the current date when the Archive
Indicator is updated. This field is editable and should reflect the date the site was last archived or
unar chived.
V.R PARENT/CHILD RELATIONSHIPS
Parent/child relationships are established between sites when one site in SEMS is addressed
as part of another site.
Upon completion of site assessment activities, such as PAs, Sis, Expanded Site Inspections
(ESIs), or ESI/RIs, the region may decide that a site is best addressed as part of an existing NPL
site. This would be done when contamination at a non-NPL site is being addressed by cleanup
actions at an existing NPL site. This most frequently occurs at Federal Facilities and sites with an
area-wide groundwater contamination problem resulting from multiple sources. In this situation,
the NPL site is considered the 'parent' and the non-NPL site is referred to as the 'child'. The
decision to address a site as part of an existing NPL site requires the following information in
SEMS:
Upon completion of the site assessment activity that led to the decision to combine the two
sites, the region should enter a qualifier of 'Addressed as part an existing NPL site' (A) at
the child site;
The region should either: select the parent site on the Site Information page for the child
site, or select the child site on the Site Spill ID/Alias/Child Site tab in Site Information for
the Parent site; and
The NPL Status for the child site must be changed to 'Site is part of NPL Site' (A).
After a site is collapsed into the parent site, no further response work should be recorded
at the child site. Instead, any further response work performed at that site should be recorded under
the existing parent NPL site, possibly as a separate operable unit.
Upon completion of a site assessment activity, it is also possible for the region to decide
that a site is best addressed as part of another existing non-NPL site. The decision to combine
multiple non-NPL sites requires the following information in SEMS:
Upon completion of the site assessment activity that led to the decision to combine the two
sites, the region should enter a qualifier of 'Addressed as part of another non-NPL site' (B)
at the child site;
The region should either: select the parent site on the Site Information page for the child
site, or select the child site on the Site Spill ID/Alias/Child Site tab in Site Information for
the Parent site; and
The Non-NPL Status for the child site must be changed to 'Addressed as part of another
non-NPL site' (B).
After a site is collapsed into the parent site, no further actions should be recorded at the
child site. Instead, any further assessment or response work performed at that site should be
recorded under the existing parent site.
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If the Parent site is an NPL site (the NPL Status code is Proposed, Final, Deleted, Removed,
or Withdrawn) the potential children sites must have an NPL Status of Pre-proposed, Not on the
NPL, or Site is Part of NPL site.
If the Parent is a Non-NPL site (NPL Status is Not on the NPL or Pre-Proposed), then the
potential child sites will have an NPL Status of Not on the NPL or Addressed as part of another
non-NPL Site.
V.S FINAL ASSESSMENT DECISIONS (FAD)
The FAD field in SEMS is used as an indicator to measure progress towards completing
remedial site assessment work at sites entered into SEMS. A FAD indicates remedial site
assessment work is complete under the federal Superfund program based on available information.
Regions should assign a FAD designation to a site entered into SEMS with a discovery activity
and date if any of the following conditions are met:
The site or its parent site has been proposed to or placed on the NPL;
The site has been removed from proposal to the NPL and no further remedial assessment
is needed;
The decision made at the last completed remedial assessment at the site is either:
NFRAP;
Referred to Removal-NFRAP;
Deferred to RCRA or Nuclear Regulatory Commission (NRC); or
Addressed as part of an NPL or non-NPL site
The site is being remediated under a formal state deferral agreement;
The site is being remediated using a Superfund Alternative Agreement;
OCA sites where no further site assessment work is anticipated beyond reviewing cleanup
or closeout reports and related information (see section VI.A.8.i for more information on
OCAs);
The site has been properly archived from the active SEMS site inventory.
EPA regions are responsible for maintaining FAD designations in SEMS. FAD status is
captured in SEMS by selecting the Final Assessment Decision check box on the Site Information
tab, Site Status and Indicator(s) section of the Edit Site Information module (Edit Site Detail(s)).
Once the FAD box is checked, SEMS automatically populates the related Final Assessment
Decision Date field with the current calendar date. Regions can accept or edit this date before
saving the information in SEMS. The FAD date should match the calendar date when the FAD
decision was made. Backdating the FAD date is appropriate when data entry lags occur, even if
the lag spans across FYs (e.g., sites where the FAD decision was made in a previous FY, but the
FAD box was inadvertently left unchecked). When a site is proposed to the NPL, HQ associates
the site to the Proposed to the NPL rule and the FAD checkbox is updated automatically.
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.
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V T OPERABLE UNIT (OU)
An operable unit is used to identify a portion of a Superfund site with which actions are
associated. A typical operable unit would be removal of drums and tanks from the surface of a site.
It is used for site/project and incident planning and tracking.
Sites should generally be remediated in operable units when early actions are necessary or
appropriate to achieve significant risk reduction quickly; when phased analysis and response is
necessary or appropriate given the size or complexity of the site; or to expedite the completion of
total site cleanup. Operable Units (OUs) are used to break up the site into more manageable parts
to perform cleanup.
Operable unit '00' is generally used to track sitewide activities such as remedial site
assessment and sitewide removal activities as well as some enforcement activities (e.g., Potentially
Responsible Party (PRP) Search, Liens, etc.). Operable Units can be added to SEMS directly on
the Site Schedule by right clicking on the Schedule and selecting Add Operable Unit. A list of all
operable units for a site are available in the Edit Site Information, Operable Unit(s) tab.
The use of '00' in the OU field is also used by default for non-site-specific financial
transactions. Regions (and HQ) additionally have the option to use other OU values, in the Non-
site Obligations Planning screen in SEMS to further differentiate non-site-specific activities,
including using this field to designate individual state recipients of non-site-specific funds. If funds
originally obligated non-site-specifically are redistributed as site-specific expenditures, the
expenditures must be redistributed to the correct OU in addition to the codes that must be adjusted
(Site/Spill Identification Code [SSID], activity code, OU in the project field; cost org
field/financial activity sequence number).
VU SITE DESCRIPTION
The Site Description field in SEMS is used to describe a site or incident such as history of
the land use, state of operations of the facility, etc. The Site Description is made available to the
public and therefore should not contain Personally Identifiable Information (PII).
V.V SITE COMMENTS
Site comments are notes about the site generally made by a SEMS user to clarify action at
the site or to communicate important information related to site work. SEMS tracks the user who
entered the comment and the date.
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Superfund Program Implementation Manual
FY 18
Chapter VI: Remedial Site Assessment
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CHAPTER VT: Remedial Site Assessment
Table of Contents
VIA Introduction VI-1
VI.A. 1 Remedial Site Assessment Priorities VI-2
VI.A.2 Remedial Site Assessment Backlogs VI-3
VI.A.3 Overview of Remedial Site Assessment Targets and Measures VI-3
VI.A.4 Data Quality and Data Entry Timeliness Requirement VI-7
a. Data Quality VI-7
b. Data Entry Timeliness Requirement. VI-7
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities VI-7
a. No Further Remedial Action Planned (NFRAP) VI-8
b. Higher Priority /Lower Priority VI-8
c. Refer to Removal VI-8
d. Site Addressed as Part of Another NPL or Non-NPL site VI-9
e. Referred From RCRA VI-9
f. Assessment Complete - Decision Needed VI-9
VI.A.6 Remedial Site Assessment Critical Indicators VI-11
VI.A.7 Coordination with State and Tribal Partners at Non-Federal Sites VI-11
VI.A.8 Remedial Site Assessment Activities VI-12
a. Pre-CERCLA Screening (PCS) VI-12
b. Remedial Site Initiation (Discovery) VI-15
c. Preliminary Assessments (PA) at Non-Federal Sites VI-16
d. Site Inspections (SI) at Non-Federal Sites VI-19
e. Site Reassessments at Non-Federal Sites VI-20
f. Expanded Site Inspections (ESI) at Non-Federal Sites VI-22
g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites VI-24
h. Hazard Ranking System (HRS) Packages VI-25
i. Other Cleanup Activity (OCA) VI-27
j. Formal State Deferral VI-30
k. NPL Listing Activities VI-32
VI.A.9 Cleanup Alternatives VI-34
a. Referral to EPA Removal VI-34
b. Deferral to RCRA VI-35
c. Deferral to Nuclear Regulatory Commission (NRC) VI-35
d. Other Cleanup Activity VI-35
e. Formal State Deferral VI-36
f. Superfund Alternative Approach (SAA) VI-37
g. NPL Listing VI-38
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OLEM Directive 9200.3-153
List of Exhibits
Exhibit VI. 1. Superfund Remedial Site Assessment Process VI-2
Exhibit VI.2. Remedial Site Assessment Activities VI-6
Exhibit VI.3. Remedial Site Assessment Activity Qualifiers VI-10
Exhibit VI.4. Pre-CERCLA Screening Requirements VI-14
Exhibit VI.5. Remedial Site Initiation (Discovery) Requirements VI-15
Exhibit VI.6. Preliminary Assessment Requirements VI-17
Exhibit VI.7. Site Inspection Requirements VI-19
Exhibit VI. 8. Site Reassesment Requirements VI-21
Exhibit VI.9. Expanded Site Inspection Requirements VI-23
Exhibit VI. 10. ESI/RI Requirements VI-24
Exhibit VI. 11. HRS Package Requirements VI-26
Exhibit VI. 12. Other Cleanup Activity Requirements VI-29
Exhibit VI. 13. State Deferral Requirements VI-31
Exhibit VI. 14. NPL Listing Requirements VI-33
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CHAPTER VI: REMEDIAL SITE ASSESSMENT
VT.A INTRODUCTION
The Superfund remedial site assessment (aka remedial site evaluation) process evaluates
sites to determine and implement the appropriate responses to releases of hazardous substances to
the environment. During the site assessment process, Environmental Protection Agency (EPA),
states, tribes or other federal agencies collect data to identify, evaluate, and rank hazardous waste
sites based on Hazard Ranking System (HRS) criteria. The HRS is a numerically based screening
system that uses information from initial, limited investigations to assess the relative potential of
sites to pose a threat to human health or the environment. It is the principal mechanism EPA uses
to place uncontrolled waste sites on the National Priorities List (NPL). Sites with HRS scores of
28.5 or greater are eligible for placement on the NPL. Non-federal sites on the NPL are eligible
for Superfund-financed remedial actions.
Superfund site assessment staff may be notified of a potential site through various
mechanisms, including receipt of a citizen's petition, referrals from EPA's removal and Resource
Conservation and Recovery Act (RCRA) programs, and referrals or notifications from states, tribes
and other federal agencies. Following notification, a non-federal site undergoes a minimal
screening process to determine whether the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA) remedial site assessment process is appropriate. This
process is referred to as Pre-CERCLA screening. Once a potentially hazardous site is identified as
appropriate for the remedial site assessment process, it is assigned a remedial site initiation
(discovery) date and is added to the Superfund Enterprise Management System (SEMS) Active
site inventory. Using criteria established under the HRS, EPA and/or its state and tribal partners,
or another federal agency, conducts a remedial Preliminary Assessment and if warranted, a
remedial Site Inspection or other more in-depth remedial assessment to determine whether the site
warrants short- or long-term cleanup attention.
Federal sites are generally submitted through the Federal Facilities Hazardous Waste
Compliance Docket and do not go through the Pre-CERCLA screening process. Federal Facilities
site assessment is generally performed by Federal Agencies (E.O. 12580) and reviewed by EPA
in accordance with the HRS criteria. EPA's responsibilities during the remedial assessment process
at Federal Facilities are further discussed in chapter IX, titled Federal Facility Program, of the
Superfund Program Implementation Manual (SPIM).
During the remedial site assessment process, the HRS model may be applied to derive a
preliminary site HRS score. Sites with preliminary HRS scores below 28.5 generally require no
further Superfund remedial interest and are assigned a NFRAP decision. The NFRAP decision can
also be made at sites with preliminary HRS scores of 28.5 or higher if EPA believes the site would
receive a No Action Record of Decision (ROD) if it was placed on the NPL.
Sites that do warrant further removal- or remedial-type study are referred to appropriate
cleanup programs for further work. These cleanup programs include: EPA removal; RCRA;
Nuclear Regulatory Commission (NRC); state, tribal, municipal or other federal cleanup programs;
the Superfund Alternative Approach (SAA); and the National Priorities List.
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OLEM Directive 9200.3-153
EXHIBIT VI. 1. SUPERFUND REMEDIAL SITE ASSESSMENT PROCESS
Site Assessment Process Under CERCLA
Pre-CERCLA
Screening
Discovery/Add
to Active Site
Inventory
Refer to Removal Program as necessary
,
Sites that do not pass Pre-CERCLA Screening are tracked in
the SEMS Non-site inventory as "Not a Valid Site or Incident"
NFRAP
Deferred to RCRA
Deferred to Nuclear
Regulatory Commission
State Cleanup
Programs
Superfund Alternative
Approach
Preliminary
Assessment
(PA)
Removal Action
Site Inspection (SI)"1
HRS Package
Placement on the NPL
(NPL Listing Process)
VI.A. 1 Remedial Site Assessment Priorities
EPA regional offices should incorporate the following priorities into regional remedial site
assessment business practices as practicable in each region and as available resources permit.
Assessing the worst sites first continues as a national priority, regardless of the federal facility
status of sites. The regions should identify the sites posing the highest risk or potential risk and
develop a strategy to assess those sites in a timely manner, while balancing their other site
assessment needs.
While assessing the worst sites first, the regions must strive to meet annual remedial
assessment commitments and goals established to ensure sites are assessed in a timely manner and
to prevent the backlog of sites needing remedial assessment from rising unacceptably. Regional
site assessment programs are encouraged to pursue more cost- and time-efficient methods of
assessing sites without compromising the quantity and quality of site assessment decisions. This
includes, among other approaches, combining and/or integrating assessments to reduce cost and
time to assess sites. Regions should continue the use of Pre-CERCLA screening at non-federal
sites submitted for remedial assessment before adding them to the Active site inventory; however,
this step can be bypassed when available information indicates a Preliminary Assessment is
necessary. The regions should also ensure the appropriate remedial assessments of sites of tribal
concern that are in or near Indian Country.
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OLEM Directive 9200.3-153
To better accomplish the national priorities, the regions should continue negotiating work
share agreements with individual states (and tribes if applicable) in a manner that achieves program
objectives in the most efficient manner possible.
Site assessment is the first step in determining whether a site meets the criteria for
placement on the NPL. NPL Listing is one of several approaches for addressing sites where
assessment indicates remedial study/cleanup is needed to address human health and/or ecological
risks. NPL listing should be used when it is believed to be the best approach for addressing a site.
EPA's Office of Emergency and Remedial Response (OERR), now the Office of Superfund
Remediation and Technology Innovation (OSRTI), issued a directive entitled the Guidance on
Setting Priorities for NPL Candidate Sites, OSWER 9203.1-06, October 1992 providing regions
with general factors that should be considered in the risk-based decision making process for
choosing sites to propose for listing pursuant to section 105(a)(8)(B) of CERCLA.
The SAA is generally the Agency's preferred enforcement approach for CERCLA non-
NPL sites that are NPL-caliber, where feasible and appropriate. Additional information on the
SAA is included in the Cleanup Alternatives section (section VI.B.8.f)
VI.A.2 Remedial Site Assessment Backlogs
A key function of Headquarters (HQ) is to report national progress in the remedial site
assessment program. Workload estimates are critical indicators of future program needs. HQ
captures these workload estimates by identifying the number of sites at various stages in the site
assessment pipeline. These stages are commonly referred to as 'backlogs'. For example, sites
needing completion of a CERCLA remedial Preliminary Assessment (PA) are collectively termed
the 'PA Backlog'. HQ will measure regional progress on non-federal sites still needing assessment
with special emphasis on older sites needing preliminary assessments completed or needing a
listing decision. A listing decision is defined as an assessed site with a NFRAP decision, or with a
decision to study/clean up a site via the NPL or a non-NPL cleanup approach. Regions should
consider these assessment workloads when planning assessment work; however, the primary goal
within the assessment program continues to be assessing worst sites first.
VI.A.3 Overview of Remedial Site Assessment Targets and Measures
The following pages contain, in pipeline order, the definitions of Superfund remedial site
assessment targets and measures. Exhibit VI.2 displays the full list of remedial site assessment
activities defined in this chapter and the associated reporting hierarchy.
The EPA FY 2014-2018 Strategic Plan, April 2014. Goal 3, Objective 3.3 Restore Land
contains the Government Performance and Results Act (GPRA) measure for Superfund remedial
assessment work: 'By 2018, complete 95,500 assessments at potential hazardous waste sites to
determine if they warrant CERCLA remedial response or other cleanup activities.' Commonly
referred to as Remedial Site Assessment Completions (RSACs), this measure reflects the total
number of Pipeline-funded remedial site assessments at non-federal sites and reviews of remedial
assessments provided by other federal agencies at Federal Facility (FF) sites. Regional targets for
RSACs are established each year in the Agency's Annual Commitment System (ACS). RSAC
accomplishment credit is given upon successfully recording the completion of the following site
assessment reports in SEMS:
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OLEM Directive 9200.3-153
Pre-CERCLA Screening (PCS)
Preliminary Assessment (PA)
Federal Facility PA Review
Site Inspection (SI)
Federal Facility SI Review
Expanded Site Inspection (ESI)
Federal Facility ESI Review
Site Reassessment
Federal Facility Site Reassessment Review
ESI/Remedial Investigation (RI)
Hazard Ranking System (HRS) Package
Except for Pre-CERCLA screening activities, sites must have a completed remedial site
initiation (discovery) activity recorded in SEMS to get GPRA accomplishment credit for a
Superfund remedial site assessment. Only remedial assessments with a finish date falling in the
current fiscal year (FY) will get captured in current year accomplishment reporting. All completed
Superfund Pre-CERCLA screenings and all other remedial site assessments at sites with a
completed discovery activity will get captured in cumulative accomplishment (inception-to-date)
reporting.
Two sub-measures apply to remedial assessment work to help the Agency meet statutory
and program timeliness goals and to ensure the age and number of sites needing completion of
remedial assessment work does not rise unacceptably. Each fiscal year, regions must reduce the
number of non-federal sites over 5 years old without a preliminary assessment completed by 10
percent and address 10 percent of non-federal sites over 16 years old without an NPL listing
decision. The universe of sites and associated sub-measure targets will be established at the
beginning of each year to account for previous accomplishments and the addition of new sites. The
universes exclude Formerly Used Defense Sites (FUDS). Regional progress towards meeting these
sub-measure goals will be monitored each fiscal year. The overall program priority of assessing
worst sites first shall be a valid factor to consider when evaluating regional progress.
For the annual 5-year PA sub-measure, accomplishment credit will be given at sites that
get eliminated from the universe of sites established at the beginning of each fiscal year.
For the 16-year NPL Listing Decision sub-measure, accomplishment credit will be given
at: 1) sites that get an NPL listing decision made or otherwise no longer require a listing decision;
and 2) sites still in the universe at the end of the fiscal year that have had a remedial site assessment
action started during the fiscal year. Remedial site assessment activities include all the GPRA-
based remedial site assessment activities described in the SPIM except for Pre-CERCLA
screenings.
The annual and cumulative number of Superfund remedial site assessments completed will
be captured on the Superfund Comprehensive Accomplishments Plan (SCAP)-15 report and will
be included in EPA's Annual Report. Site detail supporting annual completion counts will be
included on the SCAP-13 and SCAP-15 reports. The annual PA and NPL Listing sub-measures
July 31,2017
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FY 18 SPIM
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OLEM Directive 9200.3-153
will be tracked on the SEMS report no. SA-034, Remedial Site Assessment Completion Sub-
Measures.
The following non-GPRA measures are tracked to capture the disposition of sites based on
remedial site assessment work performed in the current fiscal year:
1. # Remedial Site Assessments Completed: NFRAP (site does not qualify for the NPL based
on existing information) - this measure will capture the portion of GPRA Superfund
remedial site assessments that are:
a. Assigned a NFRAP decision
b. Determined not eligible for entry into the active SEMS inventory based on a Pre-
CERCLA screening report
c. Addressed as part of a non-NPL parent site that has since been assigned a NFRAP
decision or placed in the SEMS Archive site inventory
2. # Remedial Site Assessments Completed: Remedial Study/Cleanup Needed - this measure
will capture the portion of GPRA Superfund remedial site assessments that are assigned
one of the following decisions or status designations:
a. Deferred to NRC
b. Deferred to RCRA
c. Referred to removal, needs further remedial assessment
d. Referred to removal, no further remedial assessment
e. Addressed as part of a parent site that is on the NPL
f. Remedial activities under EPA enforcement, including sites addressed using a SAA
agreement
g. Other Cleanup Activity
3. # Remedial Site Assessments Completed: Further Site Assessment Needed - this measure
will capture the portion of GPRA Superfund remedial site assessments that are assigned
one of the following decisions:
a. Higher priority for further assessment
b. Lower priority for further assessment
c. Recommended for HRS scoring
d. Being considered for proposal to the NPL
e. Addressed as part of a non-NPL parent site that is still being assessed
f. Needs a remedial preliminary assessment based on completion of a Pre-
CERCLA screening report
g. No decision entered or decision not included in previous two categories
SEMS report S A-006, Site Assessment Accomplishments report is used to report the results
of assessments completed during the fiscal year and the number of sites needing remedial
assessment.
Final Assessment Decisions (FADs) are tracked as the Superfund component to the OLEM
Cross Program CERCLA Site Assessment Measure. FADs are tracked as a reporting measure only
- no goals or targets are set at the beginning of the fiscal year.
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OLEM Directive 9200.3-153
SEMS report SA-031, Final Assessment Decisions, is used to report the number of FADs
made during the fiscal year. Additional information on FADs is provided in the SPIM Site
Information chapter.
Exhibit VI.2. presents a comprehensive list and reporting status of remedial site assessment
activities:
EXHIBIT VI.2. REMEDIAL SITE ASSESSMENT ACTIVITIES
Acli\ i(\
IMmiiil Pmgrsini
Reporting
Inlcriiiil
Pl'O^I'illll
Reporting
No. of Superfund Remedial Site Assessment Completions (RSACs)
Annual Commitment
System (ACS),
Strategic Plan
No. of RSACs: NFRAP
Measure
No. of RSACs: Remedial Study/Cleanup Needed
Measure
No. of RSACs: Further Site Assessment Needed
Measure
No. of Final Assessment Decisions
Measure
NPL Listing (Proposed, Final, Removed From Proposed, Withdrawn)
Measure
Reduce # of non-federal sites over 5 years old without a PA completion by 10%
Measure
Address 10% of non-federal sites over 16 years old needing an NPL listing decision
Measure
Pre-CERCLA Screening
Measure
Remedial Site Initiation (Discovery)
Measure
Preliminary Assessment (PA) at Non-Federal Site
Measure
Federal Facility PA Review
Measure
Site Inspection (SI) at Non-Federal Site
Measure
Federal Facility SI Review
Measure
Site Reassessment
Measure
Federal Facility Site Reassessment Review
Measure
Expanded Site Inspection (ESI) at Non-Federal Site
Measure
Federal Facility ESI Review
Measure
Integrated ESI/Remedial Investigation
Measure
HRS Package (Non-Federal and Federal Facility)
Measure
Other Cleanup Activity
Measure
State Deferral
Measure
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in the Agency's FY14-FY18 Strategic Plan.
Measure = SCAP reporting measure, but target not required.
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OLEM Directive 9200.3-153
VI.A.4 Data Quality and Data Entry Timeliness Requirement
a. Data Quality
The regions should assure that their site assessment information is complete, current,
consistent and accurate. To assist the regions in this determination, data quality reports for
Superfund site assessment information in SEMS are available through the SEMS reporting
tool. SEMS report no. SA-009, Site Assessment Data Quality, displays information on sites
with potential remedial site assessment data errors. Regions are required to review the data
issues on this report prior to the end of each fiscal year and make data corrections in SEMS
as necessary to ensure end of year reporting is accurate. This review applies to remedial
assessment and NPL listing activities completed in the current fiscal year.
b. Data Entry Timeliness Requirement
It is good management practice to enter data regarding events as soon as practicable after
the event occurs. Generally, to insure data are reflected in quarterly reports, data must be
entered in SEMS prior to the quarterly pull date which occurs on the fifth business day
following the end of each quarter or the 10th business day following the end of the fourth
fiscal quarter
VI.A.5 Action Qualifiers for Remedial Site Assessment Activities
Site screening and assessment decisions are made upon completion of most types of
remedial assessment activities. These decisions are tracked in SEMS as 'qualifiers' for applicable
activities. To achieve GPRA RSAC credit, the following activities must have a qualifier recorded
for them in the SEMS Site Management module (qualifiers are added on the Site Decision tab of
the Edit Site Evaluation Schedule screen or the Work Package Info tab. Note: Qualifiers for State
Deferrals can only be added via the Work Package Info tab.):
Preliminary Assessment (PA)
Federal Facility PA Review
Site Inspection (SI)
Federal Facility SI Review
Expanded Site Inspection (ESI)
Federal Facility ESI Review
Site Reassessment
Federal Facility Site Reassessment Review
ESI/Remedial Investigation (RI)
Hazard Ranking System (HRS) Package
The following non-GPRA activities must also have a decision/qualifier recorded for them
when complete to enable the Agency to correctly determine the status of the site from the
perspective of the Superfund remedial site assessment program:
Other Cleanup Activity
State Deferral
FY 18 SPIM
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OLEM Directive 9200.3-153
SEMS report no. SA-009 Site Assessment Data Quality, includes a 'Completed Activities
with No Decision' line item. Regions should pay particular attention to this data issue since it may
impact GPRA RSAC credit and classification of site status in annual reporting.
Once a final decision is made on a remedial assessment report, Regions should
communicate the decision and relevant site information to appropriate state and tribal partners as
soon as practicable.
Most decisions are self-explanatory. Exhibit VI.3. Remedial Site Assessment Activity
Qualifiers displays available decisions/qualifiers for each type of remedial site assessment activity.
The following provides additional details for select decisions/qualifiers:
a. No Further Remedial Action Planned (NFRAP)
No further Superfund remedial assessment work will be taken at a site with a No Further
Remedial Action Planned (NFRAP) determination unless new information warranting such
action is received by EPA. NFRAP decisions should not be confused with archiving.
NFRAP decisions are made from a site assessment perspective only; they simply denote
that further Superfund NPL assessment work is not required based on currently available
information. In contrast, the archival of SEMS sites is made only when no further
Superfund interest exists at a site. This means that sites are not archived if there are planned
or ongoing removal or enforcement activities or if other Superfund interest still exists, even
if a NFRAP decision was made based on remedial site assessment activities.
b. Higher Priority / Lower Priority
The High Priority/Low Priority qualifiers are attached to site actions based on the region's
review of available information. There is no standard national definition for higher priority
or lower priority. In general, sites with a higher priority remedial assessment decision are
expected to need further remedial assessment attention sooner than sites with a lower
priority decision.
c. Refer to Removal
Upon completion of a remedial assessment activity, the region may determine that a time-
critical, non-time critical, or other activity from the EPA removal program is warranted.
Regional Site Assessment Managers (SAMs) should coordinate and consult with the
Region's removal program when they learn of either sampling results with consistent
exceedances of removal program screening values or other information indicating the site
may pose an imminent threat to human health or the environment. See the OLEM memo
Remedial and Removal Program Coordination Regarding Potential Imminent Threats to
Human Health or the Environment August 11, 2016 for more information. If the removal
program agrees to conduct any activity, there are two different decisions used to track the
referral of a site to the removal program. Which decision is used depends on whether the
region believes additional remedial assessment will still be needed following completion
of work by the removal program. The two decisions are self-explanatory and include:
1. Referred to Removal, Needs Further Remedial Assessment; and
2. Referred to Removal, No Further Remedial Assessment.
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OLEM Directive 9200.3-153
Regions should monitor those sites referred to removal that need further remedial
assessment to ensure additional remedial assessment is not overlooked once removal work
is complete.
Sites with Removal-Only or Referred to Removal, No Further Remedial Assessment
designations will be excluded from the backlog of sites needing remedial assessments.
Headquarters will maintain a tracking report in SEMS to help Regions monitor assessed
sites with Referred to Removal decisions.
d. Site Addressed as Part of Another NPL or Non-NPL site
Upon completion of a remedial site assessment activity, the region may decide that a non-
NPL site is best addressed as part of another pre-existing site. The pre-existing site may be
on the NPL or not on the NPL. This most frequently occurs at Federal Facilities and sites
with an area-wide groundwater contamination or sediment problem resulting from multiple
sources. To address these situations, regions should select one site to serve as the parent
site and the other site will become a child site. Parent sites may have multiple child sites.
Once the parent/child relationship is established in SEMS, no further response work should
be recorded at the child site. Instead, any further response work should be tracked under
the parent site. The following data entry steps are required in SEMS when parent/child
relationships are established:
Upon completion of the remedial site assessment activity that led to the decision to
combine the two sites, the region should enter a qualifier of 'Addressed as part an
existing NPL site' or 'Addressed as part of another non-NPL site' depending on
whether the parent site is on the NPL;
The seven-digit Site ID number of the parent site must be entered into the Parent
Site ID field for the child site;
The seven-digit Site ID number of the child site must be entered into the Child Site
ID field for the parent site;
The NPL Status for the child site must be changed to 'Site is part of NPL Site' if
the parent site is an NPL site;
The Non-NPL Status for the child site must be changed to 'Addressed as part of
another non-NPL site' if the parent site is not an NPL site.
The Final Assessment Decision value for a child site should match that of its parent site.
e. Referred From RCRA
Referred to Superfund from RCRA due to owner inability to finance corrective action
under RCRA.
f. Assessment Complete - Decision Needed
This qualifier can be used at NPL caliber sites when all anticipated remedial site assessment
work is completed and a decision still needs to be made regarding which remedial cleanup
program approach to pursue (e.g., NPL, removal, state voluntary cleanup program).
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OLEM Directive 9200.3-153
EXHIBIT VI.3. REMEDIAL SITE ASSESSMENT ACTIVITY QUALIFIERS
Available Activity Decisions
SITE ASSESSMENT
ACTIVITY NAMES & CODES
Pre-CERCLA Screening
HX
NOT A
APPLICABLE
Remedial Site Initiation (Discovery)
DS
~
Preliminary Assessment
PA
~
~
~
~
~
~
~
~
~
~
~
~
Federal Facility PA Review
RX
~
~
~
~
~
~
~
~
~
Sste Inspection
SI
~
~
~
~
~
~
~
~
~
~
~
~
Federal Facility SI Review
TY
~
~
~
~
~
~
~
~
~
S te Reassessment
00
~
~
~
~
~
~
~
~
~
~
~
~
Federal Facility Site Reassessment Review
zc
~
~
~
~
~
~
~
~
~
Expanded Site Inspections
ES
~
~
~
~
~
~
~
~
~
~
~
Federal Facility ESI Review
TZ
~
~
~
~
~
~
~
~
~
ESI/RI
ss
~
~
~
~
~
1/
~
~
~
~
~
Stale Deferral
AQ
~
~
HRS Package
HR
~
~
~
~
~
~
~
~
~
~
Other Cleanup Activity
VA
~
~
~
~
~
~
~
~
~
~
~
Archive Site
vs
This activity is populated when the archive fag is selected. No leads/decisions for these activities are available.
Site Unarchived
vu
This activity is populated when the archive fag is deselected. No leads/decisions for these activities are available.
July 31,2017
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OLEM Directive 9200.3-153
VI.A.6 Remedial Site Assessment Critical Indicators
Critical Indicators are used in SEMS as a way to further describe the activity at the site.
Critical indicators are entered on the Work Package Info tab of the Edit Site Schedule screen in
the SEMS Site Management module. The critical indicators available for remedial site assessment
activities include:
Abbreviated Preliminary Assessment - Available for the following activities:
Preliminary Assessment (PA); and
Federal Facility PA Review.
PA and FF PA Review activity.
Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available for the
following activities:
PA;
Site Inspection;
Expanded Site Inspection (ESI);
Site Reassessment;
Hazard Ranking System Package;
Integrated ESI/Remedial Investigation; and
Removal Assessment.
Citizen Petition - Available for the following activities:
Pre-CERCLA Screening (PCS); and
Preliminary Assessment.
VI.A.7 Coordination with State and Tribal Partners at Non-Federal Sites
Coordination between EPA, states and tribes throughout the Superfund site-assessment
process is essential. Effective coordination conserves resources, accelerates assessment, and
unifies goals and expectations during all phases of the site-assessment process. Opportunities for
coordination occur throughout the site-assessment process from site notification through final site
disposition.
The level of coordination required at non-Federal sites varies and is influenced by the extent to
which states and tribes participate in Superfund site assessment activities, including whether a
cooperative agreement is in place to conduct Superfund site assessment work. States, and to a
lesser extent, tribes are the lead performing agency for about 50 percent of Superfund remedial
site assessments completed each year; however, this percentage varies significantly across EPA
Regions (from 0 to 100 percent).
Regions are encouraged to coordinate effectively with their state and tribal partners on
Superfund site assessment work to the maximum extent practicable. Specific coordination points
and elements to consider include:
Notifying states and tribes with a known interest of new site assessment strategic
priorities, goals, policies, guidance and procedures;
FY 18 SPIM
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July 31,2017
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OLEM Directive 9200.3-153
Communicating site decisions and new and relevant site information to applicable states
and tribes with known interest in a timely manner;
Transferring relevant site information in a timely manner and as necessary when sites are
referred or transitioned (NFRAP, OCA, etc.) to state or tribal agencies;
Informing applicable states and tribes of site-specific public meetings arranged by EPA to
cover site assessment and/or NPL listing issues;
Clarifying EPA expectations for site assessment data collection, report contents, and
preferred document formats as necessary; and
Maintaining an open and collaborative communication process on existing and emerging
site assessment issues.
VI.A.8 Remedial Site Assessment Activities
a. Pre-CERCLA Screening (PCS)
Activity Definition:
A PCS is a relatively low-cost initial collection and review of existing information for a
potential Superfund site. The PCS helps determine whether the site should be addressed
under the federal Superfund program or under another federal, state or tribal cleanup
program, and whether the site should be entered into the SEMS Active site inventory for
further remedial assessment.
PCS activities include reviewing existing information and collecting minimal additional
information to determine whether a site warrants entry into the Superfund active inventory
for further remedial assessment. Minimal additional information can include collecting
limited sampling data (less than $10,000 sampling costs per screened site) subject to EPA
regional policy, procedures or practices.
PCS activities generally apply to non-Federal facility sites. PCS activities do not apply at
sites on the Federal Facilities Hazardous Waste Compliance Docket since these sites
require completion of a preliminary assessment per CERCLA.
PCS activities should not be performed at sites that clearly do not fall within the scope of
CERCLA nor at sites where information clearly indicates a CERCLA Preliminary
Assessment is needed. In addition, the following minimum site location information
should be available before initiating a PCS to avoid diverting resources to tracking down
sites that may not exist:
State;
County;
City;
Street address (or section township and range GPS coordinates, if available); and
Zip Code (if available)
A search for the site in the SEMS Active, Archive and Non-site inventories should be
completed prior to initiating a PCS. PCS activities should not be performed at sites in the
July 31,2017
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OLEM Directive 9200.3-153
SEMS Active or Archive site inventories. Initial or subsequent PCS activities may be
performed when new information is received at a site in the Non-site inventory.
A Pre-CERCLA screening can be performed in response to a CERCLA 105(d) petition to
conduct a remedial preliminary assessment. If the site does not warrant entry into the
Active inventory, the PCS can be used to explain to the petitioner why a PA is not
appropriate. If the site warrants entry into the Active inventory, completion of a PA is
required within one year of the date of the petition.
Once regional staff determine a PCS is warranted, the potential site should be added to the
SEMS database to track the PCS activity. For PCS work conducted by a state or tribe
pursuant to a cooperative agreement with EPA, the site(s) can be added to the SEMS
database after EPA receives the PCS report.
For planning purposes, regions should complete a PCS report within one year after
determining a PCS is warranted. SEMS report no. SA-036, Sites Needing Completion of
Pre-CERCLA Screening, is available to track progress at sites in SEMS needing a PCS
completion.
Regional remedial site assessment programs are responsible for reviewing PCS reports and
making a final decision on whether to add the site to the SEMS Active site inventory for
further remedial assessment. The PCS report is a Superfund core document and must
comply with the relevant requirements described in the Superfund Records Management
chapter of the SPIM. At a minimum, a PCS report should contain:
A completed Pre-CERCLA Screening Checklist/Decision Form in electronic
format compatible with SEMS data processing requirements; and
A site map.
A Remedial Site Initiation (Discovery) activity must be added to SEMS with a finish date
for those sites determined to need further remedial site assessment (e.g. remedial
preliminary assessment).
Regions should communicate final PCS report decisions to appropriate state staff and to
tribes with a known interest in the site in a timely manner.
For more information on Pre-CERCLA screening, please refer to EPA's Superfund Site
Assessment Process: Pre-CERCLA Screening website at:
https://www.epa.gov/superfund/superfund-site-assessment-process-pre-cerclis-screening
and the Revised Pre-CERCLA Screening Guidance, December 2016
Accomplishment Definition:
Pre-CERCLA Screening Start - A Pre-CERCLA screening activity is started when: 1) the
region begins collecting data and performing other tasks related to completion of the PCS
report; or 2) a PCS report is submitted by a state or tribe pursuant to a cooperative
agreement with EPA; and SEMS contains the actual Pre-CERCLA screening activity start
date and an activity lead of: EPA; EPA-In House; State; or Tribe. The Pre-CERCLA
screening activity start date can be the same as the activity finish date.
FY 18 SPIM
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OLEM Directive 9200.3-153
Pre-CERCLA Screening Completion - A Pre-CERCLA screening is completed when:
A PCS document has been approved and signed by EPA, including a decision made
on whether to add the site to the SEMS remedial assessment active site inventory.
The Pre-CERCLA screening finish date is the date the PCS report is signed by EPA;
and
SEMS contains the actual Pre-CERCLA screening activity and finish date, a valid
performance lead, and appropriate values in the NPL and Non-NPL Status fields.
In addition to the Pre-CERCLA screening activity, entry of the following information is
required:
Sites that require remedial assessment work only
A Remedial Site Initiation (Discovery) finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen in the SEMS
Site Management module;
A Non-NPL Status of 'PA Start Needed' on the Site Information screen.
Sites that require both remedial assessment and removal work
A Remedial Site Initiation (Discovery) finish date;
A Removal Site Initiation finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen in the SEMS
Site Management module;
A Non-NPL Status of 'Integrated Removal Assessment PA Start Needed' on the
Site Information screen.
Sites that require only removal work
A Removal Site Initiation finish date;
An NPL Status of 'Not on the NPL' on the Site Information screen;
A Non-NPL Status of 'Removal Only' on the Site Information screen.
Sites that require no further evaluation beyond the Pre-CERCLA screening
An NPL Status of 'Not a Valid Site or Incident' on the Site Information screen;
A Non-NPL Status of 'Not a Valid Site or Incident', 'Not a Valid Site - RCRA
Lead', 'Not a Valid Site - NRC Lead', 'Not a Valid Site - State Lead', or 'Not a
Valid Site - Tribal Lead'.
EXHIBIT VI.4. PRE-CERCLA SCREENING REQUIREMENTS
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Pre-CERCLA Screening
Report
EPA, Tribe,
State
Start: Date the Technical Direction Document (TDD) is
issued or the date the state/tribal government started
conducting the Pre-CERCLA Screening.
Finish: The date the PCS reoort is sisned bv EPA and
SEMS contains the Pre-CERCLA Screening finish date,
performance lead, NPL Status and Non-NPL Status
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FY 18 SPIM
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
All Pre-CERCLA screening activities should be tracked in SEMS, including activities at
sites not found to be CERCLA-eligible. Sites that are screened from entry into the SEMS
Active site inventory will be tracked in the Non-site inventory with 'Not a Valid Site or
Incident' values in the NPL and Non-NPL status fields. If the decision is made that the site
requires remedial site assessment under CERCLA authority, it should be added to the
SEMS Active site inventory by entering a Remedial Site Assessment Initiation (Discovery)
date and a valid NPL and Non-NPL Status.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in SEMS. As new activities and new dates are entered into SEMS, the system will
ask the user to confirm or change this value as appropriate. Changes to the non-NPL status
should be communicated to appropriate state staff and to tribes with a known interest in
the site in a timely manner. Data entry timeliness practices are important to obtain all
accomplishments. See section VI. A.4 above for details.
b. Remedial Site Initiation (Discovery)
Activity Definition:
Remedial Site Initiation (Discovery) is the process by which a potential hazardous waste
site is entered into the SEMS Active site inventory for remedial site assessment activities.
All sites moving through the remedial site assessment process must have a Remedial Site
Initiation (Discovery) activity/milestone and finish date documented in SEMS. Entry of
the Remedial Site Initiation (Discovery) date initiates the remedial site assessment process
and places the site on the Preliminary Assessment backlog.
Accomplishment Definition:
Remedial Site Initiation (Discovery) of non-Federal Facilities is the date the region
completes a Pre-CERCLA screening report indicating the site warrants entry into the
Active site inventory for further Superfund remedial site assessment.
The Remedial Site Initiation (Discovery) date for Federal Facilities is the date the site is
formally added to the Federal Facilities Hazardous Waste Compliance Docket indicating
Superfund involvement is required.
EXHIBIT VI.5. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
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Remedial Site Initiation
(Discovery)
EPA, Tribe,
State, EPA-In
house
Start/Finish: Documentation of the decision that the
site warrants Superfund remedial site assessment. The
Remedial Site Initiation (Discovery) date is entered
through the Add Site screen.
Special Planning/Reporting Requirements:
FY 18 SPIM
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July 31,2017
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OLEM Directive 9200.3-153
A schedule will automatically be generated when a new site is added to SEMS. The same
calendar date should be entered for both the Remedial Site Initiation (Discovery) actual
start and actual finish date. The actual start/finish date must not be earlier than the Pre-
CERCLA screening finish date. Multiple Remedial Site Initiation (Discovery)
activities/milestones are not allowed.
Remedial Site Initiation (Discovery) versus Removal Site Initiation:
The Removal Site Initiation activity is used by the removal program to track
initiation of sites that have Superfund removal interest. Sites with only removal
interest should not have a Remedial Site Initiation (Discovery) tracked in SEMS.
Sites with only remedial site assessment interest should not have a Removal Site
Initiation tracked in SEMS.
Sites with both removal and remedial assessment interest should have both a
Removal Site Initiation activity/milestone and a Remedial Site Initiation
(Discovery) activity/milestone.
The Remedial Site Initiation (Discovery) actual start and finish date for a site referred from
removal to remedial assessment or from RCRA to remedial assessment should be the date
the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new activities and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Changes to the
non-NPL status should be communicated to appropriate state staff and to tribes with a
known interest in the site in a timely manner. Data entry timeliness practices are important
to obtain all accomplishments. See section VI.A.4 above for details.
c. Preliminary Assessments (PA) at Non-Federal Sites
Activity Definition:
A PA is often the first phase of the remedial site assessment process following remedial
site initiation (discovery). The National Contingency Plan (NCP) requires completion of a
PA at all sites moving through the remedial site assessment process. The PA is used to
determine what steps, if any, need to occur next at the site. Federal, state, and local
government files, geological and hydrological data, and data concerning site practices are
reviewed to complete the PA report. An on- or off-site reconnaissance also may be
conducted, although it is not required. Samples are not generally collected during a PA;
however, limited sampling may be performed as necessary to determine whether further
assessment (e.g., site inspection) is needed.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and remedial preliminary assessment
combines requirements of a both types of assessments into a single report.
July 31,2017
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OLEM Directive 9200.3-153
There are instances when an Abbreviated Preliminary Assessment (APA) can be performed
in lieu of a standard PA. An APA is preferred when: 1) available information indicates the
site would not pass the Pre-CERCLA screening step if it was not already in the SEMS
Active site inventory; and 2) available information indicates an SI or ESI is warranted.
Improving Site Assessment: Abbreviated Preliminary Assessments, OSWER 9375.2-09FS.
October 1999 provides information on conducting APAs and includes a checklist to help
site assessors determine whether an APA report is appropriate for a given site. The
checklist or an equivalent document can serve as documentation that the APA was
completed. The APA checklist or equivalent report must address the requirements set forth
in the NCP for conducting remedial preliminary assessments.
Combining PA and SI or ESI activities into a single event may be performed at sites where
it is known that more intensive sample collection is warranted and where time and cost
efficiencies can clearly be gained. When combining remedial assessments, the PA
documentation must still be developed to meet NCP requirements. An APA report is
sufficient for this purpose.
Accomplishment Definition:
PA Starts - A PA is started when the region begins collecting data and performing other
tasks related to development of the PA report; or when the region signs a letter, form,
memo, or issues a Technical Direction Document (TDD) to the EPA contractor or
state/tribal government (where applicable), requesting performance of a PA at a specific
site or group of sites; or when EPA receives written confirmation from a state/tribal
government that the state/tribal government will conduct the PA; and SEMS contains the
actual PA start date and a performing lead of: EPA; EPA-In House; State; or Tribal. PA
start dates are required and are used by HQ as a program measure.
PA Completions - A Preliminary Assessment is completed when:
A PA Report has been developed by EPA; or received by the region from the federal
contractor or state/tribal government; and the appropriate regional official signs a
letter, form, or memo approving the PA report. The PA finish date is the date the
PA report is approved; and
SEMS contains the actual PA finish date and a decision on whether further activities
are necessary in the Qualifier field; and
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the PA. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI.6. PRELIMINARY ASSESSMENT REQUIREMENTS
FY 18 SPIM
VI-17
July 31,2017
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OLEM Directive 9200.3-153
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Preliminary Assessment
EPA, State,
Tribe, EPA In-
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government started the PA.
Finish: Letter, form, memo atrorovine the PA rcDort:
Site decision Form 9100-3 in SEMS or equivalent
document signed by the appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, regions should complete a PA at a non-Federal Facility site listed
in the SEMS Active site inventory within one year of the remedial site initiation (discovery)
finish date.
Integrated removal assessment and remedial preliminary assessment reports are tracked in
SEMS by entering a PA activity and selecting INTEGRATED RV/RMDL as a critical
indicator on the PA Work Package Info tab of the Edit Site Schedule screen in the SEMS
Site Management module.
APA reports are tracked in SEMS by entering a PA activity and selecting APA as a critical
indicator on the PA Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
When combining PA and SI or ESI assessments, the same actual start and finish dates for
the PA and SI or PA and ESI activity should be entered into SEMS. The PA should be
assigned a high priority qualifier in SEMS. The decision reached at the end of the combined
PA and SI or combined PA and ESI assessment should be entered as the qualifier for the
SI or ESI activity.
PA starts and completions are reported site-specifically in SEMS. Preliminary Assessment
completions at non-Federal Facility sites is a program measure. Regions are responsible
for maintaining the accuracy of the non-NPL status for every non-NPL site in SEMS. As
new actions and new dates are entered into SEMS, the system will ask the user to confirm
or change this value as appropriate. Changes to the non-NPL status should be
communicated to appropriate state staff and to tribes with a known interest in the site in a
timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility PA Review activities performed at Federal Facilities.
July 31,2017
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FY 18 SPIM
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OLEM Directive 9200.3-153
d. Site Inspections (SI) at Non-Federal Sites
Activity Definition:
The SI involves the collection of field data from a suspected hazardous waste site to
confirm or deny the presence of contamination and to further characterize contaminants,
migration pathways, and background contaminant levels. The SI serves as a further
screening activity to determine what steps, if any, need to occur next at the site. Regions
should employ Field Analytical Sampling (FAS) techniques wherever practical during
conduct of SI activities.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and remedial site inspection
combines requirements of a both types of assessments into a single report.
See the PA section above for a discussion on combining PA and SI activities into a single
event.
Accomplishment Definition:
SI Starts - An SI start date at a non-Federal Facility site is defined as the date when EPA
or the state/tribal government signs a letter, memo or form approving the site-specific SI
work plan, or a TDD is issued to the contractor at a site (refer to The Revised Hazard
Ranking System: Evaluating Sites After Waste Removals, OSWER 9345.1-03FS. October
1991) for further guidance on defining SI starts) and SEMS contains the actual SI start date
and a performing lead of: EPA; EPA-In House; State; or Tribal. SI start dates are required.
SI Completions - An SI is completed when:
An SI Report has been generated by EPA, or received by the region from the federal
contractor or state/tribal government, and the appropriate regional official signs a
letter, form, or memo approving the SI report. The SI finish date is the date the SI
report is approved; and
SEMS contains the actual SI finish date, a valid performing lead, and a decision on
whether further activities are necessary in the Qualifier field; and
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the SI. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI.7. SITE INSPECTION REQUIREMENTS
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Site Inspection
LP A, Stale,
Tribe, EPA In-
house
Slarl: Leller. memo, or 1'orni aooro\ inu die bile sixvilic
work plan or TDD signed by the EPA or state/tribal
government.
FY 18 SPIM
VI-19
July 31,2017
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OLEM Directive 9200.3-153
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1-iiiish: Leiier. 1'ona memo uddra um die SI reoori. Sue
decision Form 9100-3 in SEMS or equivalent document
signed by the appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, Sis at non-federal sites are expected to average two years from start
to completion.
Actual start and finish dates are required for Sis. SI starts and completions are reported
site-specifically in SEMS. Site Inspection completions at a non-Federal Facility sites is a
program measure.
Integrated removal assessment and remedial site inspection reports are tracked in SEMS
by entering a SI action and selecting INTEGRATED RV/RMDL as a critical indicator on
the SI Work Package Info tab of the Edit Site Schedule screen in the SEMS Site
Management module.
When combining PA and SI assessments, the same actual start and finish dates for the PA
and SI activity should be entered into SEMS. The PA should be assigned a high priority
qualifier in SEMS. The decision reached at the end of the combined PA and SI should be
entered as the qualifier for the SI activity.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in SEMS. As new actions and new dates are entered into SEMS, the system will
ask the user to confirm or change this value as appropriate. Changes to the non-NPL status
should be communicated to appropriate state staff and to tribes with a known interest in
the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility SI Review activities performed at Federal Facilities.
e. Site Reassessments at Non-Federal Sites
Activity Definition:
A Site Reassessment represents the gathering and evaluation of new information on a site
in the SEMS Active or Archive site inventory that was previously assessed under the
federal Superfund program to determine whether further Superfund attention is needed. A
Site Reassessment serves as a supplement to previous assessment work and not as a
replacement for traditional assessment activities (e.g., Preliminary Assessment, Site
Inspection). The scope of work for a Site Reassessment activity is flexible, but will usually
represent a component of a traditional site assessment activity. The intent of the Site
July 31,2017
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OLEM Directive 9200.3-153
Reassessment action is to document the expenditure of Superfund resources on older sites
where EPA has received new information or learned that site conditions have changed.
This activity is also used to record further assessment decisions made after reviewing this
new site information. A brief summary of work performed as part of the Site Reassessment
action and the related site decision as a result of this work must be documented by
completing the Example Remedial Site Assessment Decision, Form 9100-3 in SEMS, or an
equivalent document. Correction of site decisions (i.e., action qualifiers) on completed PA,
SI or ESI activities based solely on file reviews should be documented using the historical
lockout feature in SEMS and not as a new Site Reassessment activity.
Accomplishment Definition:
Site Reassessment Starts - A Site Reassessment start is defined as the date when EPA or a
state/tribal government signs a letter, memo or form approving the site-specific Site
Reassessment work plan or a TDD is issued to the contractor at a site and SEMS contains
the actual Site Reassessment start date and a performing lead of: EPA, EPA-In House;
State; or Tribal.
Site Reassessments Completions - A Site Reassessment is complete when:
A Site Reassessment report has been developed by EPA or has been received by
the region from the federal contractor or the state/tribal government, and the
appropriate regional official signs a letter, form, or memo approving the Site
Reassessment report. The Site Reassessment finish date is the date the Site
Reassessment report is approved, and
SEMS contains the actual Site Reassessment finish date, a valid performing lead,
and a valid decision on whether further activities are necessary in the Qualifier
field; and
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the Site Reassessment.
Please refer to exhibit VI.3 for a list of valid qualifiers for this action and a description of
each qualifier.
EXHIBIT VI.8. SITE REASSESMENT REQUIREMENTS
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Site Reassessment
EPA, State,
Tribe, EPA In-
house
Start: Letter, memo, or form atrorovine the site-soecific
work plan, when required, or a signed TDD is issued.
Finish: Letter, form, or memo atrorovine the Site
Reassessment report;
Site Decision Form 9100-03, or an equivalent document
signed by appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, Site Reassessments at non-federal sites are expected to average one
year from start to completion. Actual start and finish dates are required for Site
FY 18 SPIM
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OLEM Directive 9200.3-153
Reassessment activities. Site Reassessments are reported site-specifically in SEMS. Site
Reassessment completions are program measures for non-Federal Facilities.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in SEMS. As new actions and new dates are entered into SEMS, the system will
ask the user to confirm or change this value as appropriate. Changes to the non-NPL status
should be communicated to appropriate state staff and to tribes with a known interest in
the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
Federal Facility Site Reassessment Review activities as performed at Federal Facilities.
f. Expanded Site Inspections (ESI) at Non-Federal Sites
Activity Definition:
The ESI collects additional data beyond that collected in the SI to evaluate the site for HRS
scoring. ESIs are reserved for more complex sites that cannot be adequately characterized
using standard SI methodologies. Installation of groundwater monitoring wells is typical
of activities performed under the ESI. Regions should employ FAS techniques wherever
practical during ESI activities.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and ESI combines requirements of a
both types of assessments into a single report.
See the PA section above for a discussion on combining PA and ESI activities into a single
event.
Accomplishment Definition:
ESI Starts - An ESI start is defined as the date when EPA or a state/tribal government signs
a letter, memo or form approving the site specific ESI work plan or a Technical Direction
Document is issued to the contractor at a site and SEMS contains the actual ESI start date
and a performing activity lead of: EPA; EPA-In House; State; or Tribal.
ESI Completions - An ESI is complete when:
An ESI Report has been developed by EPA; or received by the region from the
federal contractor; or the state/tribal government; and the appropriate regional
official signs a letter, form, or memo approving the ESI report. The ESI finish date
is the date the ESI report is approved; and
SEMS contains the ESI finish date, a valid performing lead, and a valid decision on
whether further activities are necessary in the Qualifier field; and
July 31,2017
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OLEM Directive 9200.3-153
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the ESI. Please refer to
exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI.9. EXPANDED SITE INSPECTION REQUIREMENTS
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Expanded Site Inspection
EPA, State,
Tribe, EPA In-
house
Start: Letter, memo, or form atrorovine the site specific
work plan or TDD signed by the EPA or state/tribal
government.
Finish: Letter, form or memo atrorovine the ESI rcoort:
Site Decision Form 9100-3 in SEMS or an equivalent
document signed by appropriate regional official.
Special Planning/Reporting Requirements:
For planning purposes, ESIs at non-federal sites are expected to average one year from start
to completion. Actual start and finish dates are required for ESIs. ESI starts (Actual Start)
and completions are reported site-specifically in SEMS. ESI starts and completions are
program measures for non-Federal Facilities.
Integrated removal assessment and expanded site inspection reports are tracked in SEMS
by entering an ESI action and selecting INTEGRATED RV/RMDL as a critical indicator
on the ESI Work Package Info tab of the Edit Site Schedule screen in the SEMS Site
Management module.
When combining PA and ESI assessments, the same actual start and finish dates for the
PA and ESI activity should be entered into SEMS. The PA should be assigned a high
priority qualifier in SEMS. The decision reached at the end of the combined PA and ESI
assessment should be entered as the qualifier for the ESI activity.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Changes to the
non-NPL status should be communicated to appropriate state staff and to tribes with a
known interest in the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
Please refer to chapter IX, titled Federal Facility Program, of the SPIM for a description of
this Federal Facility ESI Review activities performed at Federal Facilities.
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g. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites
Activity Definition:
The integrated ESI/RI is an assessment consisting of an ESI and a RI. The ESI/RI is used
to expedite remedial response by gathering site characterization data common to both ESI
and RI activities in one step, thereby expediting the later collection of data when
comprehensive RI activities are performed. The goal of ESI/RIs is to save time and costs
characterizing sites when compared to the traditional, sequential ESI-NPL Listing-RI
process. ESI/RIs facilitate but do not replace RIs, and are recommended at sites where
conditions indicate that the HRS score will be above 28.5 and a remedial response will be
needed. The RI portion of an ESI/RI is intended to be a sitewide activity. ESI/RI activities
should be entered into SEMS at operable unit 00.
ESI/RIs may not always be feasible given known site conditions and activities completed
to date. In some cases, it may be more prudent to conduct a separate ESI and RI. The
definitions for Remedial Investigation/Feasibility Study (RI/FS) Completion and RI
Completion (see definitions in chapter VII) are different from the definition for ESI/RI
Completion. The definition of an ESI/RI Completion is the same as that of an ESI
Completion. If an ESI/RI activity is recorded in SEMS, a stand-alone ESI activity should
not be recorded at that site.
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and integrated ESI/RI combines
requirements of a both types of assessments into a single report.
Accomplishment Definition:
ESI/RI Starts - An ESI/RI start is defined as the date when EPA or a state/tribal government
signs a letter, memo or form approving the site specific ESI work plan or a Technical
Direction Document is issued to the contractor at a site and SEMS contains the actual ESI
start date and a performing activity lead of: EPA; EPA-In House; State; or Tribal.
ESI/RI Completions - An ESI/RI is complete when:
An ESI/RI Report has been reviewed and accepted by the region and the appropriate
regional official signs a letter, form, or memo approving the ESI/RI report. The
ESI/RI finish date is the date the ESI/RI report is approved; and
The following has been recorded in SEMS: the ESI/RI finish date; a valid
performance lead; and a decision on whether further activities are necessary in the
Qualifier field; and
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
A valid decision must be recorded in SEMS upon completion of the ESI/RI. Please refer
to exhibit VI.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT VI. 10. ESI/RI REQUIREMENTS
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OLEM Directive 9200.3-153
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Expanded Site
Inspection/Remedial
Investigation ESI/RI
EPA, State,
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house
Start: Letter, memo, or form atrorovine the site specific
work plan or TDD signed by the EPA or state/tribal
government
Finish: Letter, form, or memo atrorovine the ESI/RI
report;
Site Decision Form 9100-3, or an equivalent document
signed by appropriate regional official
Special Planning/Reporting Requirements:
For planning purposes, ESI/RIs are expected to average one year from start to completion.
Actual start and finish dates are required for ESI/RIs. ESI activities should not be recorded
separately in SEMS if they are conducted as part of an ESI/RI. ESI/RI completions at non-
Federal Facility sites are program measures.
An integrated removal assessment and ESI/RI report is tracked in SEMS by entering an
ESI/RI action and selecting INTEGRATED RV/RMDL as a critical indicator on the ESI/RI
Work Package Info tab of the Edit Site Schedule screen in the SEMS Site Management
module.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Changes to the
non-NPL status should be communicated to appropriate state staff and to tribes with a
known interest in the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
h. Hazard Ranking System (HRS) Packages
Activity Definition:
The HRS Package documents a numeric score of the relative severity of a hazardous
substance release or potential release based on: 1) the relative potential of substances to
cause hazardous situations; 2) the likelihood and rate at which the substances may affect
human and environmental receptors; and 3) the severity and magnitude of potential effects.
The HRS Package also includes references and documentation in support of the score. The
score is computed using the revised HRS. Regions are responsible for preparing HRS
packages for both Federal and non-Federal Facility sites. Regions submit a draft version of
the HRS package to HQ for quality assurance (QA) review. Regions and HQ work together
to address issues and agree on a final version of the HRS package. Based on results of the
completed HRS package and other factors, regions determine what next steps, if any, are
appropriate for a site (e.g., NPL listing, NFRAP, etc.)
A full HRS package is required for sites being addressed through the SAA; however, the
HRS package does not have to go through the EPA HQ QA process.
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OLEM Directive 9200.3-153
Regions also have been encouraged to further reduce repetitive site characterization tasks
and costs by combining site assessment and removal evaluation activities where warranted
by site conditions. An integrated removal assessment and HRS Package combines
requirements of both types of assessments into a single report.
Accomplishment Definition:
HRS Package Starts - An HRS Package start is defined as the date when EPA signs a
memo, form, or letter requesting development of a HRS Package for a specific site and
SEMS contains the actual HRS Package start date and a valid performance lead of: EPA-
In House; State; or Tribal. HRS Package start and finish dates are required for both Federal
and non-Federal Facility sites, and are used to identify the status of sites in the site
assessment pipeline and to measure activity durations.
Due to the pre-decisional nature of HRS packages, regions may postpone entry of HRS
start dates until after the HRS package has gone through HQ QA review or after the site
has been proposed to the NPL.
HRS Package Completions - An HRS Package is complete when:
An HRS Package has completed HQ QA review and HQ and the region agree to a
final version, or an HRS package has completed regional quality control (QC)
review and the HRS package will not be submitted to HQ for QA review; and
The following has been recorded in SEMS: the approval date for the final version
of the HQ QA reviewed (if submitted to HQ) or regional QC reviewed (if not
submitted to HQ); HRS Package date or the NPL Proposal publication date as the
actual HRS Package finish date; a performance lead; and a decision on whether
further activities are necessary in the Qualifier field; and
The decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS or an equivalent document.
Note: Submission of HRS Packages to HQ for technical assistance does not
represent an HRS Package completion.
A valid decision must be recorded in SEMS upon completion of the HRS Package. Please
refer to exhibit VI.3 for a list of valid qualifiers for this action and a description of each
qualifier.
EXHIBIT VI.11. HRS PACKAGE REQUIREMENTS
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HRS
EPA, State,
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house
Start: Letter, form, or memo reauestine site specific
development of a HRS Package.
Finish: Site Decision Form 9100-3, or an eauivalent
document signed by appropriate regional official
Special Planning/Reporting Requirements:
For planning purposes, HRS packages are expected to average one year from start to
completion.
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OLEM Directive 9200.3-153
Actual start and finish dates are required for HRS Packages. HRS Package completions at
both Federal and non-Federal Facilities are program measures.
Integrated removal assessment and HRS Package reports are tracked in SEMS by entering
an HRS Package action and selecting INTEGRATED RV/RMDL as a critical indicator on
the HRS Package Work Package Info tab of the Edit Schedule screen in the SEMS Site
Management module.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate. Changes to the
non-NPL status should be communicated to appropriate state staff and to tribes with a
known interest in the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
i. Other Cleanup Activity (OCA)
Activity Definition:
This activity is used to document the referral of a non-NPL site to a state, tribal, or federal
environmental cleanup program for remedial-type work without EPA enforcement or
oversight. Remedial-type work can include comprehensive site investigations in support of
making cleanup determinations, interim cleanup actions, removals or final cleanup
decisions, including decisions that cleanup is not required. For this definition, 'without
EPA enforcement or oversight' means that there is no continuous and substantive
involvement on the part of EPA while remedial-type work is ongoing, such as routinely
reviewing work products and other documents and providing comments to the non-EPA
party. However, EPA may gather information about activities at an Other Cleanup Activity
(OCA) site through meetings or calls with the non-EPA party, by accessing related web
sites, or through other means.
OCA status should only be used for sites that have completed a PA within the Superfund
site assessment process and are considered to be NPL-caliber (i.e., existing information
indicates that the site may achieve an HRS score >28.5) and the site warrants remedial-
type work as described above.
Regions should annually discuss progress of OCA sites with the other party leading or
managing the remedial-type work to ensure adequate progress is being made. OCA sites
not making adequate progress should be evaluated to determine whether another cleanup
approach is warranted.
Accomplishment Definition:
OCA Starts - An Other Cleanup Activity start date is defined as the date EPA refers the
site to the state, tribal, or federal environmental cleanup program for further consideration
or acknowledges that the site is being cleaned up by a non-EPA party as supported by
existing documentation. Preferred minimum documentation required to proceed with an
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OLEM Directive 9200.3-153
OCA start is written confirmation from the other party that it agrees to take the lead and
provide cleanup status updates to EPA on an annual basis or other acceptable timeframe.
This minimum documentation requirement may be relaxed in cases where it is clear based
on other information that cleanup work is progressing adequately. An example of other
information would be a web page managed by the other party that provides periodic site
cleanup progress updates to the public.
OCA Completions - An Other Cleanup Activity completion applies to sites in the active
site inventory and is defined as either: 1) the date EPA obtains or receives documentation
from the non-EPA party that the site has been addressed in accordance with all applicable
standards (i.e., determination that cleanup was successfully completed or that cleanup was
not necessary); 2) the date EPA determines remedial-type work will not be completed by
the non-EPA party (e.g., site referred back to EPA or otherwise returned to EPA for
evaluation of other cleanup approaches); or 3) the date EPA determines, based on
documentation from the non-EPA party, that sufficient progress related to needed
remedial-type work is being made such that the site should be archived from the SEMS
active site inventory since the site is not considered a likely NPL candidate. The date the
documentation is received or determination is made is entered into SEMS as the finish date
of the OCA.
The minimum documentation required to record a determination that cleanup was
successfully completed at a site in the active site inventory is a close-out report or
equivalent document submitted by the non-EPA party indicating no further remedial
cleanup is needed. A finish date for the OCA activity and a NFRAP qualifier should be
entered into SEMS, and the site can be archived if no further Superfund interest exists. In
cases where EPA, states, tribes, municipal governments or other federal agencies decide to
perform a site reassessment or other remedial site assessment to confirm no further
Superfund interest is warranted, a finish date should be added to the OCA activity in SEMS
with a lower or higher priority qualifier and the appropriate site reassessment or other
remedial assessment activity should be added to the site schedule in SEMS.
Minimum documentation required to record a determination that remedial-type work will
not be completed by the non-EPA party is a signed document from the non-EPA party
stating work will not be completed. In cases where a signed document is not available from
the other party, EPA shall, at a minimum, submit a signed document to the non-EPA party
stating EPA is resuming an active role in pursuing additional remedial assessment and/or
an alternative cleanup approach. A finish date for the OCA activity can be entered into
SEMS with a lower or higher priority or other further assessment-type qualifier.
Minimum documentation required to record a determination that sufficient progress has
been made such that a site in the Active site inventory is no longer considered a likely NPL
candidate is a progress report or equivalent document submitted by the non-EPA party
providing sufficient information for the region to make a NFRAP determination. A finish
date for the OCA activity and a NFRAP qualifier should be entered into SEMS, and the
site can be archived if no further Superfund interest exists.
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In SEMS, the OCA decision is documented by completing the Example Remedial Site
Assessment Decision, Form 9100-3 in SEMS, or an equivalent document.
Valid decisions to be recorded in SEMS upon completion of the OCA include:
For sites that require further remedial site assessment:
(H) - High - Higher priority for further assessment;
(L) - Low - Lower priority for further assessment;
(B) - Addressed as Part of Another Non-NPL Site; or
(G) - Recommended for HRS Scoring
For sites that do not require further remedial site assessment:
(N) - NFRAP - Site Does Not Qualify for the NPL Based on Existing Information;
(W) - Referred to Removal, No Further Remedial Assessment
For sites that require further remedial study/cleanup needed:
(A) - Addressed as Part of an Existing NPL site;
(DN) - Deferred to NRC;
(D) - Deferred to RCRA (Subtitle C);
(F) - Referred to Removal, Needs Further Remedial Assessment; or
(SA) - Superfund Alternative Agreement.
EXHIBIT VI. 12. OTHER CLEANUP ACTIVITY REQUIREMENTS
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Other Cleanup Activity (OCA)
State, Tribe,
State Oversight,
FF
Slarl: LPA reler^ die bile lo a blale. Uibal. or federal
environmental cleanup program or acknowledges the
site is being cleaned up by a non-EPA party.
Finish: Date EPA receives information that remedial-
type work has been or will not be completed.
Special Planning/Reporting Requirements:
Recording Final Assessment Decisions at Other Cleanup Activity Sites: Regions should
assign a Final Assessment Decision to those OCA sites where no further site assessment
work is anticipated beyond reviewing cleanup progress/closeout reports and related
information. If new information is received or conditions change such that further site
assessment is warranted (e.g., site reassessment), regions should delete the Final
Assessment Decision.
A No Further Federal Action (NFFA) designation can be assigned to sites with an ongoing
OCA activity and no further Superfund activity is anticipated based on discussions with
the other cleanup authority.
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OLEM Directive 9200.3-153
For existing OCA actions that do not meet the current SPIM definition, an Action Anomaly
Code shall be recorded at the OCA action as follows:
Other Start Anomaly (OS) - use if only an actual start date has been recorded; or
Other Start and Completion Anomaly (OA) - use if both a start and finish date have
been recorded.
The following six steps can be entered under the Other Cleanup Activity to generically
capture the different cleanup phases a site may be undergoing:
1. Comprehensive Site Investigation;
2. Remedy Selection;
3. Design;
4. Construction;
5. Post-Construction Maintenance; and
6. Short Term Cleanup.
Step start and finish dates and lead codes are available for documenting the start and
completion of the different cleanup phases being conducted at non-NPL sites by non-EPA
parties.
The following qualifiers are available for these activities:
(H) - High - Higher priority;
(L) - Low - Lower priority; and
(Blank) - No qualifier specified.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. Changes to the non-NPL status should be communicated
to appropriate state staff and to tribes with a known interest in the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
j. Formal State Deferral
Activity Definition:
State Deferral is an administrative mechanism enabling states and tribes, under their own
laws, to respond at sites in the SEMS inventory that EPA would otherwise not soon address.
Under the State Deferral program, EPA anticipates that responses may be quick and
efficient, yet still be protective of the environment and of communities' rights to participate
in the decision-making process. Refer to the guidance on Guidance on Deferral of NPL
Listing Determinations While States Oversee Response Actions, OSWER 9375.6-11, May
1995 for additional information on this program.
Accomplishment Definition:
State Deferral Starts - The state deferral process start is defined as the date when the
regional Superfund program director and the state program director sign a document
deferring the site to the state under the terms established in the deferral guidance. A State
July 31,2017
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OLEM Directive 9200.3-153
Deferral (AQ) action at Operable Unit 00 must be recorded in SEMS. State deferrals are
applicable only to non-Federal Facility sites that are not on the NPL.
State Deferral Completions. The state deferral completion is defined as either: 1) the
signature date of a formal regional document confirming that the deferral has been
completed successfully, or terminating the deferral agreement; or 2) 90 days after the date
EPA receives state certification that the deferral has been completed. The outcome
(Qualifier) of the state deferral must be entered with the finish date.
Valid decisions (Qualifiers) must be recorded in SEMS upon completion of the state
deferral. Please refer to exhibit VI.3 for a list of valid qualifiers for this activity and a
description of each qualifier.
EXHIBIT VI. 13. STATE DEFERRAL REQUIREMENTS
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State Deferral
State
Start: Document deferring the site to the state. Sisned
by regional Superfund program director and state
program director.
Finish: 1) Formal reeional document confirming that the
deferral has been completed successfully, or terminating
the deferral agreement; or 2) state certification that the
deferral has been completed.
Special Planning/Reporting Requirements:
When the state deferral is completed, users should also enter an anomaly code of SD (State
Deferral) on the Work Package Info tab in SEMS.
Although not required, six activities can be entered for the State Deferral activity to
generically capture the different cleanup phases a site may be undergoing. These steps
include:
1. Comprehensive Site Investigation;
2. Remedy Selection;
3. Design;
4. Construction;
5. Post-Construction Maintenance; and
6. Short Term Cleanup
Start and finish dates are available for documenting the start and completion of the different
cleanup phases being conducted at non-NPL sites by non-EPA parties.
Actual start and finish dates are required. Sites successfully completing the deferral process
are eligible for archiving (removal) from the SEMS inventory. Formal State Deferral starts
and completions are program measures.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
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OLEM Directive 9200.3-153
the system will ask the user to confirm or change this value as appropriate. Changes to the
non-NPL status should be communicated to appropriate state staff and to tribes with a
known interest in the site in a timely manner.
Data entry timeliness practices are important to obtain all accomplishments. See section
VI.A.4 above for details.
k. NPL Listing Activities
Activity Definition:
The NPL is a list of national priorities among the known or threatened releases of hazardous
substances, pollutants, or contaminants throughout the United States and trust territories.
There are three mechanisms for placing sites on the NPL for possible remedial action:
A site may be included on the NPL if it scores sufficiently high on the HRS. The
HRS serves as a screening device to evaluate the relative threat that uncontrolled
hazardous substances pose to human health or the environment. As a matter of
agency policy, those sites that score 28.5 or greater on the HRS are eligible for the
NPL.
Each state may designate a single site as its top priority to be listed on the NPL,
regardless of the HRS score.
Certain sites may be listed regardless of their HRS score, if all of the following
conditions are met:
i. The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S.
Public Health Service has issued a health advisory that recommends
dissociation of individuals from the release; and
ii. EPA determines that the release poses a significant threat to public health;
and
iii. EPA anticipates that it will be more cost-effective to use its remedial authority
than to use its removal authority to respond to the release.
Accomplishment Definition:
Proposed NPL Listing - The process of proposing a site for placement on the NPL is
complete when a Proposed Rule proposing the site to the NPL is published in the Federal
Register.
Removal of Proposed NPL Listing - The process of removing a previous proposal to list a
site on the NPL begins and simultaneously ends when a notice announcing the removal of
the site from NPL proposal is published in the Federal Register (typically published in a
regularly scheduled NPL proposed rule). The removal of a previous proposal to list a site
may be based on criteria outlined in the Guidelines for Withdrawing a Proposal to List a
Site on the NPL (11/12/2002) or may be based on documented deferral or referral to
another cleanup authority. SPIM section VI.A.9 contains a description of cleanup
alternatives. Sites removed from proposal to the NPL are assigned an NPL Status value of
'Removed from List of Proposed NPL Sites', database code = R.
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OLEM Directive 9200.3-153
FinalNPL Listing - The Final NPL listing for a site is complete when a Final Rule adding
the site to the NPL is published in the Federal Register.
Withdrawn from the Final NPL - The process of withdrawing a site from the NPL is
complete when a Final Rule withdrawing the site is published in the Federal Register.
EXHIBIT VI. 14. NPL LISTING REQUIREMENTS
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NPL Listing Proposed
EPA
Proposed Rule proposing the site to the NPL published
in the Federal Register.
NPL Listing Removed from
Proposed
Notice of the removal published in the Federal Register.
NPL Listing Final
Final Rule adding the site to the NPL published in the
Federal Register.
NPL Listing Withdrawal of
Final
Final Rule withdrawing the site published in the Federal
Register.
Special Planning/Reporting Requirements:
HQ will update the following SEMS data when Proposed and/or Final NPL rules are
published in the Federal Register:
SEMS Site Name;
Federal Register Site Name (for historical record keeping purposes should the
SEMS site name change);
NPL listing activities (Proposed NPL Listing in Federal Register, Removed from
Proposed NPL Listing in Federal Register, Final NPL Listing in Federal Register,
and Withdrawal of Final NPL Listing in Federal Register;
NPL listing activity finish date and performance lead of EPA In-House;
The NPL Status of 'Proposed for NPL (P)', 'Removed from proposed NPL (R)',
'Currently on Final NPL (F)', or 'Withdrawn from NPL (W)';
Federal Docket Management System (FDMS) number, if not already assigned;
The FAD Date will be added to the site and any associated child sites using the date
of NPL proposal (this automatically checks the FAD box);
The Eligible Response Site (ERS) Exclusion will be unchecked at the site and any
associated child sites (when proposed);
The Non-NPL Status and date fields will be deleted (when proposed);
The Federal Register date;
The Federal Facility status; and
Location data updates include latitude/longitude, street address, city, county and
zip code.
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OLEM Directive 9200.3-153
VI.A.9 Cleanup Alternatives
The Superfund remedial process begins once sites are brought to the attention of the
Superfund remedial site assessment program. As the EPA uses all available tools to ensure the
protection of human health and the environment, various avenues for site cleanup are evaluated
during remedial site assessment to determine which is the most appropriate to meet site cleanup
needs.
In addition to determining whether placing a site on the National Priorities List is the most
efficient option to achieve site cleanup, the EPA evaluates a number of other options for addressing
site issues. Below are descriptions of each of these site cleanup options.
a. Referral to EPA Removal
Removal actions are quick responses to immediate threats from hazardous substances in
order to eliminate dangers to the public. Typical situations requiring removal actions
include chemical fires or explosions, threats to people from exposure to hazardous
substances, or contamination of drinking water supplies. Types of removal actions include
removing and disposing of hazardous substances, constructing a fence or taking security
precautions to limit human access to a site, providing a temporary alternative water supply
to local residents when drinking water is contaminated, and temporarily relocating area
residents if necessary.
Upon completion of a remedial assessment activity, the region may determine that a time-
critical, non-time critical (NTC), or other activity from the EPA removal program is
warranted. Regional Site Assessment Managers (SAMs) should coordinate and consult
with the Region's removal program when they learn of either sampling results with
consistent exceedances of removal program screening values or other information
indicating the site may pose an imminent threat to human health or the environment. See
the OLEM memo Remedial and Removal Program Coordination Regarding Potential
Imminent Threats to Human Health or the Environment August 11, 2016 for more
information. If the removal program agrees to conduct any activity, there are two different
decisions used to track the referral of a site to the removal program. The decisions depend
upon whether or not the region believes additional remedial assessment will still be needed
following completion of work by the removal program. The two decisions are self-
explanatory and include:
1. Referred to Removal, Needs Further Remedial Assessment (action qualifier)
2. Referred to Removal-Further Assessment Needed (non-NPL status)
Regions should monitor those sites referred to removal that need further remedial
assessment to ensure additional remedial assessment is not overlooked once removal work
is complete.
Sites with Removal-Only or Referred to Removal, No Further Remedial Assessment
designations will be excluded from the backlog of sites needing remedial assessments.
Headquarters will maintain a tracking report in SEMS to help Regions monitor assessed
sites with Referred to Removal decisions.
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b. Deferral to RCRA
Upon completion of remedial assessment activity, the region may determine that the site is
excluded from Superfund consideration under policy, regulatory, or legislative restrictions
and defer it to the RCRA program. It is the EPA's policy to defer placing sites on the NPL
that can be comparably addressed under RCRA Subtitle C corrective action authorities;
however, there are certain exceptions to this policy (e.g., uncooperative or bankrupt
responsible party). See the following documents for additional information: Interim
Guidance in Response to the OIG Audit "Superfund Sites Deferred to RCRA OSWER
9200.1-31P, December 1999 and Memo Regarding Coordination between RCRA
Corrective Action Closure and CERCLA Site Activities, September 1996. RCRA sites not
subject to Subtitle C can continue to be considered for NPL listing.
c. Deferral to Nuclear Regulatory Commission (NRC)
Upon completion of remedial assessment activity, the region may determine that the site is
excluded from Superfund consideration under policy, regulatory, or legislative restrictions
and defer it to the NRC cleanup program. It is EPA's policy not to list releases of source,
by-product, or special nuclear material from any facility with a current license issued by
the NRC because the NRC has full authority to require cleanup of releases from such
facilities. If a facility is licensed by the NRC, but the NRC does not have authority to
require cleanup, the site will not be deferred from NPL listing.
d. Other Cleanup Activity
Sites that are not on EPA's National Priorities List that have completed the Superfund
remedial assessment process and are considered to be NPL-caliber (i.e., existing
information indicates that the site may achieve an HRS score >28.5) and determined to
need remedial-type cleanup attention may be addressed under a state, tribal, municipal, or
other federal agency environmental cleanup program. EPA refers to these sites as 'OCA'
sites. Remedial-type work can include comprehensive site investigations in support of
making cleanup determinations, interim cleanup actions, removals or final cleanup
decisions, including decisions that cleanup is not required. At these sites, there is no
continuous and substantive involvement on the part of EPA's site assessment program
while remedial-type work is ongoing, such as routinely reviewing work products and other
documents and providing comments.
EPA performs a monitoring role at OCA sites in the active site inventory by annually
checking in with state, tribal, municipal and other federal agency partners on the status of
cleanup work at these sites. Should conditions change such that federal Superfund
involvement becomes necessary, EPA will work with these partners to determine an
alternative approach for addressing a site.
EPA's SEMS inventory contains limited information on these sites. EPA posts OCA sites
in the active site inventory on the State, Tribal and Other Federal Agency Superfund
Cleanups website at:
http://www.epa.gov/superfund/state-tribal-and-other-federal-agencv-superfund-cleanups.
The information on this website includes a summary cleanup status designation for each
site. EPA staff will generally need to forward public inquiries for specific cleanup
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information at non-Federal OCA sites to state, tribal, municipal or other government
partner staff. For more facts about Federal Facilities, EPA staff can refer requestors to
EPA's Federal Electronic Docket web site at https://www.epa.gov/fedfac/fedfacts or to the
appropriate federal agency for more information.
The following definitions are provided to assist EPA staff in making consistent OCA status
designations across regions:
Other Cleanup Activity: State-Lead Cleanup
A state agency with environmental responsibilities has requested or agreed to pursue a non-
NPL cleanup under a state government managed cleanup program such as a state Superfund
or other enforcement program, a State Voluntary Cleanup program, or other program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
Other Cleanup Activity: Tribal-Lead Cleanup
A tribal government program with environmental responsibilities has requested or agreed
to pursue a non-NPL cleanup under a tribal government managed cleanup program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
Other Cleanup Activity: Municipal/Other Government-Lead Cleanup
A municipal or other local government program with environmental responsibilities has
requested or agreed to pursue a non-NPL cleanup under a municipal or other local
government managed cleanup program with sufficient oversight ability to ensure progress
is effectively monitored and communicated annually to the EPA.
Other Cleanup Activity: Federal Facility-Lead Cleanup
A non-EPA federal agency with environmental responsibilities has requested or agreed to
pursue a non-NPL cleanup under their own federally mandated cleanup program with
sufficient oversight ability to ensure progress is effectively monitored and communicated
annually to the EPA.
The four types of OCA designations are tracked in the Non-NPL Status column in SEMS.
Sites with these designations must also have an OCA activity added to their project
schedule in SEMS. The schedule activity enables EPA to track the start and finish of OCA
work as well as progress made while OCA work is underway.
The OCA cleanup option does not apply to sites being addressed under RCRA Subtitle C
corrective action. Subtitle C sites should use the RCRA deferral cleanup option.
e. Formal State Deferral
State Deferral is an administrative mechanism enabling states and tribes, under their own
laws, to respond at sites in the SEMS inventory that EPA would otherwise not soon address.
Under the State Deferral program, EPA anticipates that responses may be quick and
efficient, yet still be protective of the environment and of communities' rights to participate
in the decision-making process. Refer to the guidance on Guidance on Deferral of NPL
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Listing Determinations While States Oversee Response Actions. OSWER 9375.6-11, May
1995 for additional information on this program.
f. Superfund Alternative Approach (SAA)
When a liable Potential Responsible Party (PRP) demonstrates it is viable and cooperative,
EPA regional offices, at their discretion, may enter into a SAA agreement with the PRP to
facilitate the cleanup of a site. The SAA uses the same investigation and cleanup process
and standards that are used for sites listed on the NPL. The SAA is generally the Agency's
preferred enforcement approach for CERCLA non-NPL sites that are NPL-caliber, where
feasible and appropriate.
Threshold eligibility criteria for using the SAA are:
site contaminants are significant enough that the site would be eligible for listing
on the NPL (i.e., the site would have a HRS > 28.5);
a long-term response (i.e., a remedial action) is anticipated at the site; and
there is a willing, capable PRP who will negotiate and sign an agreement with EPA
to perform the investigation or cleanup.
EPA determines if the SAA is appropriate at a particular site. (A PRP may request that a
site be evaluated for the SAA.) If a site meets criteria 1 and 2 above, EPA and the PRP
may choose to negotiate an SAA agreement. The SAA agreement is equivalent to an
agreement negotiated at an NPL site.
Potentially responsible parties, or a subset of PRPs, may choose not to negotiate an SAA
agreement. In that case, the site would proceed to cleanup on a different path.
The following transparency and accountability requirements apply to sites using the SAA:
Prior to starting negotiations for a SAA agreement, the regions should bring the site
to the NPL-listing panel for discussion regarding site characteristics (including
adequate documentation supporting a HRS score of > 28.5) and planned use of the
SAA. This is the same panel that reviews sites that the regions propose to list on
the NPL. Adequate HRS documentation consists of a full HRS package prepared
by the region. The HRS package does not have to go through the EPA HQ QA
process.
The regions should notify the public of its intent to use CERCLA authority at the
site.
The regions should use SEMS to track the same progress milestones for sites with
SAA agreements as those that are tracked for PRP-lead sites listed on the NPL.
Final SAA agreements will be reviewed at EPA HQ and catalogued on EPA's SAA
website so that all interested parties can know what sites have a SAA agreement.
The regions will develop and maintain on the internet the same site-specific fact
sheets that are developed for sites listed on the NPL.
EPA will report annually on progress at sites using the SAA.
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EPA will maintain and update the S AA web pages as a source of public information
on the approach. SAA web pages include a list of sites with SAA agreements, links
to their site-specific fact sheets, and links to related information.
The SEMS includes a Special Interest code of 'Site with SA Agreement per Office of
Enforcement and Compliance Assurance (OECA) Policy' to track and report
accomplishments at sites using the SAA. Regions are responsible for ensuring the code
comports with the list of sites posted on the SAA website. For historical reporting purposes,
this code should remain in place once properly added to SEMS. The code should not be
deleted regardless of the outcome of the SAA unless it was originally added due to a data
entry error.
EPA's OECA is responsible for reviewing final SAA agreements and maintaining the SAA
website. SAA guidance and the latest list of sites with SAA agreements can be found on
the Superfund Alternative Approach website at:
https://www.epa.gov/enforcement/superfund-alternative-approach
g. NPL Listing
The NPL is a list of national priorities among the known or threatened releases of hazardous
substance, pollutants, or contaminants throughout the United States. The list, which is
appendix B of the NCP (40 CFR part 300), was required under Superfund law. The NPL
is required to be revised annually and it is intended primarily to guide EPA in determining
which sites warrant further investigation to assess the nature and extent of public health
and environmental risks associated with a release of hazardous substances, pollutants or
contaminants. Sites with HRS scores of 28.5 or greater are eligible for placement on the
NPL. Only non-Federal Facility sites on the NPL are eligible for Superfund-financed
remedial actions.
NPL listing should be used when it is believed to be the best approach for addressing a site.
EPA's 1992 directive, Guidance on Setting Priorities for NPL Candidate Sites, OSWER
9203.1-06, October 1992, provided general factors that should be considered in the risk-
based decision making process for choosing sites to propose for listing pursuant to section
105(a)(8)(B) of CERCLA.
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Superfund Program Implementation Manual
FY 18
Chapter VII: Removal Program
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Chapter VII: Removal Program
Table of Contents
VILA Protect Human Health and the Environment VII-1
VII.A. 1 Overview of Removal Actions Target and Measures VII-1
VII.A.2 Removal Program Performance Activity Leads VII-1
VII.A.3 Data Entry Timeliness VII-2
VII.A.4 Removal Initiation VII-2
VII.A.5 Action Memorandum VII-2
VII.A.6 Removal Action VII-3
List of Exhibits
Exhibit VII. 1. Removal Program Activities VII-1
Exhibit VII.2. Action Memorandum Requirements VII-2
Exhibit VII.3. Removal Action Requirements VII-3
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CHAPTER VII: REMOVAL PROGRAM
VILA PROTECT HUMAN HEALTH AND THE ENVIRONMENT
Protection of human health and the environment remains the highest priority for the
Superfund program. The Environmental Protection Agency (EPA) will continue to address the
worst sites first while balancing the need to complete response actions at sites. The Agency will
ensure that available resources are disbursed in a fiscally sound manner. Maximizing Potentially
Responsible Party (PRP) involvement remains a high priority.
VII.A.1 Overview of Removal Actions Target and Measures
The following pages contain, in pipeline order, the definitions of removal program targets
and measures. Federal agencies are delegated removal authority by EO 12580 and may be
reviewed by EPA in accordance with established Federal Facility Agreements. For information
on reporting removals at federal facilities, see Chapter IX, Federal Facility Program. Exhibit VII. 1
displays the reporting hierarchy of removal activities (RV) defined in this chapter.
EXHIBIT VII. 1. REMOVAL PROGRAM ACTIVITIES
Aeli\ ilj
I'lMcrnnl Program
Reporting
Internal Program
Reporting
Action Memos
Headquarters (HQ)
Removal Starts
HQ
Removal Completions
Annual
Commitment
System (ACS),
Strategic Plan
Target
Note: For each activity, the definitions and reporting requirements in this chapter specify applicability with
respect to National Priorities List (NPL) status, activity lead, and actual start and finish dates.
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14-FY18 Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.
VII.A.2 Removal Program Performance Activity Leads
As EPA transitioned to its new tracking and reporting system, the Superfund Enterprise
Management System (SEMS), in FY 2014, site related activities were modified to more accurately
track the actual work performed by EPA, states and tribes on remedial pipeline activities rather
than the source of funding. This was done at the activity name level, identifying different sub-
activities for government conducted or PRP conducted activities (where the government performs
oversight of the PRP) and by creating two new lead codes, Performance lead and Financial lead,
to replace the Comprehensive Environmental Response, Compensation, and Liability Information
System (CERCLIS) lead code, which was often used to identify the funding source for activities.
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For example, a Removal in the previous Superfund Program Implementation Manual
(SPIM) could be Fund-financed using the F-, TR-, S-lead actions, or PRP-financed using the SA-
, SS-, or ST-lead actions. The lead codes identified both a combination of who conducted the action
as well as how it was financed. Similarly, the PRP RV described an RV conducted by a PRP, but
it used a different set of lead codes. EPA's approach now uses Government Removal to denote a
removal performed by a government entity, though not a federal facility, which has its own activity
and its own Performance lead code. The Performance lead code identifies whether EPA, a state,
or a tribe is conducting the work. A PRP Removal is removal work performed by the PRP, and the
Performance lead code identifies whether EPA, a state, or a tribe is performing oversight of the
work done by the PRP. Separate financial lead codes in SEMS are used to identify the funding
source of any government or PRP-performed activityFund, Special Account, or Mixed Sources.
Superfund financial management is addressed in chapter III of this document and Financial Lead
codes are discussed in more detail in section IV.D of this document.
VII.A.3 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C. 1 of this document for additional information about
data quality and timeliness standards.
VII.A.4 Removal Initiation
Removal Initiation is the process by which a potential hazardous waste site is entered into
SEMS inventory for removal response activities. All sites considered removal only sites should
have a removal initiation date entered in SEMS as soon as the site is added. Entry of the removal
initiation date begins the removal process and distinguishes it from the National Priorities List
(NPL) assessment process. If the site needs to go through the NPL assessment process, then a Site
Discovery date is required (see chapter VI, titled Remedial Site Assessment for further information
on sites needing remedial assessment work).
VII.A.5 Action Memorandum
An Action Memorandum is developed to document decisions for removal activities at NPL,
non-NPL, and Superfund Alternative sites. Decisions are documented in an approval memorandum
and authority is granted when the action memorandum is signed by the appropriate regional
official. Subsequent Action Memos may be signed during the course of a removal action to
document ceiling increases, scope of work changes, 12 month exemptions, and $2M exemptions.
Regions will not receive credit for subsequent Action Memos.
EXHIBIT VIL2. ACTION MEMORANDUM REQUIREMENTS
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GOVT Signs Action Memo
EPA, Tribe,
State, PRP
Start/Finish: Action Memo sisned bv the aDDroDriatc
regional official
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Special Planning/Reporting Requirements:
To receive credit for Action Memos, the Action Memo activity must be linked to the
appropriate Removal Action.
Specific information must be added to the appropriate tabs within the Edit Activity
information screens within the SEMS Site Management (SEMS-SM) Module. This includes
removal activity details, media, response technology, Action Memo type, and ceiling costs. All
tabs for data entry are found on the SEMS screen upon selection of the applicable Removal Action.
To ensure data completeness in documenting removal actions requiring senior
management signatures on Action Memos to allow an exemption to the $2M cost ceiling, these
Action Memos will be uploaded into SEMS per the requirements outlined in Chapter XIII.
VII.A.6 Removal Action
Removal actions are responses performed at NPL and non-NPL sites that eliminate or
reduce threats to public health or the environment from the release, or potential release, of
hazardous substances or pollutants or contaminants that may pose an imminent and substantial
danger to public health or welfare. These risk reduction activities can be conducted as emergency,
time-critical, or non-time critical removal actions. The appropriate use of special account funds
for removal actions is provided in the Guidance on the Planning and Use of Special Account
Funds, OSWER 9275.1-20, September 2010.
Classic Emergencies: Removals where the release requires that on-site activities be
initiated within hours of the lead agency's determination that a removal action is
appropriate. If the work is ongoing beyond a year, the removal type must be changed to
Time-Critical or Non-Time-Critical.
Time-Critical: Removals where, based on the site evaluation, the lead agency determines
that a removal action is appropriate and that there is a period of less than six months
available before on-site activities must be initiated.
Non-Time Critical: Removals where, based on the site evaluation, the lead agency
determines that a removal action is appropriate and that there is a planning period of more
than six months available before on-site activities must begin. The lead agency will
undertake an Engineering Evaluation/Cost Analysis (EE/CA) for non-time critical
removals. These removal actions are typically led by the remedial program or funded by
PRPs.
EXHIBIT VII.3. REMOVAL ACTION REQUIREMENTS
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Work Package
Ac(i\ i(\/\lik's(oiK'
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GOVT Removal
EPA, Tribe,
State
Start: Initial Pollution Rcoort (POLREP) documenting
date of mobilization to the site for the start of removal
work specified in the Action Memo
Finish: Final POLREP documenting the completion date
when all work specified in the Action Memo has been
completed and the OSC deems that no further
mobilization to the site is anticipated.
PRP Removal with
Enforcement Instrument
EPA Oversight
Start: Initial POLREP documenting date of mobilization
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: For actions where the final POLREP occurred
prior to FY18, the date of Notice of Completion
document to the PRPs will be the milestone date.
Otherwise, final POLREP documenting the completion
date where the OSC deems oversight has been
completed.
EPA Oversight
(Special
Account
Financed)
Start: Initial POLREP documenting date of mobilization
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: For actions where the final POLREP occurred
prior to FY18, the date of Notice of Completion
document to the PRPs will be the milestone date.
Otherwise, final POLREP documenting the completion
date where the OSC deems oversight has been
completed.
State
Oversight,
Tribe
Oversight
Start: Initial POLREP documenting date of mobilization
to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: Final POLREP documenting the completion date
and the date that the state certified that the PRPs have
fully met the terms of the enforcement instrument and
have completed all work specified in the Action Memo
PRP Emergency Removal
with no Enforcement
Instrument
EPA Oversight
Start: Initial POLREP documenting EPA's role in
conducting oversight of the PRP-lead action and date that
the PRPs mobilized to the site to start the removal work
Finish: Final POLREP documenting the date that EPA
along with the Unified Command / Incident Command
have determined that the emergency has been stabilized
(completion date)
Special Planning/Reporting Requirements (Starts):
1. A Preliminary PRP Search is required in order to start the first non-emergency Government
lead action at a site. The completion date of the PRP search must be entered as the
Preliminary PRP Search Finish Milestone date.
2. To receive credit for PRP removal action starts with an enforcement settlement, the date of
the following applicable enforcement instrument must be entered in SEMS as well as all
required data elements for the enforcement instrument identified in Chapter X:
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The date the Administrative Order on Consent (AOC) was signed by the PRPs and
the designated regional official; or
The date the PRPs provide notice of intent to comply with a Unilateral
Administrative Order (UAO) for a PRP-lead removal signed by the designated
regional official; or
The date the Regional Administrator signs the memorandum transmitting the
Consent Decree (CD) to the Department of Justice (DOJ) or HQ; or
The date a judgment was signed by the federal judge; or
The date the state enforcement instrument was signed by the appropriate state
official.
The removal must also be associated to the appropriate enforcement instrument.
3. For both Government and PRP removals, the Response Type (Critical Indicator) field must
be entered into the SEMS-SM Module.
Program policy remains enforcement first. HQ encourages the regions, in order to have the
ability to bill for oversight costs, to use enforceable instruments for PRP-Lead time-critical and
non-time critical removals.
PRP Removals with No Enforcement Instrument (PJ): A PRP Removal With No
Enforcement Instrument should be a response action that:
Is classified as an Emergency Response (i.e., not a Time Critical or Non-Time-Critical
Removal)
Involves the mobilization of an EPA On-Scene Coordinator (OSC) to the incident site
Involves the release or threat of release of a hazardous substance, pollutant or contaminant
Involves EPA oversight or participation in the oversight (i.e., unified command) of an
identified PRP that is conducting clean-up activities
OSCs and regional removal programs should make the determination of when an
emergency response is considered complete. In cases where a PJ response does not meet these
criteria, or is not completed within 30 days of initial mobilization (not including waiting for
disposal or administrative delays), the region should contact their Office of Emergency
Management (OEM) HQ regional coordinator to discuss the possible use of an enforcement
instrument and to determine if the response should be counted as a PJ or another activity (e.g.,
Time-Critical PRP Removal with Enforcement Instrument) for Government Performance and
Results Act (GPRA) credit.
A PRP-financed emergency removal action with no enforcement instrument is considered
complete when the OSC, in consultation with the unified command/incident command system if
applicable, has determined that the emergency is stabilized (as documented in the Final POLREP).
Special Planning/Reporting Requirements (Finish):
The removal program requires the actual start and finish dates to be entered for removal
completions. The data elements listed below must also be entered into SEMS for Government and
PRP Removal completions. If these fields are left blank the removal will not be captured on reports
and will not count towards the GPRA annual performance goal.
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Removal Work Package Name and Sequence Number
Performance Lead
Response Type (Critical Indicator)
Start Date
Completion Date
Media Name
Media Type
NPL / Non-NPL
Site Type / Subtype
Action Qualifier (Stabilized / Cleaned Up)
Volume
Contaminants
Contaminants of Concern
Latitude / Longitude, including;
ฆ Collection date
ฆ Latitude (decimal)
ฆ Longitude (decimal)
ฆ Collection Method
ฆ Reference Datum
ฆ Source Map Scale
ฆ Verification Method
ฆ Reference Point
ฆ Tribal Government Ownership
Contaminants of Concern should be limited to those contaminants that are driving the
removal action (maximum 5).
The Action Qualifier should be determined using the following definitions:
Stabilized: Immediate threats to human health and the environment have been
mitigated.
Cleaned Up: Clean-up criteria in the action memo have been met.
Common Exceptions: An entry of '0' (zero) for volume is valid when no volume
information for contaminated material is reported by EPA or the PRP, or if EPA activities include
only air monitoring or groundwater sampling. Specific cases for other possible exceptions will be
evaluated as needed.
Temporary demobilization and temporary storage on-site are not considered completions,
unless temporary storage is the only action specified in the Action Memorandum to mitigate threats
to public health, welfare, and the environment. Likewise, temporary off-site storage of hazardous
substances at a Treatment, Storage, and Disposal (TSD) facility other than the facility of ultimate
disposal is a continuation of the action, not a completion, unless temporary off-site storage at a
TSD is the only action specified in the Action Memorandum. In addition, a Removal would not be
considered complete if: a) The Action Memorandum requires the EPA contractor to monitor the
hazardous substances stored on-site or additional contractor expenditures are anticipated; or b)
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Hazardous substances are being stored at an off-site facility other than the ultimate TSD facility
required in the Action Memorandum.
Regions will receive credit in the management of the Superfund program for completion
of a removal action even though the removal action itself may not be complete for cost recovery
statute of limitations purposes. Agency policy for statute of limitations purposes provides that a
removal action is not complete until EPA has made a final decision on whether any additional
cleanup activity is required (and, if it is required, until EPA has both made a final decision on such
additional activity and has completed the design for that activity). The date found in the removal
action, actual finish column of a SEMS report is a programmatic measure only, and cannot be
relied upon to create any rights, substantive or procedural, enforceable by any party in litigation
with the United States. EPA reserves the right to change such data at any time without public
notice.
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Superfund Program Implementation Manual
FY 18
Chapter VTII: Remedial Program
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Chapter VTII: Remedial Program
Table of Contents
VIII. A Remedial Program Targets and Measures VIII-1
VIII.A.1 Remedial Program Targets and Measures VIII-1
VIII.A.2 Remedial Program Performance Leads VIII-3
VIII.A.3 Data Entry Timeliness VIII-3
VIII.A.4 Remedial Program Definitions VIII-3
Part I. Remedy Selection VIII-3
a. Remedial Investigation VIII-3
b. Feasibility Study VIII-3
c. Combined RI/FS VIII-4
d. Treatability Studies VIII-5
e. Proposed Plan Comment Period VIII-5
f. Non-Time Critical Removal Action VIII-6
g. Remedial Decision Documents VIII-7
Part II. Remedial Implementation VI11-8
h. Remedial Design VIII-8
i. Start of On-Site Construction VIII-11
j. Operational and Functional (O&F) VIII-12
k. Final Inspection by EPA VIII-14
1. Construction Completion VIII-15
Part III. Post Construction Completion VI11-15
m. long Term Response Action VIII-15
n. Operation and Maintenance (O&M) VIII-16
o. Cleanup Goals Achieved VIII-18
p. Groundwater Monitoring VIII-18
q. NPI Site Completions VIII-19
r. Five Year Reviews VIII-19
s. Sitewide Ready for Anticipated Use (SWRAU) VIII-22
t. Partial NPI Deletion VIII-23
u. Final NPI Deletion VIII-24
Part IV. Cross Program Revitalization Measures (CPRM) VIII-25
v. Protective for People Under Current Conditions (PFP) VIII-25
w. Ready for Anticipated Use (RAU) VIII-26
x. Cross Program Revitalization Measures (CPRM) Indicators VIII-2 7
Part V. Environmental Indicators VI11-29
y. Human Exposure Under Control VIII-30
z. Migration of Contaminated Groundwater Under Control VIII-35
aa. Population Protected. VIII-38
bb. Cleanup Volume VIII-39
Part VI. Support Activities VIII-39
cc. Support Agency Assistance VIII-39
dd. Technical Assistance VIII-40
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List of Exhibits
Exhibit VIII. 1. Remedial Program Activities VIII-1
Exhibit VIII.2. RI, FS, and Combined RI/FS Requirements VIII-4
Exhibit VIII.3. Treatability Study Requirements VIII-5
Exhibit VIII 4 Proposed Plan Comment Period Requirements) VIII-6
Exhibit VIII.5. Non-Time Critical EE/CA and NTCRA Requirements VIII-6
Exhibit VIII.6. Remedial Action Decision Document Requirements VIII-8
Exhibit VIII.7. Remedial Design Requirements VIII-8
Exhibit VIII.8. Remedial Action Requirements VIII-10
Exhibit VIII.9. Start of On-Site Construction Requirements VIII-12
Exhibit VIII. 10. Operational and Functional Requirements VIII-13
Exhibit VIII. 11. Final Inspection by EPA Requirements VIII-14
Exhibit VIII. 12. Construction Completion Requirements VIII-15
Exhibit VIII. 13. LTRA Requirements VIII-16
Exhibit VIII. 14. Operations & Maintenance Requirements VIII-17
Exhibit VIII. 15. Cleanup Goals Achieved Requirements VIII-18
Exhibit VIII. 16. Groundwater Monitoring Requirements VIII-18
Exhibit VIII. 17. NPL Site Completions Requirements VIII-19
Exhibit VIII. 18. Five Year Review Requirements VIII-20
Exhibit VIII. 19. Partial NPL Deletion Requirements VIII-23
Exhibit VIII.20. NPL Deletion Requirements VIII-24
Exhibit VIII.21. PFP/RAU Checklist Requirements VIII-27
Exhibit VIII.22. Human Exposure Evaluation Flowchart VIII-34
Exhibit VIII.23. Superfund Migration of Contaminated Groundwater Under Control Worksheet VIII-37
Exhibit VIII.24. Support Agency Assistance Requirements VIII-40
Exhibit VIII.25. Technical Assistance Requirements VIII-40
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OLEM Directive 9200.3-153
CHAPTER VIII: REMEDIAL PROGRAM
VIII. A REMEDIAI PROGRAM TARGETS AND MEASURES
VIII.A.1 Remedial Program Targets and Measures
As described in chapter I of this manual, the Superfund remedial program implements
numerous processes to determine the need for and to conduct response actions. These processes
include collecting data on sites to determine the eligibility for a Comprehensive Environmental
Response, Compensation and Liability Act (CERCLA) response, conducting or overseeing
investigations and studies to select remedies, designing and constructing or overseeing
construction of remedies and post-construction activities at non-Federal Facility (FF) sites. The
remedial program also includes technical and administrative support activities, redevelopment
functions, participation of states, tribes, and communities in cleanups, and enhancement of
response capabilities of states and tribes.
The following pages contain, in pipeline order, the definitions of remedial activities,
programmatic measures, and remedial project support activities. Exhibit VIII. 1 displays the
internal and external reporting hierarchy for the full list of remedial activities defined in this
chapter.
EXHIBIT VIIL1. REMEDIAL PROGRAM ACTIVITIES
Acli\ il\
l'l\lcrn;il I'mgrsim
Repnrlinii
InKTiiiil I'mgrsini
Reporting
Remedial Action Project Completion (RAPC)
Annual
Commitment
System (ACS)
Target
Construction Completion (CC)
ACS
Target
Migration of Contaminated Groundwater Under Control
(GMUC)
ACS
Target
Human Exposure Under Control (HEUC)
ACS,
Strategic Plan
Target
Sitewide Ready for Anticipated Use (SWRAU)
ACS,
Strategic Plan
Target
Remedial Investigation/Feasibility Study (RI/FS) (RI, FS,
Combined RI/FS)
Target
Decision Document (Record of Decision [ROD], ROD
Amendment, Explanation of Significant Differences [ESD],
Target
Remedial Design
Target
Five Year Review (FYR)
Target
Final National Priorities List (NPL) Deletion
Target
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Proposed Plan Comment Period
Measure
Engineering Evaluation/Cost Analysis (EE/CA)
Measure
Operational and Functional (O&F)
Measure
Long Term Response Action (LTRA)
Measure
Operation and Maintenance (O&M)
Measure
Groundwater Monitoring
Measure
Site Completion
Measure
Partial NPL Deletion
Measure
Remedial Action (RA) Contract Award
Headquarters (HQ)
Start of On-Site Construction
HQ
Final Inspection by EPA
HQ
Cleanup Goals Achieved
HQ
Acres Protective for People Under Current Conditions
Cross Program
Revitalization
Measure (CPRM)
HQ
Acres Ready for Anticipated Use
CPRM
HQ
Cleanup Volume
HQ
Treatability Study
Regional
Support Agency Assistance
Regional
Technical Assistance
Regional
For each activity, the definitions and reporting requirements in this chapter specify applicability with
respect to NPL status, activity performance lead, and actual start and finish dates.
For measures in italics: this edition of the SPIM includes a change in definition or requirements.
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14-FY18 Strategic Plan.
CPRM = Reported to external parties as part of Cross Program Revitalization Measures.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.
Regional = Tracked by regions only, primarily for financial management purposes.
Where noted in this document, specific activities may be applicable at non-National
Priorities List (NPL) sites with a Superfund Alternative Approach (SAA) settlement under the
Office of Enforcement and Compliance Assurance (OECA) SAA policy. Additional details on the
SAA category of sites can be found in chapter X, titled Enforcement. SAA sites should be
identified in Superfund Enterprise Management System (SEMS) using the Special Interest code of
'Site with SA Agreement per OECA Policy' in order to ensure accurate reporting.
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OLEM Directive 9200.3-153
VIII.A.2 Remedial Program Performance Leads
SEMS captures two aspects of activities, the entity that performs the work itself (e.g. EPA,
state, tribes, and PRPs) as well as the funding source for those activities. These aspects are captured
by a combination of the activity name, performance lead code, and the financial lead codes,
respectively. For example, EPA uses Government RI to denote a RI performed by a government
entity, though not a federal facility, which has its own activity and its own Performance lead code.
The Performance lead code identifies whether EPA, a state, or a tribe is conducting the work.
Similarly, a PRP RI is RI work performed by the PRP, and the Performance lead code identifies
whether EPA, a state, or a tribe is performing oversight of the work done by the PRP. Separate
financial lead codes in SEMS are used to identify the funding source of any government or PRP-
performed activityFund, Special Account, or Mixed Sources. Superfund financial management
is addressed in chapter III of this document and Financial Lead codes are discussed in more detail
in section IV.D of this document.
VIII.A.3 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C. 1 of this document for additional information about
data quality and timeliness standards.
VIII.A.4 Remedial Program Definitions
Part I. Remedy Selection
a. Remedial Investigation
The purpose of the RI is to collect data necessary to adequately characterize the site for the
purposes of developing and evaluating effective remedial alternatives. The RI provides
information to assess the risks to human health and the environment and to support the
development, evaluation, and selection of appropriate response alternatives.
The RI may be conducted alone, as part of a sitewide integrated Expanded Site
Investigation/Remedial Investigation (ESI/RI) assessment, or as a Combined Remedial
Investigation/Feasibility Study (RI/FS). The RI activity should only be added to SEMS
when the RI is conducted as a stand-alone activity.
b. Feasibility Study
The primary objective of a FS is to ensure that appropriate remedial alternatives are
developed and evaluated such that an appropriate remedy may be selected.
The FS may be conducted alone or as part of a Combined RI/FS. The FS activity should
only be added to SEMS when the FS is conducted as a stand-alone activity.
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c. Combined RI/FS
The purpose of the Combined RI/FS is to assess site conditions and evaluate alternatives
to the extent necessary to select a remedy.
Regions should not report a Combined RI/FS start if a separate RI and FS are being
conducted and have been reported. The RI/FS start and the RI start definition are the same.
The following exhibit describes the requirements to accomplish start and finish atNPL and
SAA sites for RI, FS and Combined RI/FS remedial pipeline activities.
EXHIBIT VIIL2. RI, FS, AND COMBINED RI/FS REQUIREMENTS
Work Package
Acli\ il\/Milestone*
Pi'i'loniiiiniT
Lead
Ac(i\ilWMik'slono Dale Kc(|iiimm-nls
Silo iniisl he iin MM. or SAA silt
Government RI; Government
FS; Government Combined
RI/FS
EPA, Tribe,
State
Start: Contract modification or work assienment/task
order signed by EPA contracting officer (CO); or
an Inter-agency Agreement signed by other federal
agency; or
Cooperative Agreement signed by Regional
Administrator or designee.
Finish: RI onlv - RI Rcoort siened bv aDDrooriatc
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, ESD) signed by appropriate
official
EPA in-house
Start: Date Memo to file documenting initial scomne
meeting signed by appropriate regional official;
Finish: RI onlv - RI Rcoort siened bv aDDrooriatc
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, ESD) signed by appropriate
regional official
PRPRI;
PRPFS;
PRP Combined RI/FS
EPA oversight
Start: Administrative Order on Consent (AOC): or
Notice of intent to comply with Unilateral
Administrative Order (UAO); or Memo transmitting
Consent Decree (CD) to the Department of Justice (DOJ)
or HQ - signed by Regional Administrator or designee
Finish: RI onlv - RI Rcoort siened bv aDDrooriatc
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, ESD) signed by appropriate
regional official
State
Oversight,
Tribe
Oversight
Start: State enforcement CooDcrativc Aerccmcnt: or
Superfund Memorandum of Agreement (SMOA); Tribal
Memorandum of Agreement (TMOA) or other
state/tribal/EPA agreement - signed by the appropriate
state and regional officials; or
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Work Paokajio
Ac(i\ ilWMiloslono
Perform;! ikv
Load
Aoli\ il\/\liloslono Dalo Ko(|iiiromonls
Memo li'aiisiiiilUiig CD lo HQ or DOJ signed by llie
appropriate regional official.
Finish: RI onlv - RI Rcoort siened bv aoorooriatc
regional official;
FS or Combined RI/FS - Remedy Decision document
(ROD, ROD amendment, ESD) signed by appropriate
regional official
Special Planning/Reporting Requirements:
If a subsequent GOVT-RI, GOVT-FS, GOVT Combined RI/FS is initiated without a new
obligation of funds, the start date as recorded in SEMS is defined as EPA's written approval
of the work plan for the subsequent activity
If a subsequent PRP-RI, PRP-FS, or PRP-Combined RI/FS is initiated under an amended
Administrative Order on Consent (AOC), Consent Decree (CD) state order, or comparable
state enforcement document, the start date as recorded in SEMS is the date the last state
official or Regional Administrator/designee signs the amendment. If a CD is amended, the
start date is the date the Regional Administrator signs the memorandum transmitting the
CD to the Department of Justice (DOJ) or Headquarters (HQ).
If a subsequent PRP-RI, PRP-FS, or PRP-Combined RI/FS is initiated without a new or
amended AOC, CD, state order, or other comparable state enforcement document, the start
date for the subsequent activity as recorded in SEMS is documented by a letter, form, or
memo from EPA or the state approving the work plan for the subsequent activity.
d. Treatability Studies
Treatability studies are laboratory or field tests used to determine whether available
technologies will effectively decontaminate a given matrix in order to develop feasible
remedial alternatives. Treatability studies may be tracked at the regional level but this
activity is not a program target or measure.
EXHIBIT VIII.3. TREATABILITY STUDY REQUIREMENTS
\\ ork Paokajio
Aoli\ i(\/Milestone
I'orlormanco
l.oiiri
Acli\ilWMiloslono Diilo Ko(|iiironionls
Silo iniisl ho ;iii MM. or SAA silo
Perform Treatability Study
(Optional)
EPA, Tribe,
State, EPA In-
house
Start: Aroroval of Treatability Studv Work Plan
Finish: Aroroval of Treatability Studv Rcoort
e. Proposed Plan Comment Period
The Government Proposed Plan accompanies the completed FS or RI/FS report when the
contamination at the site has been characterized and alternatives for remediation have been
evaluated. The proposed plan identifies the preferred remedial alternative on which the
public has an opportunity to comment during the public comment period.
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OLEM Directive 9200.3-153
Accomplishments are based on the first proposed plan released to the public for each FS
or RI/FS, regardless of performance lead. Sites with an SAA agreement should be
identified in SEMS using the appropriate Special Interest code. The proposed plan is an
internal program measure.
EXHIBIT VIIL4. PROPOSED PLAN COMMENT PERIOD REQUIREMENTS)
\\ (irk Paokajio
Aoli\ ilt/Miloslono
Porl'tii-manco
l.oiid
Aoli\ ilWMiloslnno Diilo Ko(|iiiromonls
Silo iniisl ho nil NPl.orSAA silo
Government Proposed Plan
Comment Period
EPA
Start/Finish:
Signature date of the appropriate regional official on the
letter transmitting RI/FS reports and the proposed plan
to the site repository for public review; or
The date the public comment period starts as listed on
the first page of the approved proposed plan.
f. Non-Time Critical Removal Action
EPA's remedial program is authorized to take removal actions under limited
circumstances. Two documents make up this process and both are part of the approved
action memorandum.
The Engineering Evaluation/Cost Analysis (EE/CA) identifies objectives for a non-time
critical removal action (NTCRA) and includes an analysis of cost, effectiveness, and the
ability to implement the various alternatives that may be used to satisfy these objectives.
EE/CAs are reported site-specifically in SEMS as an internal program measure.
An Action Memorandum is developed to document decisions at NPL, non-NPL, and SAA
sites for removal activities. Decisions are documented in an approval memorandum and
authority is granted when the action memorandum is signed by the appropriate regional
official.
EXHIBIT VIII.5. NON-TIME CRITICAL EE/CA AND NTCRA REQUIREMENTS
Work Paokaiio
Aoli\ i(\/\liloslono
IVi'loi-nianoo
load
Aoli\ilj/Miloslono l)alo Ko(|iiiromonls
Silo iniisl ho an NPL. non-NPI. or SAA silo
GOVT Engineering
Evaluation/Cost Analysis
(EE/CA)
EPA, Tribe,
State, EPA In-
house
Start: Signature date of the EE/CA Aroroval
Memorandum signed by appropriate regional official
Finish: Action Memo sisnedbv the aDDroDriatc
regional official
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OLEM Directive 9200.3-153
Work Package
Ac(i\ i(\/\lik's(niu'
IVii'oi'iiiiiiK'o
l.i'iiri
Acli\ ilWMik'slone Dale Kc(|iiiiviiioiils
PRP EE/CA
EPA Oversight,
State or Tribal
Oversight
Start: Signature date of the EE/CA Aroroval
Memorandum signed by appropriate regional official
(This memo will include any enforcement instrument
provision for oversight funding)
Finish: Action Memo sisnedbv the aDDroDriatc
regional official
Non-Time Critical Removal
Action (NTCRA)
EPA
Start/Finish: Signature date of the EE/CA Aroroval
Memorandum signed by appropriate regional official
g. Remedial Decision Documents
A Remedial Decision Document is developed to document decisions or changes to
decisions atNPL, non-NPL, and SAA sites to perform a remedial activity.
Government Decision Document - A remedial decision document is documented in a
Record of Decision (ROD). The ROD documents the selected remedy, provides the basis
for taking action, and documents compliance with statutory requirements. It is prepared
after completion of the FS and public comment on the Proposed Plan. A ROD may be the
final action for the site/operable unit or it may be interim. An interim action is limited in
scope and only addresses areas/media that also will be addressed by a final site/operable
unit ROD. Interim actions either are implemented for separate operable units or may be a
component of a final ROD for other portions of the site.
RODs may also be identified as "early" actions. An early action is one that is taken before
the RI/FS for the site or operable unit has been completed. Early actions may be either
interim or final. An early action ROD is prepared after completion of a site investigation.
Although preparation of an RI/FS Report is not required for an early action, there must be
documentation that supports the rationale for the action to fulfill the NCP's Administrative
Record requirements.
Modifications to a Government Decision Document - After a ROD is signed, new
information may be obtained that could affect the scope, performance, and/or cost of the
selected remedy. Three types of changes require documentation:
Fundamental Changes - documented in a ROD Amendment
Significant Changes - documented in an Explanation of Significant Differences
(ESD)
Insignificant or Minor Changes - documented in a Memo to the File
Guidance on the appropriate use of ROD Amendments, ESDs and Other Remedy
Changes (Memo to File) is available in A Guide to Preparing Superfund Proposed
Plans, Records of Decision, and Other Remedy Selection Decision Documents,
OSWER 9200.1-23.P. July 1999.
The SEMS Records Management (SEMS-RM) document ID number for each of these
documents needs to be sent to the following e-mail group within five days after signing:
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Office of Land and Emergency Management (OLEM) Office of Superfund Remediation
and Technology Innovation (OSRTI) HQ DOC Center. Please ensure that the documents
are text searchable PDFs of the final version. The documents should contain signed
signature pages and all appendices and attachments (especially figures and tables).
EXHIBIT VIII.6. REMEDIAL ACTION DECISION DOCUMENT REQUIREMENTS
\\ (irk Paokajio
Aoli\ iiWMiloslmio
Porl'tn-manco
I.Oiltl
Aoli\ilWMiloslono Dalo Ko(|iiiromonls
Silo ma\ ho MM.. non-MM. orSAA Silo
Government Decision
Document - (ROD)
EPA
Start/Finish: Aroroved ROD sisned bv designated
regional official.
Government Decision
Document - ROD Amendment
Start/Finish: Amended ROD sisned bv designated
regional official
Government Decision
Document - ESD
Start/Finish: ESD sisned bv designated reeional
official
Government Decision
Document - Memo to file
Start/Finish: Memo to File sisned bv designated
regional official
These are internal program targets and measures.
SEMS contains action qualifiers. The following action qualifier can be associated with
remedy decisions:
Final Remedy Selected at Site
Part II. Remedial Implementation
h. Remedial Design
The Remedial Design (RD) details and addresses the technical requirements (plans and
specifications) of the Remedial Action (RA). The obligation of funds for design assistance
or technical assistance does not constitute an RD start.
Accomplishments are reported site-specifically. This is an internal program target and
measure.
EXHIBIT VIII.7. REMEDIAL DESIGN REQUIREMENTS
\\ (irk Paokajio
Ac(i\ ilWMiloslono
Poii'ormanoo
load
Aoli\ilWMiloshino Dalo Ko(|iiiromoiils
(>o\ornmonl Rl> miiM ho al MM. silos: PRP Rl) m;i> ocoural MM. orSAA silos
Government Remedial Design
EPA, Tribe,
State, or EPA
In-house
Start: Contract modification or work assienment/task
order for the RD signed by the CO; Cooperative
Agreement signed by Regional Administrator or
designee or Interagency Agreement (IA) signed by the
other federal agency.
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\\ (irk Piickiiiio
Ac(i\ i(\/\lik's(oiK'
IVrfoniiiinci'
l.ciid
Acli\ ilW.Mik'slonc Dale Ki-(|iiimm-nls
Finish: EPA aroroves. in writine. the Final Desien
submittals.
PRP Remedial Design
EPA oversight
Start: The enforcement document under which the RD
is to be conducted becomes effective (e.g., the AOC, or
an amendment to an existing AOC) signed by Regional
Administrator or designee; or the PRP's written notice
of intent to comply with the UAO; or
Memo transmitting the CD to DOJ or EPA HQ signed
by the Regional Administrator or designee; or
written notice to proceed with a subsequent phase of the
remedial design under an existing enforcement
agreement by EPA to the PRP where multiple RD/RA
phases are anticipated.
Finish: EPA concurs in writine with Final Desisn
document.
State Oversight,
Tribe Oversight
Start: State order or other comparable state or tribal
enforcement document signed and issued to PRP.
Finish: State or tribe concurs in writine with Final
Design document.
Special Planning/Reporting Requirements:
In those instances, where design execution is included in a broad task order (e.g. RI/FS and
RD), the start of the RD is defined as the date funds are obligated to start RD activities.
Remedial Action - An RA is the actual construction or implementation of a discrete scope
of activities supporting a Superfund site cleanup. Each RA project is generally designed to
achieve progress toward specific remedial action objectives (RAOs) identified in a
CERCLA remedy decision document (e.g., ROD, ROD amendment, ESD). Government
RAs can only be funded at sites that are on the NPL (Final or Deleted). PRP-financed RAs
(including RAs financed from a Special Account) may be performed at NPL and non-NPL
SAA sites. RA accomplishments, termed 'Remedial Action Project Completions' are both
an internal program target and an external program reporting measure in the ACS.
Limited Remedial Action - A Limited Remedial Action (Limited RA) is the
implementation of a remedy decision where the only action selected is Monitored Natural
Attenuation, Monitored Natural Recovery, and/or Institutional Controls (ICs). A Limited
RA is distinguished from Remedial Action because the remedy typically requires no
remedial design and is distinguished from a No Action/No Further Action remedy decision
because the remedy includes a remedial action component. In the case of monitored natural
attenuation, natural processes are used to attain site-specific cleanup levels and remedial
action objectives, and the Limited RA may only consist of adding monitoring wells and a
determination that those actions are complete. Monitored natural recovery is a remedy that
typically uses known, ongoing, naturally occurring processes to contain, destroy, or
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OLEM Directive 9200.3-153
otherwise reduce the bioavailability or toxicity of contaminants in sediment. A monitored
natural recovery remedy generally includes site-specific cleanup levels and remedial action
objectives, and the Limited RA may only consist of monitoring to assess whether risk is
being reduced as expected. For an institutional control only remedy decision, the Limited
RA consists of implementing the ICs. To identify an RA as a Limited RA, a region should
select the Limited RA Critical Indicator in SEMS.
Institutional Control Remedial Action - An institutional control remedial action is an
anomaly-coded remedial action used solely to fund the institutional control implementation
(or oversight) component of a selected remedy where the engineered components of the
remedial action have already been completed. This activity is distinguished from a limited
remedial action, in which the selected remedy is monitored natural attenuation, monitored
natural recovery, and/or ICs only. Because this IC action is associated with an existing
completed remedial action, the Other Start and Completion anomaly code should be used.
Where the selected remedy includes physical construction as well as ICs, and the physical
construction has not occurred, typically, this activity is not used. In this circumstance, any
implementation funding needs may be associated with implementation of the engineering
components of the remedy.
EXHIBIT VIIL8. REMEDIAL ACTION REQUIREMENTS
\\ (irk Piickiiiic
Ac(i\ i(\/Milestone
Performance
Lead
Ac(i\i(\/\lilcslonc l);i(o Ro(|iiiroiiion(s
(.o\ornmon( RA must ho ;i( MM. silos: PRP RA m;i\ occur al \PI. or non-MM.SAA silos
Government Remedial Action
EPA, Tribe,
State, or EPA
In-house
Start: Remedial Action & Institutional Control
Remedial Action: EPA CO signature date of RA
contract, RA contract modification, or task order; or
IA signed by the other federal agency; Superfund State
Contract (SSC) or Cooperative Agreement (CA) signed
by state or tribe. Limited Remedial Action: ROD
selecting a limited remedial action is signed by the
appropriate regional official
Finish: Remedial Action & Limited Remedial Action:
date of RA Report signature by appropriate regional
official
Institutional Control Remedial Action: Documentation
confirming that the institutional control instrument
designated in the ROD has been fully implemented
PRP Remedial Action
EPA oversight
Start: Signature date of EPA Reeional Administrator or
designee approving the PRP RD document; or
Memo transmitting the CD to DOJ or HQ; or
The judgment, or written approval from the EPA of the
final design document for the RD, or
PRP's written notice of intent to comply with UAO;
or written notice to proceed issued by EPA to the PRP
Finish: Date of RA Rcoort signature Tor concurrence')
by appropriate regional official
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\\ (irk Piickiiiio
Acli\ i(\/\lik'sloiK'
IVrlo nnancc
loud
Acli\ilj/Mileslonc Dale Kc(|iiiivim-nls
PRP Remedial Action
State Oversight
Start: Date of state written aroroval of the PRP RD
document
Finish: Date of RA Report signature (or concurrence)
by appropriate regional official
Special Planning/Reporting Requirements:
This is an internal program target and measure. The actual start date of the RA must be
entered into SEMS.
Remedial Action Project Completions (RAPCs) are an ACS program measure with an
annual target. The measure includes Government, PRP (including Special Account-
funded) and Federal Facility RA completions at final and deleted NPL sites. Beginning in
FY2014, the Superfund remedial program began including RAPCs at sites with an SAA
agreement in the ACS tally of RAPC accomplishments. The RAPC measure augments the
existing sitewide Construction Completion measure and reflects the large amount of work
being done at Superfund sites. The measure provides valuable information to communities
by demonstrating incremental progress in reducing risk to human health and the
environment at sites. For more detailed information on the specific requirements for
RAPC, see Close Out Procedures for National Priority List Sites, OSWER 9320.2-22, May
2011.
For PRP Remedial Actions, the actual completion date should be entered in SEMS along
with the actual start date for the next appropriate pipeline action (e.g., a PRP LR action for
ground water or surface water restoration actions or an O&M action). EPA recommends,
but does not require, a PRP-lead remedy O&F determination to affirm that the remedy is
functioning properly and performing as designed. See the section of this chapter regarding
Operational and Functional determinations for more information.
Remedial action, limited remedial action, and institutional control remedial action
completions will be tracked separately but accomplishments (excluding anomaly-coded
remedial actions) will be reported on a combined basis.
i. Start of On-Site Construction
This measure counts the initiation of on-site construction for all remedial actions at NPL
or non-NPL sites.
On-Site Construction for a Remedial Action begins when the EPA, United States Army
Corps of Engineers (US ACE), state, tribe, or PRP, or their contractors, have begun on-site
construction work for the remedial action selected in the ROD or other decision document.
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EXHIBIT VIIL9. START OF ON-SITE CONSTRUCTION REQUIREMENTS
Work Package
Acli\ ilW.Milcslonc
Performance
Lend
Acli\ilW.Milcslouc l);i(o Ro(|iiiroiiion(s
Miirl of Oil-Silo ( cinslruclicin RA niusl he ;il MM. silos: PRP RA iii:i\ occur ;il NPI. or SAA silos
GOVT On-Site Construction
Start
EPA, Tribe,
State, or EPA
In-house
Start/Finish: Memo to the site file documentins
substantial and continuous physical on-site construction
has started; or a copy of a report of start up from the
contracting party is acceptable.
PRP RA On-Site Construction
Start
EPA oversight
Start/Finish: Memo to the site file documentins
substantial and continuous physical on-site construction
has started; or a copy of a report of start up from the
contracting party is acceptable.
PRP RA On-Site Construction
Start
State Oversight
Start/Finish: Memo to the site file documentins
substantial and continuous physical on-site remedial
action. A copy of a report of start up from the
contracting party is acceptable.
Note: PRP must also be in compliance with a state
enforcement instrument.
Special Planning/Reporting Requirements:
For a PRP to receive credit on this measure, the PRP must be in compliance with a
Unilateral Administrative Order (UAO), or an enforcement instrument signed by EPA and
the PRPs, or a judgment signed by a federal judge. The following information must be
entered into SEMS for the enforcement instrument:
The date the PRP provides notice of intent to comply with a UAO signed by the
designated regional official and the PRPs, or
The date the CD was signed by the PRPs, the designated regional official and the
federal judge; or
The date a judgment was signed by the federal judge and PRPs.
The date of RA on-site construction will be used for purposes of establishing the Statute of
Limitations (SOL) determination. It is also used as the trigger date for a statutory Five Year
Review (FYR), if applicable. The FYR Report Due finish date is set for five years after the
actual RA On-Site Construction Start date. The On-Site Construction may be tracked by
HQ for program management purposes, but it is not a program target or measure.
j. Operational and Functional (O&F)
"A remedy becomes 'operational and functional' either one year after construction is
complete, or when the remedy is determined concurrently by EPA and the state to be
functioning properly and is performing as designed, whichever is earlier. EPA may
grant extensions to the one-year period, as appropriate. " (40 CFR ง300.435(f)(2))
The O&F period normally is considered to be the time when minor adjustments are made,
as necessary, to ensure that a remedy is functioning properly. Activities during the O&F
period generally are considered part of the RA for purposes of the cost-share
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requirements of CERCLA ง 104(c)(3). The O&F period is intended to lead up to the O&F
determination, which typically is made for all constructed remedies that result in O&M
and/or LTRA.
For Fund-financed remedies involving O&M and/or LTRA, EPA and the state conduct a
joint inspection at the end of all remedy construction activities in order to start the O&F
period (40 CFR ง300.515(g)):
"For Fund-financed remedial actions, the lead and support agencies shall
conduct a joint inspection at the conclusion of construction of the remedial action
to determine that the remedy has been constructed in accordance with the ROD
and with the remedial design. "
The results of the inspection and date should be summarized in a letter from EPA to the
state documenting the start of the O&F period.
If less than one year has passed since the start of the O&F period, EPA and the state
jointly determine that the remedy is O&F during a second joint inspection (40 CFR
ง35.6805(q)):
"Final inspection of the remedy. The SSC must include a statement that following
completion of the remedial action, the State and EPA shall jointly inspect the
project to determine that the remedy is functioning properly and is performing as
designed."
Consistent with 40 CFR ง300.435(f)(2), above, if one year has passed, the remedy is
determined to be O&F unless EPA grants an extension to the one-year period.
For PRP-lead remedies, the PRP normally continues to be responsible for the remedy
after it transitions into O&M. Nonetheless, EPA recommends, but does not require, a
PRP-lead remedy O&F determination to affirm that the remedy is functioning properly
and performing as designed, and that O&M has begun. For federal facility-lead remedies,
a similar determination, "Operating Properly and Successfully," is sometimes made
during the process of property transfer.
EXHIBIT VIII. 10. OPERATIONAL AND FUNCTIONAL REQUIREMENTS
\\ (irk Piickiiiio
Aoli\ ilWMiloslono
Porforniiinoo
l.oiid
Acli\ilWMiloslono l);ilo Ko(|iiiromonls
Silo must ho mi M'l.orSAA silo.
Operational and Functional
Determination (O&F)
EPA
Start: The constructed remedy's ioint inspection
conducted by EPA and the state (or PRP, if appropriate)
normally should mark the start of the O&F period. The
O&F start should be documented in a letter from EPA to
the state (or PRP, if appropriate). This letter should
reference the results of the EPA-State joint inspection
and the NCP provisions describing the O&F period.
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\\ (irk I'sieksige
Aeli\ ilWMileslone
Perlormunee
Lend
Aeli\il>/Milestone l);ile Ke(|iiiremenls
Finish: Once EPA and the state have conducted another
joint inspection to determine that the remedy is O&F, or
one year has passed since the O&F start, EPA should
send another letter to the state citing the O&F start and
O&F determination (finish) dates.
Special Planning/Reporting Requirements:
Completion of this activity may be tracked by HQ for program management purposes, but
it is not a program target or measure. O&F does not receive funding.
In 2011, EPA updated the Guidance for the Management of Super fund Remedies in Post
Construction, OLEM 9200.3-107. February 2017 and standardized the documentation
requirements for O&F start and finish. In order to ensure timely transition to LTRA and
O&M activities, the O&F finish should be documented in an EPA letter to the state. Before
this guidance update, the RA Report or a letter were used to document O&F completion.
The RA report is no longer the appropriate documentation to report the completion of this
measure.
k. Final Inspection by EPA
Final Inspection by EPA refers to the remedial action contract final inspection, conducted
to determine whether construction of the remedy has been completed in accordance with
the contract design and specifications. This inspection is not the same as the EPA-State
joint final inspection described in the Superfund State Contract.
The final contract inspection is complete when the designated regional official approves
the Final Inspection Report, documenting that all work has been completed in accordance
with the contract plans and specifications (including any punch list items identified during
the pre-final inspection).
EXHIBIT VIII. 11. FINAL INSPECTION BY EPA REQUIREMENTS
\\ (irk Piiekiitie
Aeli\ it \/Milestone
Perform;! nee
l.e:i(l
Aeli\i(\/Miles(one l);ile Ke(|iiiremenls
Site miisl he iin M'l.orSAA site.
Final Inspection by EPA
EPA
Start/Finish: Written atroroval of the Final Inspection
Report signed by the appropriate regional official
Special Planning/Reporting Requirements:
The contract final inspection is an important step prior to approval of the Remedial Action
Report and receiving credit for RA completion for Government RAs executed under EPA
contracts. This activity may be tracked by HQ for program management purposes, but it is
not a program target or measure. The finish date should be entered into SEMS with an
actual flag upon written approval of the final report. Additional information on RA
inspections may be found in Close Out Procedures for National Priority List Sites, OSWER
9320.2-22. May 2011.
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OLEM Directive 9200.3-153
1. Construction Completion
Construction Completion (CC) is both an internal program target and an external program
reporting measure. Construction at a NPL or non-NPL SAA site is considered complete
when the remedy is documented in a final ROD, physical construction of the remedy is
complete, a contract pre-final inspection has been conducted and only minor punch list
items remain, and a Preliminary Close-Out Report (PCOR) has been signed by the
designated regional official and HQ has concurred. In some instances, if a site meets both
the CC and Site Completion criteria simultaneously, a Final Close-Out Report (FCOR)
may be prepared (in lieu of a PCOR) in order to satisfy documentation requirements for
both milestones. There is only one CC accomplishment per site and hence the PCOR or
FCOR must address construction activities for the entire site. Since CC is a sitewide
measure, construction completion of the last response action at site generally determines
when site becomes eligible for CC. Since institutional controls do not require physical
construction, a site can achieve the CC measure before ICs are in place. For more detailed
information on the specific requirements for CC, see Close Out Procedures for National
Priority List Sites, OSWER 9320.2-22, May 2011..
EXHIBIT VIII. 12. CONSTRUCTION COMPLETION REQUIREMENTS
\\ (irk Piickiiiio
Ai'li\ i(\/Milos(ono
Porl'tn-manco
l.oiid
Ac(i\ il>/Milestone l);ilo Ko(|iiiromonls
Silo must ho nil MM. or SAA silo.
Prelim Close-Out Report
(PCOR)
EPA
Start/Finish: Signature date of PCOR signed bv
appropriate regional official and HQ selection of Special
Interest code of CC or SAA CC.
Final Close-Out Report
(FCOR)
EPA
Start/Finish: Signature date of FCOR signed bv
appropriate regional official and HQ selection of Special
Interest code of CC or SAA CC
Special Planning/Reporting Requirements:
Credit for a CC is official when the signature date of a HQ approved Preliminary (or Final)
Close-Out Report is entered into SEMS, and HQ selects the appropriate NPL or non-NPL
SAA site indicator in SEMS. Regions identify sites to meet the goal prior to the start of the
FY. The CC indicator applies to final and deleted NPL sites as well as SAA sites. Beginning
with FY 2014, Superfund began counting sites with SAA agreements per the OECA policy
in this measure.
Part III. Post Construction Completion
m. Long Term Response Action
Government LTRA refers to the operation of groundwater and surface water restoration
remedies, including monitored natural attenuation, following the O&F completion, for the
first 10 years of operation, or until cleanup levels are achieved, whichever is earlier.
PRP long-term response is a specific type of O&M for groundwater and surface-water
restoration remedies (including monitored natural attenuation) conducted by responsible
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parties. The 10-year time period described above does not apply to PRP Long Term
Response Action (PRP LR).
Note that Government LTRA and PRP LR do not apply to source remediation or
containment remedial actions that simply require a long time to achieve cleanup levels,
such as bioremediation or soil vapor extraction. Government LTRA and PRP LR also do
not apply to groundwater or surface water containment measures, groundwater monitoring,
or groundwater or surface water measures initiated for the primary purpose of providing a
drinking water supply.
EXHIBIT VIII. 13. LTRA REQUIREMENTS
\\ (irk Paokajio
Acli\ il\/Milestone
Porlnrmanco
l.oiid
Ac(i\i(\/\lilos(ono l);ilo Ro(|iiiromonls
Cj
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OLEM Directive 9200.3-153
the remedy has achieved the remedial action objectives and remediation goals in the ROD,
and is determined to be O&F (see definition of O&F).
O&M is not required for all remedial actions. For containment remedies or remedial actions
that require ICs, O&M is generally required for an indefinite period. As stated above, for
groundwater or surface water restoration remedies, O&M may be complete when the
ground- or surface- water restoration cleanup levels have been met.
In general, the state or PRP is fully responsible for funding and conducting O&M activities.
EXHIBIT VIII. 14. OPERATIONS & MAINTENANCE REQUIREMENTS
\\ (irk Piickiiiic
Aoli\ i(\/Milestone
IVi'loi'iiiiinoo
Load
Ao(i\il\/\lilos(ono Diilo Ko(|iiiromonls
Silo iniisl ho iin M'l.orSAA silo.
Operations and Maintenance
EPA Oversight,
State Oversight
Start: Containment Remedies - A letter to the state
declaring O&F, signifying that the state has assumed
responsibility for all activities necessary to operate
and/or maintain the long-term effectiveness or integrity
of the actions selected in the ROD
Groundwater or Surface Water Restoration Remedies -
Letter to the state confirming LTRA transfer signed by
the designated regional official (Note: date should be no
more than 10 years after LTRA Start)
Finish: If applicable, documentation, signed bv the
appropriate regional official, stating the remedial action
objectives and cleanup levels selected in the ROD and
documented in the Superfund State Contract (SSC),
Cooperative Agreement or consent decree have been
met Note: If O&M will be conducted indefinitely, do not
enter an Actual flag on the finish date
PRP Operations &
Maintenance
EPA Oversight,
State Oversight
Start: Letter documenting O&F completion signed bv
the designated regional official; or
Date of RA Report signature (or concurrence) by the
designated regional official.
Finish: Valid monitoring data (e.g.. routine O&M
report) document that cleanup goals have been achieved
Special Planning/Reporting Requirements:
Completion of O&M is an internal program measure. O&M is planned site-specifically in
SEMS. Funds for oversight of O&M are contained in the Pipeline Operations Site
Allowance and/or a site specific Special Account. If O&M is not required, regions should
not enter the action into SEMS. Where O&M must be conducted indefinitely, regions
should not enter an actual flag on the finish date for the O&M activity.
If an O&M activity being conducted by the PRPs at the site is to evaluate groundwater or
surface water restoration remedial actions, regions should use the PRP LR activity instead
of the Operations and Maintenance activity. In this situation, regions should not enter both
activities.
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o. Cleanup Goals Achieved
This activity documents achievement of cleanup goals for groundwater and surface water
restoration remedies. Cleanup goals are achieved when sufficient monitoring data are
obtained and support that restoration goals have been achieved (e.g., routine O&M report).
For more information regarding groundwater restoration actions, see the Recommended
Approach for Evaluating Completion of Groundwater Restoration Remedial Actions at a
Groundwater Monitoring Well, OSWER 9283.1-44, August 2014 and Guidance for
Evaluating Completion of Groundwater Restoration Actions, OSWER 9355.0-129,
November 2013.
EXHIBIT VIII. 15. CLEANUP GOALS ACHIEVED REQUIREMENTS
\\ (irk Paokaiio
Aoli\ ilWMiloslono
Poi'loi'iiiiinoo
l.oiid
Acli\i(\/.\liloslono l);ilo Ko(|iiiromonls
Silo iniisl ho iin MM. or SAA silo.
Cleanup Goals Achieved
EPA
Start/Finish: Rcoort containing valid monitoring data
that demonstrate cleanup goals achieved
Special Planning/Reporting Requirements:
Cleanup Goals Achieved is planned on a site-specific basis in SEMS. This activity may be
tracked by HQ for program management purposes, but it is not a program target or measure.
p. Groundwater Monitoring
This measure addresses groundwater monitoring at non-NPL, NPL, or SAA sites that is
specifically intended to ensure that assumptions that form the basis of a No Action ROD
for groundwater are still valid. If the ROD specifies that groundwater monitoring is the
only activity that will be implemented, then it is a No action or No Further Action ROD.
This measure is not intended to track routine groundwater monitoring activities that occur
during site characterization or to verify performance of a groundwater remedial action (e.g.,
extraction and treatment of groundwater, or monitored natural attenuation).
EXHIBIT VIII. 16. GROUNDWATER MONITORING REQUIREMENTS
\\ (irk Piiokaiio
Aoli\ ilWMiloslono
I'orl'ormanoo
load
Aoli\i(\/.Milos(ono Dalo Ko(|iiiromonls
Silo ma\ ho a non-MM.. MM. or SAA silo.
Groundwater Monitoring
(Post-ROD)
EPA, Tribe,
State, EPA
Oversight
Start: ROD signature date
Finish: Memo documenting completing of the oost-ROD
groundwater monitoring activity.
State Oversight
Start: ROD signature date
Finish: Memo documenting completing of the oost-ROD
groundwater monitoring activity.
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
Groundwater monitoring and oversight of groundwater monitoring is covered under the
Pipeline Operations Site Allowance. This is an internal program measure.
q. NPL Site Completions
An NPL site must meet all of the following criteria to be eligible for site completion:
All remedial decision documents have been completed and the selected remedy is
consistent with EPA policy and guidance;
All response actions have been completed and documented; and
All ICs are in place.
There is only one NPL Site Completion per NPL site, and the site must be final on the
NPL. For more detailed information, see Close Out Procedures for National Priority List
Sites, OSWER 9320.2-22, May 2011..
EXHIBIT VIII. 17. NPL SITE COMPLETIONS REQUIREMENTS
\\ (irk Piickiiiio
Acli\ iU/Mik'sloiU'
Pci'loi'iiiiincc
loud
Acli\i(\/.\lik's(onc Dale Kc(|iiiiviiH*nls
Final Close-out Report
(FCOR)
EPA
Start/Finish: Final Close-out Rcoort sisned bv
appropriate regional official
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the NPL Site Construction Completion
measure as a result of the same Final Closeout Report. This is an internal program measure.
r. Five Year Reviews
A Five Year Review is a review of remedial action(s) selected under CERCLA 121(c) that
leaves waste in place above levels that allow for unlimited use and unrestricted exposure
(UU/UE). The purpose of the Five Year Review is to determine whether the remedy at a
site is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. EPA conducts statutory reviews
of any site at which a post-Superfund Amendments and Reauthorization Act of 1986
(SARA) remedy, upon attainment of cleanup levels specified in the ROD, will not allow
for U/UE. EPA conducts policy reviews at sites where remedial actions will attain cleanup
levels that, upon completion, will allow for UU/UE but will take longer than five years to
complete, at sites with pre-SARA remedies at which the cleanup levels do not allow for
UU/UE, and at NPL removal only sites where cleanup levels do not allow UU/UE. EPA
may also conduct Five Year Reviews at their discretion for other sites.
Five Year Reviews should not be entered for Formerly Used Defense Sites (FUDS) and
non-NPL Federal Facilities because they are not conducted under EPA's oversight.
Additional information on requirements and procedures for conducting Five Year Reviews
can be found in the Comprehensive Five Year Review Guidance, OSWER 9355.7-03B-P,
June 2001. Refer to the Federal Facilities chapter in this document on recording Federal
Facility Five Year Reviews.
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OLEM Directive 9200.3-153
Statutory Reviews:
The Five Year Review and FYR Report Due finish date fields are typically planned for five
years from the earliest planned or actual RA On-Site Construction Start date among the
operable units (OU) included in the FYR for the first FYR. FYR Report Due finish dates
are based on statutory or policy deadlines and should not be changed unless triggers
change. RA On-Site Construction Start is the standard trigger for a statutory FYR. For
remedies where the On-Site Construction Start action may not be used, a non-standard
triggering date will need to be entered in its place. This date will typically be the first
monitoring event following ROD signature or the ROD signature date itself. Subsequent
FYR Report Due finish dates are triggered from the signature date of the previous FYR.
Policy Reviews:
The Five Year Review and FYR Report Due finish dates are typically planned for five
years after the earlier PCOR or FCOR planned finish date. FYR Report Due finish dates
are based on statutory or policy deadlines and should not be changed unless triggers
change. Subsequent FYR Report Due finish dates are triggered from the signature date of
the previous FYR.
Discretionary Reviews:
The Five Year Review planned finish date is based on the date set by the user at the time
of entry of Five Year Review type.
EXHIBIT VIII. 18. FIVE YEAR REVIEW REQUIREMENTS
\\ (irk Package
Ac(i\ i(\/Milestone
Perlo nuance
Loud
Ac(i\ilWMilcsloni* Dale Re(|iiirenien(s
GOVT Five Year Review
EPA, Tribe,
State
Start: Memo to file or work olan documenting tasks
approved by designated regional official
Finish: Five Year Review report signed bv designated
regional official or signed concurrence memo for state
or tribal lead FYRs.
GOVT Five-Year Review
Addendum (Option)
EPA, Tribe,
State
Start/Finish: Five Year Review Addendum reoort
signed by designated regional official or signed
concurrence memo for a state or tribal lead FYR
addendum.
Special Planning/Reporting Requirements:
The following information is captured in the SEMS Five Year Review module:
The ability to associate issues/recommendations with the correct OU and response
actions;
The ability to update a trigger on a planned FYR;
The ability to enter/track more than one Five Year Review with multiple OUs for
each site;
A Missing Data Tab available on the FYR screen informs the user of all missing
information and includes the OU that it affects;
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The ability to update milestone dates and track the current status of implementation
for Five Year Review Issues and Recommendations;
A Five Year Review addendum for completed reviews with protectiveness deferred
statements; and
The ability to modify the Five Year Review type on a planned review only if
changing from a discretionary review to a policy or statutory review or changing
from a policy review to a statutory review;
In order to receive credit for a Five Year Review, the region must enter the following data
in SEMS:
applicable OUs
associated issue for each OU (if there is no issue, enter the relevant OUs with the
'No Issue' category)
recommendations or follow-up actions (a party responsible, oversight agency, and
milestone date must be identified for each recommendation or follow-up action)
protectiveness determination for each remedy/OU
protectiveness statement as it appears in the Five Year Review
If the site Construction Completion flag has been checked, the user must enter the
following information:
sitewide protectiveness determination
sitewide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR addendum completion, the user must enter the
following information:
The new protectiveness determination for those OUs that were deferred;
Protective Statement as it appeared in parent FYR; and
If new issues/recommendations are referenced in the Five Year Review Addendum,
enter them into the Five Year Review screens through the FYR parent action for
the addendum. Note: No issues/recommendations should be removed, only
additional ones added as identified in the FYR Addendum.
All sites must have the following information:
If future Five Year Reviews are not necessary at the site, indicate that this is the final Five
Year Review at the site by selecting the 'no' radio button under the heading asking whether
future FYRs are necessary and explain. Per the Comprehensive Five Year Review
Guidance. OSWER 9355.7-03B-P, June 200L the discontinuation of FYRs should be
documented in a FYR or in memo to HQ.
If future FYRs are necessary, select the 'yes' radio button and enter the next
planned FYR into SEMS with the appropriate FYR Report due date (planned
finish). Five Year Review dates must be planned and reported site-specifically in
SEMS.
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OLEM Directive 9200.3-153
Funds to conduct FYRs are allocated in the Remedial Action Site Allowance. This is an
internal program target and measure. Note: Do not plan the next FYR before selecting the
appropriate radio button.
s. Sitewide Ready for Anticipated Use (SWRAU)
The Sitewide Ready for Anticipated Use (SWRAU) measure documents sites as ready for
reuse when construction is complete in two categories. The first is final on or deleted from
NPL sites that have achieved Construction Completion. The second category was added in
FY 2014 and includes eligible SAA sites that have achieved construction complete. To be
eligible, SAA sites must be designated as SAA per the official OECA policy and the special
indicator of SAA construction complete must be selected. SAA sites count as regional and
national targets.
Eligibility for SWRAU is established when the following criteria are met:
All cleanup goals in the ROD or other remedy decision document(s) have been
achieved for media that may affect current and reasonably anticipated future land
uses of the site, so that there are no unacceptable risks; and
All institutional or other controls required in the ROD or other remedy decision
document(s) have been put in place.
The SWRAU accomplishment is obtained when the following occur:
1) The entire site meets the criteria established in the guidance and a hard copy checklist
has been completed, signed by a regional approving official, and submitted to HQ.
2) The Protective for People Under Current Conditions (PFP)/Ready for Anticipated Use
(RAU) Checklist activity must be assigned an actual finish date in SEMS reflecting the
signature date on the hard copy form. Regions must submit an electronic version of the
checklist within SEMS and the HQ Data Sponsor must approve the electronic
submission. This requires entering data on the SWRAU tab within the Land Reuse
schedule and then initiating and approving the form using the My Work List menu
option in SEMS.
All acres that are part of the Superfund site universe must be documented as SWRAU
within SEMS prior to the region's submission of a Superfund Checklist for Reporting the
Sitewide Ready for Anticipated Use Government Performance and Results Act (GPRA)
Measure. If the number of acres changed from the baseline to actual SWRAU, users need
to update them before checking the SWRAU box in SEMS. The SWRAU accomplishment
date entered into SEMS should be the signature date on the Checklist of the regional
reviewing official. Checklists for SWRAU sites are available at the SWRAU section of the
Superfund Redevelopment Initiative Performance Measures site at:
https://www.epa.gov/superfund-redevelopment-initiative/performance-measures.
Headquarters is now collecting and reporting acreage information associated with the
SWRAU measure. While there are no targets associated with acreage, Regions should enter
acreage information on the checklist.
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This measure is based on current site conditions. Therefore, instances do occasionally
occur when a site which is already SWRAU no longer meets the criteria. In these instances,
the regions are required to complete a SWRAU retraction form, have it signed by a regional
approving official, submit it to HQ, and enter the retraction date into SEMS. HQ will then
approve this action in SEMS. The form is available on Superfund Redevelopment Initiative
Performance Measures site at: https://www.epa.gov/superfund-redevelopment-
initiative/performance-measures. Regions should include acreage information associated
with retractions.
Special Planning/Reporting Requirements:
SWRAU is both an internal program target and an external program reporting measure in
the ACS.
t. Partial NPL Deletion
EPA will consider partial deletion for portions of sites when no further response is
appropriate for that portion of the site. Such portion may be a defined geographic unit of
the site, perhaps as small as a residential unit, or may be a specific medium at the site (e.g.,
groundwater) or an operable unit, 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 with State
concurrence, 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, no remedial measures are
necessary.
For more detailed information, see Close Out Procedures for National Priority List Sites,
OSWER 9320.2-22. May 2011.
EXHIBIT VIIL19. PARTIAL NPL DELETION REQUIREMENTS
\\ (irk Piickiiiio
Ai'li\ ilWMik'Monc
Pi-rloi-manci-
l.cad
Ac(i\ il\/Milestone Dale Ke(|iiiremenls
Notice of Intent to Partially
Delete
EPA
Start: Notice of Intent to Partially Delete or Direct Final
Action Notice published in the Federal Register
Finish: Date the Notice of Intent to Partially Delete
public comment period is closed in the Federal Register
Partial NPL Deletion
EPA
Start/Finish: The effective date of the Partial Deletion
or Direct Final Action as specified in the Federal
Register
Special Planning/Reporting Requirements:
Partial NPL deletions are tracked separately from final NPL deletions. Partial NPL
deletions will be entered in SEMS on the NPL Revision screen under the "My Work List"
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menu. The Headquarters NPL Rule Manager will "Add a new NPL Rule" on the NPL Rule
Summary screen, which allows them to enter the NPL Rule Type, NPL Rule
citation/Federal Register Number (as XXFRXXXX, e.g. 82FR33026), Federal Register
date of publication, and Direct Final Action indicator. The Regions are responsible for
entering all dates in Site Schedule, including start and finish dates for partial deletion
actions. The date of the Partial NPL deletion is the date of deletion is effective. Partial
deletions will only be coded at specific OUs when a single OU is subject to the partial
deletion and the particular OU is specified in the Notice of Intent to Partially Delete in the
Federal Register. Partial deletions which are not specific for an OU, e.g. a matrix or portion
of an OU, or multiple OUs will be included under OU 00 with a SCAP note.
A site deletion will be entered by HQ if the deletion activity addresses the remaining release
listed on the NPL (either as a one-time deletion activity for the entire site as originally
listed, or as the last deletion activity associated with a site subject to previous partial
deletions). This is an internal program measure.
u. Final NPL Deletion
With state concurrence, EPA may delete sites from the NPL when it determines that no
further response is appropriate under CERCLA. In making that determination, EPA
considers:
Responsible or other parties have implemented all appropriate response actions
required;
All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
The remedial investigation has shown that the release poses no significant threat to
public health or the environment and, therefore, no remedial measures are
necessary.
For more detailed information, see Close Out Procedures for National Priority List Sites,
OSWER 9320.2-22. May 2011..
EXHIBIT VIII.20. NPL DELETION REQUIREMENTS
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Notice of Intent to Delete
EPA
Start: Notice of Intent to Delete or Direct Final Action
Notice published in the Federal Register
Finish: Date the Notice of Intent to Partially Delete or
Direct Final Action Notice public comment period is
closed in the Federal Register
NPL Deletion
EPA
Start/Finish: The effective date of the Notice of
Deletion or Direct Final Action as specified in the
Federal Register
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Special Planning/Reporting Requirements:
The Final Deletion from the NPL will be used whether deletion is accomplished through
the Notice of Deletion or the Direct Final Action Notice. The date of the deletion is the
date that deletion is effective.
Final NPL Deletions are entered in SEMS on the NPL Revision screen under the "My
Work List" menu. The Headquarters NPL Rule Manager will "Add a new NPL Rule" on
the NPL Rule Summary screen, which allows them to enter the NPL Rule Type, NPL Rule
citation/Federal Register Number (as XXFRXXXX, e.g. 82FR33026), Federal Register
date of publication, and Direct Final Action indicator. The Regions are responsible for
entering all dates in Site Schedule, including start and finish dates for deletion actions.
Part IV. Cross Program Revitalization Measures (CPRM)
The Cross Program Revitalization Measures (CPRM) indicators and performance
measures establish a similar, consistent set of measures that can be applied across all OLEM
cleanup programs. OSRTI and Federal Facilities Restoration and Reuse Office (FFRRO)
implemented the following three indicators and two performance measures established in the
Guidance for Documenting and Reporting Performance in Achieving Land Revitalization, OSWER
9200.1-74, March 2007. The two performance measures are: PFP and RAU. The three indicators
are: Universe indicator (required to meet the performance measures), Status of Use (optional), and
Type of Use (optional). The CPRM indicators and performance measures are pulled quarterly.
Specific guidelines for the indicators and performance measures are provided below. For
additional information, visit the CPRM section of the Superfund Redevelopment Initiative
Performance Measures site at: https://www.epa.gov/superfund-redevelopment-
initiative/performance-measures.
v. Protective for People Under Current Conditions (PFP)
This measure is based on the Human Exposure Under Control Environmental Indicator and
reports sites and land area (as measured in acres) that are protective for people under
current conditions.
The PFP performance measure reports the number of sites and acres at which there is no
complete pathway for human exposures to unacceptable levels of contamination, based on
current site conditions. Reporting on a particular site for this measure should be based on
an understanding of current conditions, presence and toxicity of contamination, routes of
contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g.,
dermal, inhalation, ingestion).
Achieving the PFP measure means, at a minimum, that all identified human exposure
pathways from contamination at the site are under control or possible exposures are below
health-based levels for current land use conditions. 'Under control' means that adequately
protective controls are in place to prevent any unacceptable human exposure under current
land use conditions. Achieving the PFP measure does not involve consideration of future
use conditions or ecological receptors. The PFP measure can be achieved through
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temporary solutions based on current conditions and associated exposures at a given point
in time, and does not necessarily require that all cleanup goals be met at a site or OU.
For the purposes of this measure, a site or OU will achieve the PFP performance measure
when it can be determined that the entire area comprising the site or OU meets any one of
the three possible designations for the current Human Exposures Under Control
Environmental Indicator. The three designations in the existing Sitewide Human Exposure
Environmental Indicator that ensure acres meet PFP include:
Current Human Exposures Under Control;
Current Human Exposures Under Control and Protective Remedy or Remedies in
Place; or
Current Human Exposures Under Control and Long Term Human Health
Protection Achieved.
Note that an OU or entire site may meet PFP if the groundwater is contaminated yet no
human exposure pathways exist, and the soil above the plume has been investigated to
ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may
have several OUs with different designations, some of which have met PFP criteria, some
of which have also met RAU criteria, and some of which do not meet either performance
measure (i.e., are not protective).
The total number of sites with one or more OUs meeting the PFP measure will be
determined from information recorded in SEMS and routinely reported for management
and communication purposes.
w. Ready for Anticipated Use (RAU)
The RAU performance measure captures the acreage within sites or OUs that are PFP and
meet the following two additional criteria:
All cleanup goals have been achieved for media that may affect current and
reasonably anticipated future land uses (or decision documents confirm
uncontaminated acres) for the site or OU such that there is no unacceptable risk,
and
All institutional or other controls identified as part of the response action to help
ensure long-term protection have been put in place.
The definition of this measure as it applies to an entire site is consistent with the SWRAU
measure. Therefore, all sites and acres counted toward the SWRAU measure will also count
toward the RAU measure. In addition, the RAU measure described here may also include
individual OUs and a broader universe of sites (i.e., NTCRA, certain non-NPL Federal
Facilities, FUDS, etc.) than those included in the SWRAU measure.
The determination that an OU achieves the RAU measure can occur at any particular point
in time and the OUs reported status should be revised if the site's conditions change or if
new or additional information is discovered regarding the contamination or conditions at
the site (e.g., contaminant occurrence, migration, toxicity levels for specific contaminants,
and exposures). If at the time of the determination, or at any other time, EPA becomes
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aware of other environmental problems that pose unacceptable risk relevant to the site or
reuse, including risks addressed under other cleanup or public health authorities, the site
should not be reported under the RAU measure. Documentation that OUs achieve the RAU
measure should be changed accordingly if, or when, information becomes available that
would bring into question whether the OUs continue to meet the RAU definition. Those
specific acres associated with the OU in question should only be re-recorded as meeting
the RAU measure if and when acres once again meet the RAU definition.
The total number of sites with one or more OUs meeting the RAU measure will be
determined from information recorded in SEMS and routinely reported for management
and communication purposes.
For more information about this measure, please refer to the Guidance for Documenting
and Reporting Performance in Achieving Land Revitalization, OSWER 9200.1-74, March
2007.
EXHIBIT VIII.21. PFP/RAU CHECKLIST REQUIREMENTS
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PFP/RAU Evaluation
Checklist
EPA In-House
Start/Finish: Checklist sisned bv reeional division
director or designee
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
x. Cross Program Revitalization Measures (CPRM) Indicators
Universe Indicator (Mandatory). Seeks to count the total number of acres and sites that
have been investigated at all sites since program inception. In order to be included in the
Universe Indicator, the site should be eligible for investigation under CERCLA, or as the
result of EPA's involvement at Base Realignment and Closure (BRAC) facilities. For sites
that are proposed for, listed on, or deleted from the NPL, or for SAA sites, acres included
in the Universe Indicator should be investigated in a manner consistent with the Guidance
for Conducting Remedial Investigations and Feasibility Studies Under CERCLA, Interim
Final, OSWER 9355.3-01, October 1988. Similarly, NTCRA sites should be investigated
in a manner consistent with Guidance on Conducting Non-Time-Critical Removal Actions
Under CERCIA, OSWER 9360.0-32, August 1993. Both remedial and NTCRA sites and
acres where initial investigations indicate that no unacceptable risks exist, and therefore no
further action is required, should be included in the Universe Indicator.
The Universe includes those non-NPL Federal Facilities (such as BRAC or Formerly Used
Sites Remediation Action Program [FUSRAP] sites) and FUDS where EPA has
signed/concurred on a response action (at a minimum, completed a RI/FS, removal action,
or other major cleanup decision document) or a property transfer.
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The Universe Indicator and performance measures apply to the following contaminated or
potentially contaminated media - land, wetlands, surface water, and/or sediments -
provided that media is subject to Superfund and Federal Facilities remedial investigation,
oversight, and/or response action. However, the acres captured under the Universe
Indicator do not include land areas overlying a groundwater plume where those land areas
are not intended to be assessed consistent with applicable EPA guidance. For example, if
a plume extends under a land area and EPA has no intention of investigating these acres of
land for contamination unrelated to the plume, then those land acres would not be included
in the acreage reported by the Universe measure. By extension, a site with only
groundwater contamination would not be captured by the Universe Indicator. Note that
there may also be exceptions in which sites with areas of surface water, sediments, and/or
tidal basins will not automatically be included due to site-specific circumstances. These
types of sites will be dealt with on a case-by-case basis.
Status of Use Indicator (Optional) . Refers to how the acres of the sites and OUs included
in the Universe Indicator are being used at the point in time when the determination is made
for the PFP and RAU performance measures. The Status of Use Indicator has the following
sub-indicators:
Continued Use: Refers to areas that are being used in the same general manner as they were
when the site became subject to the Superfund or Federal Facilities programs.
Reused: Refers to a site or OU where a new use, or uses, are occurring such that there has
been a change in the type of use (e.g., industrial to commercial), or the property was unused
and now supports a specific use. This means that the developed site or OU is actually used
for its intended purpose by customers, visitors, employees, residents, or fauna, in the case
of ecological reuse.
Planned Reuse: Includes sites or OUs where a plan for a reuse is in place, but reuse has not
yet begun. This could include conceptual plans, a contract with a developer, secured
financing, approval by the local government, or the initiation of site redevelopment.
Unused: Includes sites or OUs not being used in any identifiable manner. This could be,
for example, because site investigation and cleanup are ongoing, operations have ceased,
the owner is in bankruptcy, or cleanup is complete, but the site remains vacant.
Undetermined: Acres at a site or OU that cannot be currently identified as one of the four
Statuses of Use.
The Status of Use Indicator is independent of the status of response action because it
recognizes that sites or OUs could be in various stages of use at various stages of cleanup
and because use and reuse can change.
Type of Use Indicator (Optional) . The Type of Use Indicator describes how acres at sites
or OUs included in the Universe Indicator are used at the point in time when the PFP or
RAU determination is made. Information on the type of use at a site or OU should be
classified under one of the following 10 primary categories:
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Commercial Use: Refers to use for retail shops, grocery stores, offices, restaurants, and
other businesses.
Public Service Use: Refers to use by a local or state government agency or a non-profit
group to serve citizens' needs. This can include transportation services such as rail lines
and bus depots, libraries and schools, government offices, public infrastructure such as
roads, bridges, utilities, or other services for the general public.
Agricultural Use: Refers to use for agricultural purposes, such as farmland for growing
crops and pasture for livestock. Agricultural use also can encompass other activities, such
as orchards, agricultural research and development, and irrigating existing farmland.
Recreational Use: Refers to use for recreational activities, such as sports facilities, golf
courses, ball fields, open space for hiking/picnicking, and other opportunities for indoor or
outdoor leisure activities.
Ecological Use: Refers to areas where proactive measures, including a conservation
easement, have been implemented to create, restore, protect, or enhance a habitat for
terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries, nature preserves,
meadows, and wetlands.
Industrial Use: Refers to traditional light and heavy industrial uses, such as processing and
manufacturing products from raw materials, as well as fabrication, assembly, treatment,
and packaging of finished products. Examples of industrial uses include factories, power
plants, warehouses, waste disposal sites, landfill operations, and salvage yards.
Military Use: Refers to use for training, operations, research and development, weapons
testing, range activities, logistical support, and/or provision of services to support military
or national security purposes.
Other Federal Use: Refers to use to support the federal government in federal agency
operations, training, research, and/or provision of services for purposes other than national
security or military.
Mixed Use: Refers to areas at which uses cannot be differentiated on the basis of acres. For
example, a condominium with retail shops on the ground floor and residential use on the
upper floors would fall into this category. When selecting Mixed Use, the individual types
of uses should be identified, if possible.
Residential Use: Refers to use for residential purposes, including single-family homes,
town homes, apartment complexes and condominiums, and child/elder care facilities.
Undetermined: Refers to acres at a site or OU that cannot be identified as one of the ten
Types of Use.
Part V. Environmental Indicators
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y. Human Exposure Under Control
The Human Exposure Under Control Environmental Indicator documents the progress
achieved towards providing long-term human health protection by measuring the
incremental progress achieved in controlling unacceptable human exposures at a site. The
indicator applies to proposed, final, and deleted NPL sites and SAA sites. In general, sites
may be brought Under Control by the following methods:
Reducing the level of contamination. For purposes of this policy, 'contamination'
generally refers to media containing contaminants in concentrations above
appropriate protective risk-based levels associated with complete exposure
pathways to the point where the exposure is no longer 'unacceptable;' and/or
Preventing human receptors from contacting contaminants in-place; and/or
Controlling human receptor activity patterns (e.g., by reducing the potential
frequency or duration of exposure).
Five categories have been created to describe the level of human health protection achieved
at a site:
Insufficient data to determine human exposure control status;
Current human exposures not under control;
Current human exposures under control;
Current human exposures under control and protective remedy or remedies in place;
and
Current human exposures under control, and long-term human health protection
achieved.
The criteria for determining the Sitewide Human Exposure status at a site are found in the
Superfund Environmental Indicators Guidance Human Exposure Revisions, March 2008,
the Long Term Human Health Protection Data Quality Objectives document, and on the
Superfund Remedial Performance Measures website at:
https://www.epa.gov/superfund/superfund-remedial-performance-measures.
The Human Exposure (HE) evaluation reflects current sitewide conditions. For sites that
have been categorized as current human exposures under control and long-term human
health protection achieved, it also reflects reasonably anticipated future sitewide
conditions. As data collection and analysis or response actions occur or environmental
conditions change, it is expected that regions will update HE evaluations and update SEMS
to reflect changes in status. This should generally occur within 10 days of a known change.
It is expected that regions will review the status of all HE evaluations at a minimum
annually and confirm that each site has an updated and accurate HE evaluation. If there is
no change in the status of the site, update the 'Last Review Date' in SEMS on the HE tab
in the Environmental Indicators module within 10 days of the review.
Entering Human Exposure Data on the Exposure Pathway Description Tab of the
HE SEMS Module
EPA has committed to providing current human exposure evaluations to the public via its
Superfund Site Profiles available on the internet. As part of this effort, the Agency will
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provide descriptions of situations where a site is categorized as 'Insufficient Data' or 'Not
Under Control.' This information will be derived from SEMS. Consequently, it is critical
that regions maintain the quality of the Exposure Pathway Descriptions in SEMS.
When making a Human Exposure Not Under Control or Insufficient Data evaluation in
SEMS, regions must record exposure descriptions on the Exposure Pathway Description
tab in order to save the evaluation as draft. The purpose of this approach is to provide the
public with a succinct and clear description of why a site is so listed, along with information
about the steps EPA plans to take to address the exposures. Upon OSRTI review and
approval of the text, the human exposure evaluation will be saved in SEMS as final.
To help standardize the descriptions entered into SEMS, and to assure that similar exposure
scenarios are described consistently across regions, the templates below should be used
when populating the Exposure Pathway Description tab. The information entered on this
tab will appear on the publicly available Superfund Site Progress Profiles Webpage, so it
should be accurate, updated when necessary, and contain the information outlined below.
Current Human Exposure Not Under Control
The (insert site name) Superfund site is considered 'Current Human Exposure Not Under
Control' because (insert a detailed description of the current completed human exposure
pathway(s) not under control; include the contaminants of concern and media).
The planned activities to address this pathway are ( ).
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Example Justification:
The Site X Superfund site is considered 'Current Human Exposure Not Under Control'
because residents and recreational users of the creek can be exposed through direct contact
to arsenic and lead contaminated soils and sediments.
The planned activities to address this pathway are continuation of ongoing removal of
arsenic and lead contaminated soils.
EPA has already begun cleaning up the contaminated soil. Removal actions started in April
2007. Temporary fences to prevent access to the site were installed in May 2007. Warning
signs identifying the area as a Superfund site were posted in June 2007.
Insufficient Data to Determine Human Exposure Control Status:
There is insufficient information to determine the Sitewide Human Exposure Control status
at (insert site name) Superfund Site. (Provide general context for why there are insufficient
data at the site.) An example:
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(Insert site name) was (proposed/finalized) for the NPL on MM/DD/YY, and there has
been no evaluation of the human health exposure indication yet. (This does not necessarily
mean that unacceptable exposures are occurring.)
The planned activities to collect sufficient information to make a human exposure
evaluation are ( ).
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Example Justification:
There is not sufficient information available to determine the Sitewide Human Exposure
Control status at X Superfund Site because of a newly identified potential exposure
pathway and/or contaminant(s) (insert a detailed description of the human exposure
pathway of concern, include the contaminants of concern and media).
The activities planned to make the HE evaluation include ( ) (list whatever activity is
necessary to make the evaluation: e.g., data needed, conduct sampling, monitor basements
for vapor intrusion, complete risk assessment, and conduct well surveys).
(As appropriate, add the following: In addition, EPA [or state, or PRP or federal agency as
appropriate] is currently [insert summary descriptions of actions underway to address
human exposuresInclude any temporary controls that have been put in place to address
this exposure scenario e.g., fish advisory, fencing, signs])
Special Planning/Reporting Requirements:
The status of each site in the Human Exposure universe must be reviewed at least annually,
regardless of whether the site should change HE categories. The exposure justification
paragraphs for 'Not Under Control' and 'Insufficient Data' sites must be reviewed and
updated to reflect current site progress at least annually, or whenever conditions change. If
there is a known change in the HE status of a site, SEMS should be updated within 10 days
(Site Schedule/Environment Indicator(s)), and should be reviewed and approved by the
regional division director or his/her designee. HE evaluations should be made (and entered)
or reviewed at all Proposed, Final, and Deleted NPL sites and SAA sites prior to the end
of the fiscal year, September 30. In cases where this is not possible the region should
contact the data sponsor for these measures. HE changes entered during the first seven
working days of the new fiscal year will be counted as accomplishments for the prior fiscal
year. This practice may differ from that required for other measures; special notice should
be taken. Site condition changes may be documented in RODs, ROD Amendments,
Removal Action Memoranda, Pollution Reports, Close Out Reports, and Five Year
Reviews.
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This is a key program target and measure; the program reports accomplishments to external
parties and makes available to the public real-time changes to the exposure justification
paragraphs.1
1 For detailed information regarding HE determinations, see chapter 4 of the Superfund Environmental Indicators
Guidance: Human Exposure Revisions, March 2008. https://semspub.epa. gov/src/document/11/176152
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EXHIBIT VIII.22. HUMAN EXPOSURE EVALUATION FLOWCHART
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Accuracy Requirement:
The Sitewide Human Exposure Environmental Indicator is designed to allow Remedial
Project Managers (RPMs) to make first-hand determinations based on their knowledge of
current conditions at a site as well as actions undertaken at a site. Complete certainty
regarding the above factors is not a necessary condition to make a Sitewide Human
Exposure evaluation at a site. In characterizing a site as 'current human exposures not under
control', a region is making a determination that: 1) there are currently completed human
exposure pathways and 2) that those exposure pathways pose an unacceptable risk to
humans based on the magnitude, frequency, duration and route(s) of exposure relative to
the exposure concentrations and chemical intakes. Where a region lacks sufficient
information to make such a determination on whether there are completed pathways or
whether a completed pathway poses an unacceptable risk, a site should be classified as
'insufficient data to determine human exposure control status'. A site is placed in one of
the three 'under control' categories when a region has determined that there are not
currently completed human exposure pathways or that exposure(s) that may be occurring
do not pose an unacceptable risk to humans based on the magnitude, frequency, duration
and route(s) of exposure relative to the exposure concentrations and chemical intakes.
Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the HE
worksheet. To support the response for each worksheet question, the RPMs should provide
the Document number in the document number field for every document referred to in
answering each question. Further, the RPM should provide the complete citation of each
referenced document in the Reference section of the worksheet and also provide a complete
copy of each referenced document.
z. Migration of Contaminated Groundwater Under Control
The Migration of Contaminated Groundwater Under Control indicator assesses only
whether groundwater contamination is below protective, risk-based levels or, if not,
whether the migration of contaminated groundwater is stabilized and there is not
unacceptable discharge to surface water and monitoring will be conducted to confirm that
affected groundwater remains in the original area of contamination. This indicator is
limited to sites with known past and/or present groundwater contamination. The indicator
applies to proposed, final, and deleted NPL sites and SAA settlement sites, but only final
and deleted NPL sites count toward annual GPRA targets.
The criteria for determining if groundwater migration is controlled are found in Migration
of Contaminated Groundwater Under Control Survey (refer to exhibit VIII.24), the
Superfund Environmental Indicators Guidance Human Exposure Revisions, March 2008,
the Long Term Human Health Protection Data Quality Objectives document, and on the
Superfund Remedial Performance Measures website at:
https://www.epa.gov/superfund/superfund-remedial-performance-measures.
The Federal Facilities program is committed to providing the general public with
information about the Federal Facilities program's progress towards controlling the
migration of contaminated groundwater. In order to make the GM measure more
meaningful to the public, all Federal Facility sites that are classified as GMNC or GMID
must have a justification in SEMS. To help standardize the descriptions entered into
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SEMS, the templates below should be used when populating justifications in SEMS. The
information will be publicly accessible on the FEDFacts website, so it should be accurate,
updated when necessary, and contain the information outlined below.
Groundwater Migration Not Under Control
The (insert site name) Superfund site is considered 'Groundwater Migration Not Under
Control' because (insert a detailed description of why GM is not under control).
The planned activities to address the groundwater migration are ( ).
Insufficient Data to Determine Groundwater Migration Control Status
There is insufficient information to determine the sitewide Groundwater Migration status
at (insert site name) Superfund Site. (Provide general context for why there are
insufficient data at the site.)
An example:
(Insert site name) was (proposed/finalized) for the NPL on MM/DD/YY, and the (enter
lead Agency name) has not fully delineated all plumes associated with the site.
The planned activities to collect sufficient information to make a determination as to
whether groundwater migration is under control are ( ).
Special Planning/Reporting Requirements:
The Migration of Contaminated Groundwater Environmental Indicator worksheet must be
completed in SEMS and/or reviewed before the end of the fiscal year. For Federal Facility
NPL sites, the justification paragraphs for 'Not Under Control' or 'Insufficient Data' sites
must be updated to reflect current site progress at least annually, or whenever conditions
change. If there is a known change in Groundwater Migration (GM) status, SEMS should
be updated within 10 days (Site Schedule/Environment Indicator(s)). It is expected that
regions will review the status of all GM evaluations at a minimum annually, and confirm
that each site has an updated and accurate GM evaluation. GM evaluations must be made
(and entered) or reviewed at all Proposed, Final, and Deleted NPL sites and SAA sites prior
to the end of the fiscal year in order to be included in the Superfund Comprehensive
Accomplishments Plan (SCAP) end of year report pull. In cases where this is not possible
the region should contact the data sponsor for these measures. GM changes entered during
the first seven working days of the new fiscal year will be counted as accomplishments for
the prior fiscal year. This practice may differ from that required for other measures; special
notice should be taken. Site condition changes may be documented in RODs, ROD
Amendments, Removal Action Memoranda, Pollution Reports, Close Out Reports, and
Five Year Reviews.
This is a key program target and measure; the program reports accomplishments to external
parties.
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EXHIBIT VIII.23. SUPERFUND MIGRATION OF CONTAMINATED GROUNDWATER UNDER
CONTROL WORKSHEET
Definition: Is the migration of contaminated ground water being controlled through engineered or natural processes?
Insufficient Data to
Determine
Contaminated Ground
Water Migration
Under Control Status
Contaminated
Ground Water
Migration Under
Control
Contaminated
Ground Water
Migration Not
Under Control
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Accuracy Requirement:
The Groundwater Migration approach was designed to allow RPMs to make first-hand
determinations based on their knowledge of current conditions at a site as well as actions
undertaken at a site. These determinations must be made with reasonable certainty using
all available documentation on media contamination for current land and groundwater use.
Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and
Close Out Reports are typically consulted by RPMs to assist completion of the surveys. To
support the response for each worksheet question, the RPMs should provide the document
number in the document number field for every document referred to in answering each
question. Further, the RPM should provide the complete citation of each referenced
document in the Reference section of the worksheet and also provide a complete copy of
each referenced document.
aa. Population Protected
This measure tracks the environmental progress achieved at NPL, SAA and non-NPL sites
through the protection of human receptors from immediate threats of exposure to
contaminated media. The following information will be reported under this measure:
The number of human receptors protected during removals and remedial actions
that result in:
Relocation of affected populations; or
Provision of an alternate water supply.
Population Protected data are required upon a removal or remedial action start where a
population has been either relocated and/or provided an alternative drinking water supply
in association with the following actions: Removal; PRP Removal; FF Removal; Remedial
Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.
The following information must be entered into SEMS for each action resulting in a
population being relocated or provided an alternative source of drinking water:
Action: action associated with the population relocation or the provision of
alternative drinking water;
Affected Date: date the population was relocated or provided alternative drinking
water;
Protection Level: level (permanently, temporarily, or returned/reinstated) at which
the population was relocated and or provided alternative drinking water; and
Number Affected: number of people relocated or provided alternative drinking
water.
The Populations Protected screen can be accessed through the Population Affected Tab of
the Environmental Indicators screen.
Special Planning/Reporting Requirements:
Population Protected data are required to be updated once per year. Data documenting
relocation or provision of alternative drinking water can typically be found in RODs,
Action Memoranda, Pollution Reports, Remedial Actions Reports and Close Out Reports.
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OLEM Directive 9200.3-153
A source document and document number should be entered in SEMS for this measure.
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure.
bb. Cleanup Volume
This measure tracks the amount of contaminated media that has been treated, stabilized,
contained, or removed through the use of risk management technologies, engineering
techniques, or ICs.
Cleanup Volume data are required in association with a removal action (Removal, PRP
Removal, FF Removal) finish as defined in the Removal Start and Removal Completion
measures.
The following information must be entered into SEMS for each medium addressed by the
completed response action:
Cleanup Date: date contaminated media was addressed
Media Name: media name as documented in the Add/Edit Media screen and media
type
Original Amount: amount of contaminated media addressed
Original Unit: volumetric unit of contaminated media
The Cleanup Volumes screen can be accessed through the Clean-Up Volume Tab of the
Environmental Indicators screen.
Special Planning/Reporting Requirements:
Cleanup Volume data are required to be updated once per year. Data documenting volumes
of contaminated media addressed can typically be found in RODs, Action Memoranda, and
Pollution Reports. This activity may be tracked by HQ for program management purposes,
but it is not a program target or measure.
Part VI. Support Activities
cc. Support Agency Assistance
Support Agency Assistance refers to the activities performed by another entity to support
an EPA response action. The support agency furnishes necessary data to EPA, reviews
response data and documents, and provides other assistance to EPA. EPA may provide
states, political subdivisions, and Indian tribes with funding to carry out a variety of
management responsibilities via a support agency Cooperative Agreement to ensure
meaningful and substantial involvement in response activities.
Unless otherwise specified in the Cooperative Agreement, all support agency costs, with
the exception of RA support agency costs, may be planned under a single Superfund
account number designated specifically for support agency activities. RA support agency
activities must be planned site-specifically and require cost share provisions.
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OLEM Directive 9200.3-153
EXHIBIT VIII.24. SUPPORT AGENCY ASSISTANCE REQUIREMENTS
\\ (irk Package
Ac(i\ i(\/Milestone
IVrloniiiiiKT
1.011(1
Ac(i\ ilt/Milcsloni* Dale Re(|iiirenien(s
State Support Agency
Cooperative Agreement
EPA
Slarl: CooDcralix e Aureenieiil Siiuied b\ Regional
Administrator or his designee
Finish: Expiration or termination of the assistance
agreement
Special Planning/Reporting Requirements:
Funds for support agency assistance are contained in the pipeline operations, enforcement,
or Federal Facility Site Allowance. Start and finish dates need to be entered in SEMS.
Funds may be planned or obligated site or non-site and OU specifically; however, they
must be outlayed site-specifically. This activity may be tracked at the regional level but it
is not a program target or measure.
dd. Technical Assistance
Technical assistance is support provided by a third party to EPA regions to conduct
response activities. Third parties that may provide assistance include USACE, U. S. EPA
laboratories, U.S. Fish and Wildlife Service, Superfund Technical Assistance and
Response Team (START), and Remedial Action Contract (RAC) contractors.
EXHIBIT VIII.25. TECHNICAL ASSISTANCE REQUIREMENTS
\\ (irk Package
Ac(i\ il\/Milestone
Pc lit i nil iinco
lead
Ac(i\i(\/\lik's(one Dale Requirements
Technical Assistance
EPA, EPA In-
House, State,
Tribe, EPA
Oversight, State
Oversight
Start: Obligation of Funds for technical assistance
signed by the Contracting Officer
Finish: Completion of response activities for the staee
at which technical assistance was requested; or
Closeout of the task order or contract under which the
technical assistance was performed
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the Pipeline
Operations Site Allowance. Start and finish dates need to be entered in SEMS. Funds may
be planned or obligated site- or non-site and OU specifically; however, they must be
outlayed site-specifically. This activity may be tracked at the regional level but it is not a
program target or measure.
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Superfund Program Implementation Manual
FY 18
Chapter IX: Federal Facility Program
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CHAPTER IX: Federal Facility Program
Table of Contents
IX. A Federal Facilities Goals and Priorities IX-3
IX.A. 1 Overview IX-3
IX.A.2 Superfund Federal Facility Goals IX-3
a. Strategic Federal Facility Goals IX-3
b. Cross Program Revitalization Measure Implementation IX-5
IX.A.3 EPA's Federal Facility Superfund Cleanup Principles IX-5
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment IX-8
a. Overview IX-8
b. Federal Facility Docket Process and the Federal Facilities Site Discovery
Process IX-8
c. Federal Facility Site Assessment Process and Time Frames IX-9
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 ...IX-10
e. Federal Facility Site Assessment Reports & EPA Review and HRS EvaluationlX-
11
f. Tracking of Federal Facility Sites in SEMS IX-12
IX.A.5 BRAC Budget and Financial Guidance IX-12
a. Resources and Tracking Mechanisms IX-12
IX.A.6 Cleanup Privatization at BRAC NPL Sites IX-13
IX.A.7 Military Munitions Response Program IX-14
IX.A.8 Stakeholder Involvement IX-15
IX.A.9 Land Use Controls (LUCs) IX-15
IX. B Federal Facilities Targets and Measures IX-16
IX.B. 1 Overview of Federal Facilities Targets and Measures IX-16
IX.B.2 Data Entry Timeliness IX-16
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions IX-17
a. Remedial Site Initiation (Discovery) IX-17
b. Federal Facility Preliminary Assessment Reviews IX-18
c. Federal Facility Site Inspection Reviews IX-19
d. Federal Facility Expanded Site Inspection (ESI) Reviews IX-20
IX.B.4 Federal Facilities Accomplishment Definitions IX-21
a. Base Closure Decisions IX-21
b. Non-BRAC Property Actions IX-22
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA) IX-24
d. Federal Facility Dispute Resolution IX-24
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI) IX-24
f. Decision Documents IX-25
g. Final Remedy Selected IX-26
h. Remedy Decision Changes IX-2 7
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) IX-28
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)IX-28
k. Removal or RCRA Interim/Stabilization Measure (ISM) IX-30
I. Operation and Maintenance (O&M) IX-31
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m. Cleanup Goals Achieved IX-31
n. Percent Construction Completion IX-32
o. Federal Facility Five Year Reviews IX-33
IX.B.5 Community Involvement Definitions IX-35
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs).. IX-
36
b. Technical Assistance Grants (TAGs) IX-36
IX.B.6 Cleanup Privatization at BRAC NPL Sites IX-37
List of Exhibits
Exhibit IX. 1. Federal Facilities NPL Sites IX-16
Exhibit IX.2. Remedial Site Initiation (Discovery) Requirements IX-17
Exhibit IX.3. Federal Facility Preliminary Assessment Review Requirements IX-19
Exhibit IX.4. Federal Facility Site Inspection Review Requirements IX-20
Exhibit IX.5. Federal Facility Expanded Site Inspection Review Requirements IX-20
Exhibit IX.6. Base Closure Decision Requirements IX-22
Exhibit IX.7. Non-BRAC Property Action Requirements IX-23
Exhibit IX.8. FFA/IA Requirements IX-24
Exhibit IX.9. Federal Facility Dispute Resolution Requirements IX-24
Exhibit IX. 10. RI/FS or RCRA Facility Investigation (RFI) Requirements IX-25
Exhibit IX. 11. Decision Document Requirements IX-25
Exhibit IX. 12. Final Remedy Selected Requirements IX-26
Exhibit IX. 13. Remedy Decision Change Requirements IX-27
Exhibit IX. 14. RD or RCRA CMD Requirements IX-28
Exhibit IX.15. RA or RCRA CMI Requirements IX-28
Exhibit IX. 16. Remedial Pipeline Flow Charts IX-30
Exhibit IX. 17. Removal or RCRA ISM Requirements IX-31
Exhibit IX. 18. Operation and Maintenance Requirements IX-31
Exhibit IX. 19. Cleanup Goals Achieved Requirements IX-32
Exhibit IX.20. Percent Construction Complete Calculations IX-32
Exhibit IX.21. Federal Facility Five Year Review Requirements IX-33
Exhibit IX.22. RAB/SSAB Requirements IX-36
Exhibit IX.23. Technical Assistance Grant Requirements IX-36
Exhibit IX.24. Cleanup Privatization at BRAC NPL Sites Requirements IX-37
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CHAPTER IX: FEDERAL FACILITY PROGRAM
IX. A FEDERAL FACILITIES GOALS AND PRIORITIES
IX. A. 1 Overview
To facilitate cleanup, property transfer, and reuse, the Environmental Protection Agency
(EPA) has taken on a major role in forging proactive, innovative solutions to address
environmental problems at federal facilities. Within EPA, there are several offices that conduct
activities relating to federal facilities. To provide a unified program to the federal facility
community, these offices often collaborate on initiatives to meet stakeholder needs. The offices
most heavily involved in federal facility activities include:
Federal Facilities Restoration and Reuse Office (FFRRO)
Federal Facilities Enforcement Office (FFEO)
Office of General Counsel (OGC)
EPA Regional offices
Office of Superfund Remediation and Technology Innovation (OSRTI)
Multiple federal statutes establish requirements for EPA and other federal agencies to
protect health and the human environment through cleanups at Federal Facilities, including the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980,
which was amended by the Superfund Amendments and Reauthorization Act (SARA) in 1986; the
Defense Authorization Amendments and various Base Realignment and Closure (BRAC) Acts;
and the Resource Conservation and Recovery Act (RCRA).
With certain exceptions specified in CERCLA 120(a), each federal agency shall be subject
to CERCLA to the same extent as a private entity, including liability. Federal agencies shall
comply with all guidelines, rules, regulations, and criteria related to removal and remedial actions
and shall not adopt guidelines inconsistent with those established by the EPA Administrator.
To manage the Superfund Federal Facilities program, FFRRO and FFEO engage the
Federal Facilities Leadership Council (FFLC) to identify and resolve issues unique to the
management of EPA's Superfund Federal Facility (FF) response program. The FFLC is comprised
of Superfund and/or the RCRA program and enforcement/counsel representatives from all regions,
as well as representatives from the Federal Facilities Headquarters (HQ) offices and other HQ
offices that handle Federal Facilities. The guidance documents and policy memos referenced in
this chapter may be found by searching by title or document number on the Cleanups at Federal
Facilities webpage at: https://www.epa.gov/fedfac
IX.A.2 Superfund Federal Facility Goals
a. Strategic Federal Facility Goals
Superfund Federal Facility activities have high visibility because of the significant threats
posed by military sites, the impact of military base closings, the resources needed to
implement Department of Defense (DoD)/Department of Energy (DOE) cleanup efforts at
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facilities listed on the National Priorities List (NPL) and other non-NPL facilities, and
heightened state, tribal, local governments and other stakeholder interests. Federal Facility
program goals are based on a number of related factors, including overall Superfund
program goals, anticipated resource constraints, and statutory requirements. Program
activities and resources should be planned to achieve the following goals of the Federal
Facility program:
Percent Construction Complete (CC) - The percent construction complete measure
is based on the average of three specific factors at each Federal Facility NPL site:
1) Operable Unit (OU) percent complete; 2) Total actions percent complete; and 3)
Duration of actions percent complete.
Property Transfer and Reuse - Federal Facility NPL sites generally encompass
thousands of acres. EPA is committed to returning this land to beneficial reuse, in
coordination with the goals of the other Federal Agencies to dispose of excess
federal property, and to help stimulate local economies. During the remedy
selection phase, cleanup goals are set based upon planned future land use. Property
transfer and reuse might occur at DoD installations that were slated for closure or
realignment via the BRAC process or at sites where local communities have
expressed interest to acquire land for redevelopment purposes. Land can be
transferred as smaller parcels of the larger property, as the federal owner often
retains portions of the property for ongoing use or because remedial action
objectives have not yet been achieved. Regardless of how property slated for
transfer is identified, EPA's core mission of protecting human health and the
environment remain a key focal point during when decisions are made related to
transfer.
Environmental Indicators - The environmental indicators Human Exposure (HE)
Under Control and Groundwater Migration (GM) are reported under the
Government Performance and Results Act (GPRA) framework for the Superfund
program. These measures provide current site information regarding risk reduction
to human health and the environment at NPL Sites.
Sitewide Ready for Anticipated Use (SWRAU) - Revitalization is one of the Office
of Land and Emergency Management's (OLEM) highest priorities. The number of
acres EPA has found suitable for transfer or lease are currently being tracked by
EPA in the Superfund Enterprise Management System (SEMS). The SWRAU
GPRA performance measure documents the number of final and deleted
construction complete NPL sites where, for the entire site or facility:
All cleanup goals in the Record(s) of Decision (ROD) or other remedy decision
document(s) have been achieved for media that may affect current and
reasonably anticipated future land uses of the site, so that there are no
unacceptable risks; and
All institutional or other controls required in the RODs or other remedy decision
document(s) have been put in place.
Involving Citizens. Local Governments, and Tribes in Environmental Decision
Making - The publication of the Final Report of the Federal Facilities
Environmental Restoration Dialogue Committee (FFERDC) in April 1996 was a
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watershed event for public involvement in Federal Facility cleanups. As a result of
the Report, federal agencies have established Restoration Advisory Boards (RABs)
at DoD installations and Site-Specific Advisory Boards (SSABs) at DOE facilities.
Other federal agencies have also formed advisory boards. Regional staff and
management are expected to be especially sensitive to the requests at NPL facilities
and BRAC facilities. Because of resource constraints, EPA regional participation
and support for non NPL facilities is minimal. Regions need to work closely with
state agencies and their federal counterparts to ensure that the President's Executive
Order on Environmental Justice is successfully carried out (E.O. 12898).
Enforcing the Laws - The public needs to know that it will be protected from
environmental hazards through vigorous enforcement by the EPA and the states for
violations of environmental laws and situations that put people and natural
resources at risk. EPA intends to use its enforcement authorities not only to compel
compliance, but also to promote long term policy objectives such as greater citizen
involvement, pollution prevention, technology development, and natural resource
management.
Regions should continue to strive to place these priorities and project milestones in
enforceable Federal Facility Agreements (FFAs)/Interagency Agreements (IAs) at NPL
sites. FFAs and IAs should reflect the best judgments by all parties of cleanup priorities
and milestones at the time of agreement.
b. Cross Program Revitalization Measure Implementation
Federal Facilities and remedial programs continue to implement the OLEM-wide Cross
Program Revitalization Measures (CPRM) effort by tracking the number of actually or
potentially contaminated, or previously contaminated, sites and surface acres that are
'Protective for People Under Current Conditions' (PFP) and 'Ready for Anticipated Use'
(RAU).
Sites and surface acres tracked by these measures include investigated land, wetlands,
surface water, and/or sediments for which these programs have a documented oversight
role for any necessary assessment, remedial action, and/or property transfer. The Federal
Facilities and Superfund programs are using the current Human Exposure Under Control
Environmental Indicator as basis for determining whether sites and acres are PFP; the PFP
measure captures the number of acres at a site for which there are no complete pathways
for human exposure to unacceptable levels of contamination based on current site
conditions.
The program is also tracking two optional indicators, Status of Use and Type of Use. These
indicators describe how the acres are being used when the determination is made for the
PFP and RAU performance measures. Acres and sites that meet CPRM PFP and/or RAU
criteria as well as Status and Type of Use information are documented via a checklist in
SEMS. Acres are measured on an OU or property transfer parcel basis.
IX.A.3 EPA's Federal Facility Superfund Cleanup Principles
Consideration of Human Health and Environmental Risk and Other Factors in Federal
Facility Environmental Cleanup Decision Making: Protection of Human Health and the
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Environment and meeting state applicable or relevant and appropriate requirements (ARARs) are
threshold criteria at all Superfund sites, including Federal Facilities. Addressing the greatest risk
sites will generally be a driving factor, but not the only factor in determining environmental
cleanup priorities and milestones. In setting priorities and milestones, regions should consider:
Human Health and Environmental Risk: Risk assessments and other analytical tools used
to evaluate risks to human health (including non-cancer as well as cancer health effects)
and the environment all have scientific limitations and require assumptions in their
development. As decision-aiding tools, risk assessments should only be used in a manner
that recognizes those limitations and assumptions. In addition to criteria established by
statute, regulation or guidance, as noted below there are other factors that affect whether
and to what extent cleanups are to occur.
Emerging pollutants, contaminants and hazardous substances of concern: As analytical
detection methods improve and health risk data are better defined, EPA and the federal
community are detecting chemicals, like perchlorate, perfluorinated compounds, and
Trichloroethylene (TCE), at lower levels of concern and at a greater number of sites. Thus,
we may need to expand the scope of investigations and cleanup actions, and take other
actions to adequately address these chemicals.
Other Factors: In addition to human health and environmental risk, other factors that
warrant consideration in setting environmental cleanup priorities and milestones include,
but are not limited to:
cultural, social, and economic factors, including environmental justice
considerations
short-term and long-term ecological effects and environmental impacts in general,
including damage to natural resources and lost use
making land available for other uses
acceptability of the action to regulators, tribes, and public stakeholders
statutory requirements and legal agreements
life cycle costs
permanence and reliability of remedy
pragmatic considerations, such as the ability to execute cleanup projects in a given
year, and the feasibility of carrying out the activity in relation to other activities at
the facility
overall cost and effectiveness of a proposed activity
Green Remediation: The practice of considering all environmental effects of remedy
implementation and incorporating options to minimize the environmental footprints of
cleanup actions. EPA strives for remedies that use natural resources and energy efficiently,
reduce negative impacts on the environment, minimize or eliminate pollution at its source
and reduce waste to the greatest extent possible. Therefore, green remediation reduces the
demand placed on the environment during cleanup actions. EPA's OSWER issued the
Principles for Greener Cleanups, August 2009. ('Principles document'). The Principles
document defines the five core elements that may be considered when evaluating and
implementing a green cleanup: Total Energy Use and Renewable Energy Use, Air
Pollutants and Greenhouse Gas Emissions, Water Use and Impacts to Water Resources,
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Materials Management and Waste Reduction and Land Management and Ecosystems
Protection. Green Remediation practices fit within existing cleanup programs and comply
with existing statutes and regulations. Green Remediation can be applied throughout all
phases of cleanup, including site investigation, design, construction, operation, and
monitoring. For more information, visit the Greener Cleanups website at:
https://www.epa. gov/ greenercleanups
Collaboration: The Federal Facilities response program will continue to work in a
collaborative fashion with other federal agencies, other regulators, tribal governments,
local governments and communities. In many situations, EPA's statutory responsibilities
will place the Agency in a leadership role that requires convening the relevant parties and
facilitating interaction. In other situations, EPA will simply act as one of the many
interested parties in a collaborative problem-solving effort convened by another federal
agency, tribe, state, local government or a private entity. However, it is important to recall
that collaboration cannot replace the core functions of a regulatory agency nor compromise
EPA decision-making and enforcement responsibilities. Typically, EPA looks to all
affected stakeholders for ideas and innovative solutions and, where appropriate,
incorporates stakeholder recommendations into policy and practice.
Innovation: Federal Facilities should continue to serve as a test bed for new cleanup
technologies and new cleanup processes. We should continue efforts, working with others,
to promote more effective and efficient cleanups that support redevelopment and reuse of
contaminated properties, especially those that support the mission of the responsible
agency. Efforts to improve and streamline the cleanup process should continue to focus on
reducing paperwork and developing more collaborative relationships among all parties.
Consistency of Treatment between Federal Facilities and Private Sites: Federal Facilities,
especially NPL sites, are generally large complex sites. CERCLA requires that Federal
Facilities be treated the same as other entities.
Environmental Justice: As Federal Facilities affect many diverse communities and
communities of low income, the federal Government has an obligation to make special
efforts to reduce the adverse effects of environmental contamination related to Federal
Facility activities on affected communities that have historically lacked economic and
political power, adequate health services, and other resources. This needs to continue to be
a focus for the program.
Stakeholder Involvement: Despite a very impressive record of success, involvement by the
public continues to be an area where improvements can be made. Federal Facility cleanup
decisions and priorities should reflect a broad spectrum of stakeholder input from affected
communities including indigenous peoples, low-income communities, and minority
groups. Stakeholder involvement has, in many instances, resulted in significant cleanup
cost reductions. It should therefore not only be considered as a cost of doing business but
as a potential means of efficiently determining and achieving acceptable cleanup goals.
The Role of Negotiated Cleanup Agreements: Enforceable cleanup agreements play a
critical role both in overseeing priorities at a site and providing a means to define and
balance the respected interdependent roles and responsibilities in Federal Facilities cleanup
decision making. EPA must continue to hold federal agencies accountable for meeting the
terms of these agreements to ensure timely and protective cleanup.
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The Critical Role of Future Land Use or Activity Determinations: Reasonably anticipated
future land uses should be considered when making cleanup and reuse decisions for Federal
Facilities. The communities that are affected by Federal Facility cleanups, along with their
state and local governing bodies and affected tribes, should be given a significant role in
determining reasonably anticipated future use of federal property that is expected to be
transferred, and in how future use determinations will be used in making cleanup decisions.
The Importance of Characterizing Sites Correctly: The identification and characterization
of contamination and the evaluation of health impacts on human populations and ecological
effects are essential parts of the cleanup process. If a quality characterization is done,
money and time can be saved during the response phase. Characterization must also include
proper quality assurance/quality control processes to ensure that data are used to make
decisions of known and reliable quality.
IX.A.4 Federal Facility Docket and Site Discovery/Site Assessment
a. Overview
The U.S. EPA Federal Agency Hazardous Waste Compliance Docket (Docket) Process
and Federal Facility Site Discovery/Site Assessment Process are different from the non-
Federal Facility Site Assessment Process; and are governed by a specific set of statutes and
guidance in the CERCLA, 1980, as amended by the SARA, 1986, and in the National
Contingency Plan (NCP). The Federal Facilities process is different in at least four ways:
1. Federal Facility Docket Process and Federal Facilities Discovery Process: The
process for Federal Facilities involves listing Federal Facility sites on the Docket
(CERCLA/SARA section 120(c)) prior to any listing of the Site Discovery in
SEMS.
2. Federal Facilities Site Assessment and Time Frames: The time frame for
completion of Federal Facilities site assessment activities following Site Discovery
is that of 'a reasonable time schedule' (CERCLA/SARA section 120(d)) as
Amended in 1997; and for completion of Hazard Ranking System (HRS)
evaluations the time frame is within four years from Site Discovery.
3. Authority for Conducting Federal Facility Site Assessments - Executive Order
12580: The authority for conducting Federal Facility site assessments has been
delegated to the federal agencies under Executive Order 12580 (E.O. 12580), and
CERCLA 120(h).
4. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation:
EPA is required to review Federal Facility site assessment reports and evaluate such
facilities in accordance with the HRS criteria (authority retained by EPA).
b. Federal Facility Docket Process and the Federal Facilities Site Discovery Process
EPA is required to establish a Federal Agency Hazardous Waste Compliance Docket
('Docket') under section 120(c) of the CERCLA of 1980, as amended by SARA of 1986.
section 120(c) requires EPA to establish a Docket that contains information reported to
EPA by Federal Facilities that manage hazardous waste or from which a reportable quantity
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of hazardous substances, pollutants, or contaminants have been or may be released. The
Docket was established by EPA in 1988.
The Docket is used to identify Federal Facilities that should be evaluated to determine if
they pose a threat to public health or welfare and the environment; and to provide a
mechanism to make this information available to the public. As new facilities are reported
to EPA by federal agencies, EPA publishes a list of these facilities in the Federal Register.
The Docket contains information submitted by federal agencies under the following
authorities:
Section 103 of CERCLA requires owners or operators of vessels or facilities to
notify the National Response Center of a release of a reportable quantity of a
hazardous substance (notification of a release or potential release);
Section 3005 of RCRA provides EPA authority to establish a permitting system for
hazardous waste treatment, storage, and disposal (TSD) facilities, which in turn
requires them to submit certain information as part of the permit application
(interim status/permitting authority). The hazardous waste permitting program is
generally implemented by authorized states;
Section 3010 of RCRA requires hazardous waste generators, transporters, and TSD
facility owners/operators to notify EPA of their hazardous waste activities
(notification of hazardous waste activity);
Section 3016 of RCRA requires Federal Facilities to submit an inventory of
hazardous waste sites they own or operate, or have owned and operated in the past
(biennial inventory of hazardous waste activities);
'Other' has been added as a reporting mechanism to indicate those Federal
Facilities that otherwise have been identified to have releases or threat of releases
of hazardous substances. EPA's National Contingency Plan (NCP), (40 CFR
300.405) further addresses the discovery or notification and outlines what
constitutes discovery of a hazardous substance release, and states that a release may
be discovered in several ways.
This information is collected and stored in the Federal Facilities E-Docket tool. Facilities
are identified via web query pulls from RCRAInfo and the Web-based Emergency
Operations Center (WebEOC), and is compiled for Regional Docket Coordinator review
and proposal to the Docket. Following publication of the site's addition to the Docket in
the Federal Register, the site must immediately be entered in SEMS as a Site Discovery.
The Site Discovery Date is that of the publication in the Federal Register. For additional
information see the Docket Reference Manual, Federal Agency Flazardous Waste
Compliance Docket, Interim Final, November 2013; as well as the Federal Agency
Hazardous Waste Compliance Docket website at: https://www.epa.gov/fedfac/federal-
agencv-hazardous-waste-compliance-docket
c. Federal Facility Site Assessment Process and Time Frames
CERCLA/SARA, as amended, section 120(d) (1) requires that EPA take steps to assure
that a Preliminary Assessment (PA) be completed and that evaluation and listing of sites
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be completed within a reasonable time frame (CERCLA/SARA, as amended, section
120(d) (3)) for each Federal Facility included on the published list of Federal Facilities
reported pursuant to section 120(c) of CERCLA/SARA (the 'Federal Facilities docket').
The PA is designed to provide information for EPA to consider when evaluating the site
for potential listing on the NPL. E.O. 12580 delegated the authority to conduct Federal
Facility PAs and, when warranted, Federal Facility Site Inspections (Sis) to the federal
agencies.
EPA believes the most reasonable schedule for assessing Federal Facility sites listed on the
Docket would be one consistent with the schedule for assessing non-Federal Facility sites
which are tracked in SEMS. Potential budgeting issues of a Federal Facility may also be a
factor in conducting a PA. Under Superfund policy (OSWER directive 9200.3-14-1E),
EPA attempts to complete a non-Federal Facility PA within one year of that site's
discovery (inclusion in SEMS). However, the need of federal agencies to wait for the next
budget cycle to obtain funding may make the one year time frame problematic in some
cases. Further, past experience using the 18 month time frame has shown it to be a
reasonable period of time for completion of the Federal Facility PA. As a result, it is
appropriate to expect Federal Facilities to strive to submit completed Federal Facility PA
Reports within 18 months from inclusion on the Docket. Of course, in cases where a PA
petition is submitted pursuant to CERCLA section 105(d), a PA may need to be completed
within 12 months.
It is worth noting that under section 116(b) of SARA, a facility should be evaluated within
four years of SEMS listing. EPA believes this is a reasonable time frame for making listing
decisions at Federal Facility sites as well. On receipt and following evaluation of a Federal
Facility PA and, if warranted, a Federal Facility Site Inspection (SI), EPA would make a
determination either of No Further Remedial Action Planned (NFRAP) under EPA's
Superfund program (CERCLA/SARA); or of potential NPL candidate. However, if further
EPA involvement is warranted for an HRS evaluation and proposal of the site to the NPL,
then all these steps, from Discovery to NPL proposal, have to be completed within a four
year time frame. Historically, it was sometimes difficult for EPA and the federal agencies
to complete these tasks within the 30 months originally provided under section 120(d), and
EPA believes 48 months is a more appropriate and reasonable time frame for both the
Federal Facility and EPA.
EPA and the individual agencies should work together to ensure these time frames are met.
d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580
Sections 104(b) and (e) of CERCLA grant to the President broad investigative authority to
conduct a PA and/or a SI. The President has delegated this authority through E.O. 12580 to
the heads of the respective federal executive departments and agencies with jurisdiction,
custody, or control over their facilities. The NCP provides for the lead federal agency to
perform a PA and, as appropriate, an SI, on all sites on the Docket and in SEMS (see
CERCLA/SARA 120(d) and 40 CFRPart 300.420(b)(1) and (c) (1)). Section 300.5 of the
NCP defines 'lead agency' generally as that federal executive agency with jurisdiction,
custody, and control over the facility on which a release occurs or is from (except in the
case of an emergency). Accordingly, each federal agency typically is the lead agency to
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conduct a PA or an SI on facilities within its respective jurisdiction, custody, or control.
Lead agency, or the responsible federal agency, can differ from the federal agency
ownership party. The Federal Agency Owner field of the Docket is the federal department
or agency that owns the facility at the time of Docket listing, deletion, and/or correction
whereas the Responsible Federal Agency is the lead agency responsible for the oversight.
EPA must take steps to ensure that a PA is completed for facilities on the Federal Facilities
docket where the respective federal agencies are delegated the authority to conduct a PA
or SI, and thus the respective federal agencies are the 'lead agency' for conducting such
investigations.
Federal Facilities that conduct a PA may satisfy some of the PA reporting requirements
through work already conducted pursuant to the RCRA corrective action program or state
cleanup programs. For example, a facility at which a RCRA Facility Assessment (RFA)
has been conducted may base its PA on the RFA report. When work conducted under such
non-CERCLA authorities is the basis for satisfying PA requirements, the facility should
demonstrate that all information required for the CERCLA PA is provided. In some
instances, it may be appropriate to provide supplemental information to ensure that all
hazardous substances, pollutants, or contaminants at the facility are addressed. Similarly,
at a Federal Facility sites when under CERCLA 120(h) ownership Federal Real Property
is being transferred, where there have been observed releases, the Federal Facilities may
satisfy some of the PA reporting requirements through work already conducted for General
Services Administration (GSA) Environmental Phase II Reports or other environmental
investigations done by DoE/DoD. Again, as in the foregoing RCRA Facility Assessment
discussion, the Federal Facilities should demonstrate that all information required for the
CERCLA PA is provided, and as appropriate, provide similar supplemental information as
mentioned above.
For additional information see the Federal Facilities Remedial Preliminary Assessment
Summary Guide, July 2005 and the Federal Facilities Remedial Site Investigation
Summary Guide, July 2005.
e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation
For Federal Facilities, the site assessment process under CERCLA/SARA begins when the
Federal Facility site has been listed on the Docket. When a Federal Facility submits a
Federal Facility PA report (also see CERCLA 104(h)), and if warranted a Federal Facility
SI report, EPA evaluates the site in accordance with the HRS final rule1 to determine
whether the site poses a threat to human health and the environment.
If EPA determines that the site does not pose a threat to human health and the environment
based on the data provided in the PA or SI reports, then EPA will designate a decision of
NFRAP under Superfund. A decision not to take further response/remedial action under
the Superfund program is based on a finding that the facility/situation does not meet the
minimum CERCLA eligibility requirements or that there is insufficient threat to human
1 Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December
14, 1990.
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OLEM Directive 9200.3-153
health or welfare, or the environment to be included or proposed at this time on the NPL
by the EPA. This decision does not preclude any further action at the facility by other EPA
programs, by the states or other federal agencies. If there is a clear non-compliance with
other environmental programs, EPA will make a deferral to the appropriate alternate
authorities. Should EPA receive new information and/or issue new rule making that
warrants further EPA involvement, EPA will reactivate the site.
If the results of a Federal Facility SI indicate that the Federal Facility site warrants further
investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to
evaluate propose the site on the NPL. To make such an NPL decision, EPA may collect
further data to complete the HRS package.
f. Tracking of Federal Facility Sites in SEMS
Federal Facilities are tracked in SEMS, EPA's official CERCLA/SARA sites tracking
system. It allows authorized EPA SEMS users to enter new Federal Facility Docket sites.
SEMS users can access that and other screens to select and track Federal Facility sites in
the SEMS universe, and to manage site assessment activities (i.e., Federal Facility
Preliminary Assessment Review and Federal Facility Site Inspection Review actions) at
these sites.
SEMS tracks site assessment activities that are being or have been conducted for all Federal
Facilities listed on the Docket pursuant to CERCLA section 120 et al.
For more in depth understanding of the site assessment process for Federal Facilities,
please reference the following documents:
EPA Federal Facilities Remedial Preliminary Assessment Summary Guide, July
2005:
EPA Federal Facilities Remedial Site Investigation Summary Guide, July 2005;
Appendix A to the above: Federal Facilities Remedial Preliminary Assessment
Summary Guide, July 2005 and Federal Facilities Remedial Site Investigation
Summary Guide, July 2005 for Law/Regulations: Summary of Appropriate
Legislation/Regulation; Definition of Site; and Site Assessment Process for Federal
Facilities;
EPA Guidance for Performing Preliminary Assessments Under CERCLA, OSWER
9345.0-01A, September 1991;
EPA Guidance for Performing Site Inspections Under CERCLA, Interim Final,
OSWER 9345.1-05, September 1992.
IX.A.5 BRAC Budget and Financial Guidance
a. Resources and Tracking Mechanisms
The primary mission of the BRAC program is to ensure that the hazardous waste sites
owned or operated by the Military Components are addressed, cleaned up and in some
cases made available for transfer and/or lease as quickly as possible. BRACs occurred in
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five different rounds: 1988 (BRAC I), 1991 (BRAC II), 1993 (BRAC III), 1995 (BRAC
IV), and 2005 (BRAC V).
BRAC I-IV
In 1994, EPA and DoD signed the first BRAC Memorandum of Understanding (MOU)
establishing responsibilities and funding for EPA's assistance in accelerating cleanup at
107 realigning and closing installations. However, the MOU expired in September 2016
and EPA will no longer participate at non-NPL BRAC sites to assess BRAC properties and
determine their suitability for transfer and/or lease, accelerate cleanup actions, or ensure
that remedies selected reflect the views of the affected communities surrounding the sites
and the proposed future reuse. EPA's annual budget request does not include additional
support for BRAC I - IV-related services to DoD at non-NPL facilities. If EPA services are
required at BRAC I - IV non-NPL installations, EPA would seek reimbursement from
DoD.
BRACV
EPA continues to fulfill its statutory obligations at the 72 NPL installations which were
affected by the fifth round of BRAC, and at certain non-NPL bases where EPA has a
regulatory role. In addition, EPA regions may be requested to perform activities by states,
tribes, local governments, the military components or others at certain facilities where EPA
has no formal regulatory role. Given EPA's resource constraints, each region has to
examine those requests individually and determine whether it can positively respond.
EPA's annual budget request does not include additional support for BRAC-related
services to DoD at non-NPL BRAC V facilities. If EPA services are required at levels
above its base for non-NPL BRAC V related installations, EPA would seek reimbursement
from DoD. See the Interim Guidance for EPA's Base Realignment and Closure (BRAC)
Program, April 2006 for more information.
IX.A.6 Cleanup Privatization at BRAC NPL Sites
EPA recognizes that the privatization of the cleanup at BRAC sites can present an
opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provide
another option to federal and state agencies and local communities to help maximize the impact of
cleanup and redevelopment resources to help move properties back into productive reuse more
quickly.
Privatization refers to a site where: 1) a non-federal party will take title to BRAC property;
2) the property will be transferred using CERCLA 120(h)(3)(C) early transfer, covenant deferral
authority; and 3) the transferee, rather than the military, will conduct the cleanup using funding
provided by the DoD. The DoD funding to the transferee is provided through an Environmental
Services Cooperative Agreement (ESCA). Other documents that are typically required for such
transfers include an amendment to the existing Federal Facility Agreement. The amendment
provides: that in the event the transferee defaults on the cleanup of the property or fails to meet the
cleanup standards, the military is obligated to return and complete the cleanup; negotiation of an
Administrative Order on Consent (AOC) with the non-federal entity who is to be responsible for
the cleanup; and the issuance of a Finding of Suitability to Early Transfer (FOSET). Importantly,
the AOC provides for continuing EPA and state oversight and the reimbursement of such oversight
costs. (See pages 18-21 of the Interim Guidance for EPA's Base Realignment and Closure (BRAC)
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Program, April 2006) Early transfer covenant deferral requests seek deferral of the CERCLA
120(h)(3)(A)(ii)(I) deed covenant that all remedial action has been taken.
IX.A.7 Military Munitions Response Program
Millions of acres of former munitions use or manufacturing areas have been transferred
from DoD control to non-federal entities or other federal agencies to be used for other purposes (a
large percentage of these properties now are identified as Formerly Used Defense Sites [FUDS]).
DoD has an online inventory of munitions response sites (MRS) and associated acreage that are
potentially contaminated. Furthermore, active military installations and installations affected by
the BRAC program may have locations other than operational ranges contaminated with Munitions
and Explosives of Concern (MEC) and Munitions Constituents (MC). While some MRS are fairly
small (e.g., small arms ranges, burial pits and trenches), others may be dozens or even hundreds
of square miles in area (e.g., former bombing ranges). In addition to MEC, these MRS may have
soil, groundwater, and surface water contamination from MC or other sources (including
explosives and heavy metals, depleted uranium, and at a small number of sites, chemical warfare
agents or chemical warfare materiel. The MC may derive from a number of sources. Such sources
include: live-fire training or testing, low order detonations of munitions used in training or testing,
open burning and open detonation (OB/OD) treatment/destruction activities, or munitions burial.
Explosives safety (e.g., the potential for the detonation of MEC) is usually the principal concern
during munitions response actions involving MEC.
The National Defense Authorization Act for FY 2002 (P.L. 107-107) directed DoD to
develop and maintain an inventory of defense sites that are known or suspected to contain
unexploded ordnance, discarded munitions or munitions constituents. The Handbook on the
Management of Munitions Response Actions, Interim Final, May 2005 is designed to facilitate a
common understanding of the state of the art of MEC detection and munitions response, and to
present EPA guidance on the management of munitions response actions. The EPA Munitions
Response Guidelines, OSWER 9200.1-101, July 2010 were developed to provide guidance to
project managers overseeing munitions response actions at locations other than operational ranges
where MEC/MC are suspected to be or have been encountered. Types of response actions include,
but are not limited to, assessments, investigations and cleanups under the authorities of CERCLA,
RCRA, and, where appropriate, response actions under other federal environmental authorities,
such as the Safe Drinking Water Act (SDWA). The Guidelines may be useful in situations
involving enforcement, permitting, and emergency or time critical actions where MEC/MC are
involved. There are several ongoing collaborative efforts with DoD, states and others to address
MRS issues. These include multi-agency munitions response policy workgroups, training
programs, quality assurance/quality control requirements, and technology evaluations.
EPA issued Recommendations for EPA Regional Offices on Preliminary Assessments and
Site Inspections for the Department of Defense Military Munitions Response Program, OSWER
9200.3-60, April 2010 to the regions to clarify issues with the DoD Military Munitions Response
Program (MMRP). In some situations, an MRS that is within the boundaries of an NPL site may
not be currently included in the list of areas of concern, facility inventory, or other description of
sites to be addressed under a FFA or other document providing for regulatory oversight (e.g.,
RCRA 7003 order). The MRS should be added to the FFA (or other oversight document) as soon
as practicable together with an enforceable schedule of milestones, including primary and
secondary documents. To resolve any disagreements that arise over adding the MRS, EPA regions
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should use the tools provided by the applicable FFA, including the Dispute Resolution process.
Neither Congress' enactment of Defense Environmental Restoration Program (DERP) providing
funds to address munitions, nor DoD's administrative creation of its MMRP to spend that money,
exempts DoD from or alters CERCLA section 120 requirements. That includes the requirement
for an FFA for any cleanup at a Federal Facility on the NPL.
IX.A.8 Stakeholder Involvement
By Executive Order, Federal Facilities have lead responsibilities for cleanup activities
under CERCLA. This means that they are responsible for implementing the full suite of
community involvement activities that Superfund performs for private sites. Federal Facilities are
required to staff this function with personnel who are knowledgeable about all aspects of public
participation and who are authorized to encourage and support the public in becoming involved in
the cleanup decision-making process through early and meaningful community involvement
activities. In its regulatory role, Superfund provides oversight of this activity, principally through
its Community Involvement Coordinators (CIC). In the absence of an assigned CIC, the Superfund
Remedial Project Manager is responsible to ensure early and meaningful public participation
through all cleanup stages. In particular, Superfund staff will ensure that public participation
documents, like the Proposed Plan, are of the highest quality in terms of clarity, completeness,
ease of use and plain language. For DoD sites, Superfund staff will participate in RAB, offer
Technical Assistance Grants, remind the DoD facility to offer their Technical Assistance for Public
Participation (TAPP) program to RAB members, assure that the facility updates its mailing list
and provides frequent community update fact sheets, and approximately every two years, review
the Community Involvement Plan (CIP) to determine the need for an update. For Department of
Energy sites, the above applies, except that the stakeholder groups are called SSABs.
IX.A.9 Land Use Controls (LUCs)
Land Use Controls (LUCs) may consist of non-engineered instruments, such as administrative and
legal controls or engineered and physical barriers, such as fences and security guards. LUCs help
to minimize the potential for exposure to contamination and/or protect the integrity of a response
action and are typically designed to work by limiting land and/or resource use or by providing
information that helps modify or guide human behavior at a site.
LUCs may be used when contamination is first discovered, when remedies are ongoing and when
residual contamination remains onsite at a level that does not allow for unrestricted use and
unlimited exposure after cleanup. The National Contingency Plan (NCP) emphasizes that LUCs
are meant to supplement engineering controls and that LUCs should rarely be the sole remedy at
a site.
EPA issued guidance, Sample Federal Facility Land Use Control ROD Checklist with Suggested
Language (LUC Checklist), OSWER 9355.6-12, January 2013. The LUC Checklist provides
direction on describing and documenting land use controls (LUCs) in federal facility response
actions under CERCLA in Records of Decision (RODs), remedial designs (RDs), and remedial
action work plans (RAWPs). The LUC Checklist also provides recommended language for
creating enforceable LUC requirements in these documents to ensure the protectiveness of
CERCLA remedies. EPA Regional programs are responsible for ensuring that land use controls
(LUCs) or ICs are properly documented for federal facility NPL sites and some BRAC sites.
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IX. B FEDERAL FACILITIES TARGETS AND MEASURES
IX.B.l Overview of Federal Facilities Targets and Measures
The following pages contain, in pipeline order, the definitions of Federal Facilities targets
and measures. Exhibit IX. 1 displays the internal and external reporting hierarchy for the full list
of Federal Facilities activities defined in this chapter.
Regions are responsible for entering data into SEMS for Federal Facility sites, especially
BRAC Sites where regions are involved. This data includes, where appropriate, FUDS, PA, SI,
removals, decision documents, acres transferred, etc.
EXHIBIT IX.1. FEDERAL FACILITIES NPL SITES
Ac(i\ ilj
K Ml-I'll ill
Pro^mm
Reporting
Inlcniiil
Rcporlinii
FF As/I As
Measure
Remedial Site Assessment Completions
ACS,
Strategic Plan
RI/FS or RFI Starts
Target
Decision Documents (RODs, ROD Amendments, Explanation of Significant
Differences [ESDs], Action Memos)
Target
Final Remedy Selected
Target
RD or RCRA CMD Starts
Measure
RD or CMD Completions
Measure
RA or CMI Starts
Target
RA or CMI Completions
ACS
(RA only)
Target
Removal or RCRA ISM Starts
Measure
Removal or ISM Completions
Measure
Operation and Maintenance (O&M) Starts
Measure
Percent Construction Completion
Target
Federal Facility Five-Year Reviews (FYR)
Target
Key to Reporting Hierarchy
ACS = Regional targets are established in Annual Commitment System.
Strategic Plan = National target is publicly reported in Agency's Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
IX.B.2 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. It is important that data for future
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FY projections, 3-years from the current FY, is projected as accurately as possible. FFRRO relies
on this data for projecting National Program measures and future accomplishments. Regions
should ensure planning and accomplishment data is generally reflected in SEMS within five
working days of the end of the quarter in which it occurred. See section IV.C.l of this document
for additional information about data quality and timeliness standards.
IX.B.3 Federal Facilities Site Discovery/Site Assessment Definitions
a. Remedial Site Initiation (Discovery)
Remedial Site Initiation (Discovery) is the process by which a potential hazardous waste
site is entered into the SEMS inventory for NPL assessment activities. All sites moving
through the NPL assessment process must have a Remedial Site Assessment Initiation
milestone and actual finish date documented in SEMS. Entry of the Remedial Site
Assessment Initiation date initiates the NPL assessment process and places the site on the
FF Preliminary Assessment Review backlog.
The process typically starts when the facility has been listed on the Federal Agency
Hazardous Waste Compliance Docket. NOTE: There may be instances when a facility
included in the docket may not be listed in the SEMS database.
EXHIBIT IX.1. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
Work P;ick;iiio
Aiii\ ilW.Mik'sloni*
IViioi'iiiiinco
Load
Acli\ ilWMik'slom* DiiU* Ri'(|uimiu'ii(s
Remedial Site Initiation
(Discovery)
EPA, EPA In-
House, Tribe,
State, FF
Start/Finish: After the reeion determines the Federal
Facility is a valid CERCLA site, the site discovery date
for Federal Facilities is the date of publication in the
Federal Register formally adding the site to the Federal
Agency Hazardous Waste Compliance Docket.
Special Planning/Reporting Requirements:
Planned start/finish dates will automatically be generated when a new site is added to
SEMS. The same calendar date should be entered for both the Remedial Site Initiation
(Discovery) actual start and actual finish date. The actual start/finish date must not be
earlier than the Pre-CERCLA Screening finish date. Multiple Remedial Site Initiation
(Discovery) activities are not allowed.
Note: The Removal Site Initiation (Discovery) activity is used by the removal program to
track initiation of sites that have Superfund removal interest. Sites with only removal
interest should not have a Remedial Site Initiation (Discovery) activity tracked in SEMS.
Sites with only remedial assessment interest should not have a Removal Site Initiation
(Discovery) activity tracked in SEMS. Sites with both removal and remedial assessment
interest should have both a Removal Site Initiation (Discovery) activity and a Remedial
Site Initiation (Discovery) activity. The Remedial Site Initiation (Discovery) actual
start/finish date for a site referred from removal to remedial assessment or from RCRA to
remedial assessment should be the date the referral decision is made.
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Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new activities and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
Site discovery is an internal program measure.
b. Federal Facility Preliminary Assessment Reviews
Federal Facility PA Review is a quality assurance review of a PA or PA-equivalent report
submitted by another federal agency. EPA's role at Federal Facilities is to review PA
reports developed and submitted by the federal agencies responsible for a given Federal
Facility. EPA may also approve the review done by a state in lieu of its review. Upon
reviewing the PA or PA-equivalent report for accuracy, completeness, and working with
the other federal agency to address any deficiencies, EPA then determines what next steps
are appropriate with respect to additional response action. Guidance can be found in the
Federal Facilities Remedial Preliminary Assessment Summary Guide, July 2005.
There are instances when an Abbreviated Preliminary Assessment (APA) can be performed
in lieu of a standard PA. The Improving Site Assessment: Abbreviated Preliminary
Assessments, OSWER 9375.2-09FS. October 1999 provides information on conducting
APAs and includes a checklist to help site assessors determine whether an APA report is
appropriate for a given site. The checklist or an equivalent document can serve as
documentation that the APA was completed. The APA checklist or equivalent report must
address the requirements set forth in the NCP for conducting remedial preliminary
assessments.
Once a Federal Facility site has been entered into the SEMS site inventory for remedial
assessment, an APA may be performed if the site/release:
is regulated under a statutory exclusion (e.g., petroleum);
is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substance in its unaltered form);
can be addressed as part of another site already in SEMS;
will be deferred to another program (e.g., RCRA, Nuclear Regulatory Commission
[NRC], EPA removal) based on existing policy considerations (follow-up
confirmation of the deferral is required);
requires no further remedial assessment; or
will require a Superfund site inspection.
Backlogs: The Federal Facility PA Review backlog consists of Federal Facility sites with
a Non-NPL Status of FF-PA review needed or FF-PA review ongoing.
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EXHIBIT IX.2. FEDERAL FACILITY PRELIMINARY ASSESSMENT REVIEW
REQUIREMENTS
Work Piickiiiic
Aiii\ ilWMik'Monc
IVl'loi'lllillKT
Lend
Aiii\ilj/Mik'slone l);ilc Kc(|iiiiviiioiils
FF Preliminary Assessment
Review
EPA, EPA In-
House
Start: EPA starts an in-house review of the Federal
Facility PA or PA-equivalent report, or sends a letter,
form, or memo to the EPA contractor requesting review
of the Federal Facility PA or PA-equivalent report.
Finish: Letter, form, or memo atrorovine the PA reoort
is signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete PA reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient PA. PA review starts
and completions are reported site-specifically in SEMS. Federal Facility Preliminary
Assessment Review starts and completions are internal program measures. An action
qualifier representing a valid decision must be recorded in SEMS (see chapter VI for a list
of valid qualifiers).
If the Federal Facility PA report does not provide sufficient information to complete the
PA, the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Preliminary Assessment Review should not be entered
until all the report deficiencies have been addressed.
An Abbreviated Preliminary Assessment report at a Federal Facility is tracked in SEMS
by entering a Federal Facility PA Review activity and selecting APA as a critical indicator
on the Federal Facility PA Review activity in the Work Package Info screen.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
c. Federal Facility Site Inspection Reviews
Federal Facility Site Inspection Review is a quality assurance review of an SI or SI-
equivalent report submitted by another federal agency. EPA's role at Federal Facilities is
to review SI reports developed and submitted by the federal agencies responsible for a
given Federal Facility response. Upon reviewing the SI or Si-equivalent report for
accuracy, completeness, and working with the other federal agency to address any
deficiencies, EPA then determines what next steps are appropriate. Guidance can be found
at Federal Facilities Remedial Site Investigation Summary Guide, July 2005.
Backlogs: The Federal Facility SI Review backlog consists of sites with a Non-NPL Status
of FF-SI review needed or FF-SI review ongoing.
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OLEM Directive 9200.3-153
EXHIBIT IX.3. FEDERAL FACILITY SITE INSPECTION REVIEW REQUIREMENTS
Work P.ickiiiic
Adi\ i(\/\lik's(oiK'
IV rln mi a hit
Lead
Ac(i\i(\/\lik's(one Dale Ko(|uiiciiH'ii(s
FF Site Inspection Review
EPA, EPA In-
House
Slarl: LPA blurb an in-lioubc re\ icw ol' llie Federal
Facility SI or Si-equivalent.
Finish: Letter, form, or memo atrorovine the SI reoort is
signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete SI reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient SI. SI review starts and
completions are reported site-specifically in SEMS. Federal Facility Site Inspection
Review starts and completions are internal program measures. An action qualifier
representing a valid decision must be recorded in SEMS (see chapter VI for a list of valid
qualifiers).
If the Federal Facility SI report does not provide sufficient information to complete the SI,
the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Site Inspection Review should not be entered until all the
report deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
d. Federal Facility Expanded Site Inspection (ESI) Reviews
Federal Facility Expanded Site Inspection (ESI) Review is a quality assurance review of
an ESI or ESI-equivalent report submitted by another federal agency. EPA's role at Federal
Facilities is to review ESI reports developed and submitted by the federal agencies
responsible for a given Federal Facility. Upon reviewing the ESI or ESI-equivalent report
for completeness, and working with the other federal agency to address any deficiencies,
EPA then determines what next steps are appropriate with respect to NPL listing.
Backlogs: The Federal Facility ESI Review backlog consists of sites with a Non-NPL
Status of FF-ESI review needed or FF-ESI review ongoing.
EXHIBIT IX.4. FEDERAL FACILITY EXPANDED SITE INSPECTION REVIEW
REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
IVi'loi'iiiiincc
Loud
Ac(i\i(\/Mik's(onc Dale Ko(|uiiciiH'ii(s
FF Expanded Site Inspection
Review
EPA, EPA In-
House
Start: EPA starts an in-house review of the Federal
Facility ESI or ESI-equivalent.
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Work P.ickiiiic
Adi\ i(\/\lik's(oiK'
IViiorniiinco
Lend
Ac(i\ilW.Mik'sKme l);ili- Kc(|iiimiH*nls
Finish: LeUel'. lull 11. ul' lllelllu aDDi'uVlim llle ESI i'eDui'l
is signed by the appropriate regional official. The Site
Decision Form 9100-3 or equivalent decision document
must be printed, signed by the appropriate regional
official, and placed in the file.
Special Planning/Reporting Requirements:
Regions should attempt to complete ESI reviews at Federal Facility sites listed in the SEMS
inventory within a reasonable schedule upon receipt of a sufficient ESI. ESI review starts
and completions are reported site-specifically in SEMS. Federal Facility Expanded Site
Inspection Review starts and completions are internal program measures. An action
qualifier representing a valid decision must be recorded in SEMS (see chapter VI for a list
of valid qualifiers).
If the Federal Facility ESI report does not provide sufficient information to complete the
ESI, the report should be referred back to the Federal Facility. The actual finish date and
qualifier for the Federal Facility Expanded Site Inspection Review should not be entered
until all the report deficiencies have been addressed.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS,
the system will ask the user to confirm or change this value as appropriate.
IX.B.4 Federal Facilities Accomplishment Definitions
a. Base Closure Decisions
A base closure action occurs when EPA is involved in either a CERCLA section 120(h)(4)
uncontaminated parcel CERFA determination, a Finding of Suitability to Transfer (FOST),
a Finding of Suitability to Lease (FOSL), or a determination is made by EPA that an
approved remedy is Operating Properly and Successfully (OPS) at BRAC locations
pursuant to CERCLA section 120(h)(3). Under CERCLA section 120(h)(4), the military
service must designate, and EPA/state is required to concur, on property that is
uncontaminated. A FOST documents the conclusion that real property made available
through the BRAC process is environmentally suitable for transfer by deed under the
CERFA amendment to CERCLA. A FOSL documents that property at a BRAC location is
environmentally suitable for lease, i.e., that the reuse does not impede the environmental
response at the location and that the use of the property is limited to a manner which will
protect human health and the environment. Under CERCLA section 120(h)(3), before
property can be transferred by deed, the military service must demonstrate to EPA that the
approved remedy is operating properly and successfully.
The phrase 'operating properly and successfully' involves two separate concepts: operating
'properly' is used if the remedy is operating as designed; operating 'successfully' is used
if the operation of the remedy will achieve the cleanup levels or performance goals for the
particular contaminant delineated in the decision document. Where more than one remedial
FY 18 SPIM
IX-21
July 31,2017
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OLEM Directive 9200.3-153
action is required for a parcel, all such actions must operate properly and successfully.
Therefore, EPA interprets the term 'operating properly and successfully' to mean that the
remedial action was engineered and implemented and is functioning in such a manner that
it is expected to achieve cleanup goals and adequately protect human health and the
environment.
EXHIBIT IX.5. BASE CLOSURE DECISION REQUIREMENTS
Work P;ick;iiio
Aiii\ ilW.Mik'sloni*
IViioi'iiiiinco
Load
Ac(i\ilt/Mik'sloiii* l):iU- Kc(|iiiivmonls
FF Finding of Suitability to
Transfer (FOST)
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
EPA In-House
Start: EPA receives a document that identifies a facility
or a parcel as a candidate to be transferred by deed or
lease (e.g., Environmental Baseline Survey [EBS]
submitted); or EPA receives a clean parcel
determination for concurrence as required by CERFA;
or EPA receives a written request submitted by the other
federal agency for concurrence on suitability to transfer
or lease; or EPA receives a written request for EPA
concurrence that a 120(h)(3) remedy is operating
properly and successfully.
Finish: Letter, form or memo statins that EPA has
completed its review and provided comments or
concurrence on the FOST or FOSL signed by the
appropriate regional official; or letter, form, or memo
stating that EPA has completed its review of the
demonstration that a remedy is operating properly and
successfully for purposes of CERCLA section 120(h)(3)
signed by the appropriate regional official; or letter
concurring on a clean parcel identified under CERFA
signed by the appropriate regional official.
Special Planning/Reporting Requirements:
In addition to entering the finish date, regions must also enter the acreage covered by the
Base Closure Decision Document. Acreage information can be entered through the FOST
or FOSL screens in SEMS.
b. Non-BRAC Property Actions
A non-BRAC property transfer action occurs when EPA has reviewed and concurred on:
The transfer of non-BRAC property from the federal government under CERCLA
120(h)(3)(A): A federal agency may request that EPA review and comment/concur
on transfers under this section, however, EPA does not statutorily have to provide
concurrence or comment for the transfer to occur, other than in instances where an
OPS determination is required to be made prior to the transfer of deed.
An early transfer under CERCLA 120(h)(3)(C): For facilities listed on the NPL,
EPA is required to approve the deferral of the covenant found in CERCLA
120(h)(3)(A)(ii)(I) that all remedial action necessary to protect human health and
the environment has been taken before the date of transfer. The EPA Early Transfer
Guidance should be used to approve such requests.
July 31,2017
IX-22
FY 18 SPIM
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OLEM Directive 9200.3-153
Provided an OPS determination pursuant to CERCLA 120(h)(3): Under CERCLA
section 120(h)(3), before property can be transferred by deed, the federal
department or agency must demonstrate to EPA that the approved remedy is
operating properly and successfully.
Provided a concurrence to DOE for the lease of property on the NPL under the
Hall Amendment: Leasing of real property at DOE weapons production facilities
that are either being closed or reconfigured is subject to the requirements of the
Hall Amendment under the following conditions: 1) the Hall Amendment is the
authority invoked for a lease, and 2) the real property to be leased is on the NPL.
In these cases, DOE must request the concurrence of the EPA Regional
Administrator for the proposed lease. DOE may lease if EPA concurs within 60
days or EPA fails to respond to DOE's concurrence request after 60 days. The Joint
DOE/EPA Interim Policy Statement on Leasing Under the Hall Amendment (1998)
governs these leases.
Made a CERCLA 120(h)(4) uncontaminated parcel determination: Under the
CERFA amendment to CERCLA section 120(h)(4), the federal department or
agency must designate, and EPA is required to concur, on property that is a part of
a facility listed on the NPL that is uncontaminated. For property not closed or
realigned pursuant to a base closure law, the identification and concurrence is
required to be made at least six months before the termination of operations on the
facility.
EXHIBIT IX.6. NON-BRAC PROPERTY ACTION REQUIREMENTS
Work P.ickiiiic
Adi\ i(\/\lik's(oiK'
IV riorum hit
Lend
Ac(i\i(\/\lik's(one Diilc Ko(|uiiciiH'ii(s
FF Finding of Suitability to
Transfer (FOST)
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
EPA In-House
Start: EPA receives a written reauest submitted bv the
other federal agency for EPA concurrence on suitability
to transfer, including early transfers, or lease; or EPA
receives a clean parcel determination for concurrence as
required by CERFA; or EPA receives a written request
for EPA concurrence that a 120(h)(3) remedy is
operating properly and successfully.
Finish: Letter, form, or memo statins that EPA has
completed its review and provided comments or
concurrence on the transfer or leasing document(s) is
signed by the appropriate regional official; or Letter,
form, or memo stating that EPA has completed its
review of the demonstration that a remedy is operating
properly and successfully for purposes of CERCLA
section 120(h)(3) is signed by the appropriate regional
official; or Letter concurring on a clean parcel identified
under CERFA is signed by the appropriate regional
official.
Special Planning/Reporting Requirements:
In addition to entering the finish date, regions must also enter the acreage covered by the
property action. Acreage information can be entered through the FOST or FOSL screens
in SEMS.
FY 18 SPIM
IX-23
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OLEM Directive 9200.3-153
c. Federal Facility Agreement (FFA)/Interagency Agreement (IA)
FFAs/IAs are legal agreements between federal agencies responsible for cleanup, EPA,
and the states. A state elects whether to participate in FFA/IA negotiations. FFA/IAs set
forth detailed requirements for performance of site response activities as well as penalties
for non-compliance with the FFA/IA. The FFA/IA requirement is set forth in section 120(e)
of CERCLA. Such agreements are required at NPL facilities no later than six months after
the first ROD is signed at the facility.
EXHIBIT IX.7. FFA/IA REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
Pci'lni'inaniT
Lead
Ac(i\i(\/\liles(onc Dale Kc(|iiiremenls
FFA/IA Negotiation
EPA In-House
Start: Notice letter is sent bv EPA to the Federal
Facility.
Finish: FFA/IA is sisned bv the federal asencv. EPA.
and/or state.
Special Planning/Reporting Requirements:
This is an internal program measure. Regions do not receive credit for FFA/IA completion
when the FFA/IA is elevated to HQ for dispute resolution.
d. Federal Facility Dispute Resolution
When the federal agency, state, and/or EPA make an effort to formally resolve a FFA/IA
dispute after the FFA/IA is signed.
EXHIBIT IX.8. FEDERAL FACILITY DISPUTE RESOLUTION REQUIREMENTS
Work Package
Adi\ ilW.Mik'slono
Performance
Lead
Acli\ ilW.MileMune Dale Ke(|iiircmcnls
Alternative Dispute Resolution
EPA In-House
Start: Letter from anv oartv of the FFA/IA to the other
parties notifying them as to the issue in dispute.
Finish: Document resolvins the issue is sisned bv the
appropriate regional official (e.g., letter of agreement,
agreement document).
Special Planning/Reporting Requirements:
This is an internal program measure.
e. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation
(RFI)
The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature
and extent of contamination, evaluate potential risks to human health and the environment,
and develop and evaluate potential remedial alternatives. A RFI is a RCRA investigation
designed to evaluate thoroughly the nature and extent of the release of hazardous wastes
and hazardous constituents and to gather necessary data to support the Corrective Measure
Study (CMS) and/or ISM.
July 31,2017
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OLEM Directive 9200.3-153
EXHIBIT IX.9. RI/FS OR RCRA FACILITY INVESTIGATION (RFI) REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
IV Morula hit
Lead
Ac(i\i(\/Mik's(onc Dale Kc(|iiimiK-nls
FF RI/FS
FFRI
RCRA Facility Investigation
FF
11' ihere lias been no Previous RI/FS or RFI work or
RI/FS or RFI work started prior to the FFA/IA effective
date and there has been substantial EPA or state
involvement (EPA or the state has reviewed and
commented, approved/concurred, or accepted the work
plan)
Start: RI/FS or RFI draft work olan received bv EPA or
state
If RI/FS or RFI work starts prior to the FFA/IA effective
date and there has been limited EPA or state
involvement:
Start: FFA/IA sisned bv EPA or the state and the other
agency
Finish: Decision document sisned bv aDDroDriatc
regional official
Special Planning/Reporting Requirements:
This is an internal program target and measure.
f. Decision Documents
Upon completion of a Federal Facility RI/FS, CMS, or Engineering Evaluation/Cost
Analysis (EE/CA), the federal agency selects a remedy that is presented in a cleanup
decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments, Action
Memo, Removal Action Decision Document, ROD Amendment or Explanation of
Significant Differences [ESD]). EPA may either approve or concur on the remedy selection
or, in the case of a dispute, EPA may select the remedy. For EPA, this authority has been
delegated to the Regional Administrator or her/his delegate.
EXHIBIT IX. 10. DECISION DOCUMENT REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
IVi'l'tn'inanci'
load
Ac(i\i(\/Mik's(onc Dale Kc(|iiimiK-nls
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF GOVT Remedy Decision
Change
FF
Start/Finish: Decision document sisned bv the
Regional Administrator or delegate, or the date of EPA
concurrence/approval on the clean-up decision
document pursuant to FFA/IA or other enforceable
decision document, or the date of EPA's letter of
concurrence.
FY 18 SPIM
IX-25
July 31,2017
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
This is an internal program target and measure. One ROD document equals one ROD target
completion, even if the ROD covers multiple OUs. HQ's ROD data entry contractors will
enter in the associated remedy selection information.
The regions should not enter a RD or a RA following a 'No Action ROD'. For RODs which
choose limited actions (e.g., institutional controls), the regions should not enter a RD for
these RODs. However, the regions should enter a RA on the project schedule with the
Critical Indicator of 'Limited Action'.
The regions should ensure that RODs, ESDs, ROD Amendments, EE/CA, action memos,
Removal Action Decision Documents and RCRA equivalent documents are uploaded into
the SEMS Document Management system.
g. Final Remedy Selected
This measure will track the Final Remedy Selected at NPL Sites. A Final Remedy
Selected occurs when a final decision has taken place at a site (i.e. the final remedy has
been selected at the last OU of a site). This can include the signature of the Final ROD,
ROD Amendment or Removal Action at a site. In general, an ESD will not constitute a
Final Remedy Selected since ESDs document a non-fundamental change to a remedy.
Also, a partial deletion from the NPL does not constitute a Final Remedy Selected since it
does not constitute a final decision for the entire site.
EXHIBIT IX. 11. FINAL REMEDY SELECTED REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
IVi'loi'iiiiincc
Lead
Ac(i\i(\/Mik's(onc Dale Ko(|uiiciiH'ii(s
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF GOVT Remedy Decision
Change (ROD Amendment
Only)
FF
Start/Finish: Decision document signed bv the
Regional Administrator or delegate when no planned
ROD, ROD Amendment, Removal Action
Memorandum, RI/FS, or EE/CA exist at the site.
Preliminary Close-Out Report
EPA In-House
Start/Finish: Site is Construction Complete with
Preliminary Close-Out report signed by EPA, and no
future ROD, ROD Amendment, Action Memorandum,
RI/FS or EE/CA is planned and no previous ROD, ROD
Amendment, or Action Memorandum exists that
constitutes the final decision.
Final Close-Out Report
EPA In-House
Start/Finish: Site is Construction Complete with Final
Close-Out report signed by EPA, and no future ROD,
ROD Amendment, Action Memorandum, RI/FS or
EE/CA is planned.
July 31,2017
IX-26
FY 18 SPIM
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OLEM Directive 9200.3-153
Work Package
Adi\ i(\/\lik's(oiK'
Performance
Lead
Ac(i\ ilW.Mik'sUme Dale Kc(|iiimm-nls
Final Deletion from NPL
EPA In-House
Slarl/Tiuish: Nolicc of Uclclioii is published in die
Federal Register and no future ROD, ROD Amendment,
Action Memorandum, RI/FS or EE/CA is planned and
there is no Preliminary Close-Out Report (PCOR) and
no previous ROD, ROD Amendment or Action
Memorandum that constitutes the final decision.
Special Planning/Reporting Requirements:
This is an internal program target and measure. To receive Final Remedy Decision credit
when a site is Construction Complete, the site must have the Construction Completion
indicator in SEMS (entered by HQ) and no future ROD, ROD Amendment, Action
Memorandum, RI/FS or EE/CA is planned at the site. The Final Remedy qualifier must be
selected for the activity that represents the final remedy.
h. Remedy Decision Changes
A ROD Amendment documents fundamental changes to the remedy selected in the ROD.
Fundamental changes involve an appreciable change or changes in the scope, performance,
and/or cost or may be a number of significant changes that together have the effect of a
fundamental change. HQ's ROD data entry contractors will enter in the associated remedy
selection information.
An ESD documents significant changes to a ROD. Significant changes generally involve a
change to a component of a remedy that does not fundamentally alter the overall cleanup
approach. HQ's ROD data entry contractors will enter in the associated remedy selection
information.
EXHIBIT IX.12. REMEDY DECISION CHANGE REQUIREMENTS
Work P;ick;iiio
Acli\ ilW.Mik'sloni*
Performance
l.cad
Ac(i\i(\/\lilcs(onc Dale Kc(|iiircmcnls
ROD Amendment
FF
Start/Finish: ROD Amendment sisnedbv the Reeional
Administrator or delegate, or the date of EPA
concurrence/approval on the cleanup decision document
pursuant to FFA/IA or other enforceable decision
document, or the date of EPA's letter of concurrence
Explanation of Significant
Differences
FF
Start/Finish: ESD sisnedbv the Reeional
Administrator or delegate, or the date of EPA
concurrence/approval on the cleanup decision document
pursuant to FFA/IA or other enforceable decision
document, or the date of EPA's letter of concurrence
Special Planning/Reporting Requirements:
ROD Amendments and ESDs count towards the program target for Decision Documents.
FY 18 SPIM
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OLEM Directive 9200.3-153
i. Remedial Design (RD) or RCRA Corrective Measure Design (CMD)
The RD is a CERCLA design that establishes the general size, scope, and character of a
project, and details and addresses the technical requirements of the RA selected in the
ROD. The RD may include, but is not limited to, drawings, specification documentation,
and statement of bidability and constructability. The CMD is a RCRA design that
establishes the general size, scope, and character of a project, and details and addresses the
technical requirements of the CMD selected in the RCRA Corrective Measure decision
document. The CMD may include, but is not limited to, drawings, specification
documentation, and statement of bidability and constructability. A RD or CMD is complete
when the plans and specifications for the selected remedy are developed and approved.
EXHIBIT IX. 13. RD OR RCRA CMD REQUIREMENTS
Work P;ick;iiio
Acli\ ilW.Mik'sloni*
Performance
Load
Ac(i\ilj/Mik'sloiK' Dale Ki-(|iiimm-nls
FF Remedial Design/RCRA
Corrective Action Design
FF
Start: Post ROD - RD or CMD work plan or other
appropriate documents or statement of work submitted
Pre-ROD - ROD signed by the Regional Administrator
or delegate or RD or CMD work plan or other major
deliverable submitted
Finish: Letter approving the entire final RD or CMD
package is signed or Commerce Business Daily (CBD)
or other appropriate publication requesting bids on the
final RD or CMD package is published.
Special Planning/Reporting Requirements:
This is an internal program measure.
j. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
A RA or CMI is the implementation of the remedy selected in the ROD or appropriate
RCRA corrective measure decision document at NPL sites to ensure protection of human
health and the environment. A RA or CMI is complete when construction activities are
complete, a final inspection has been conducted, and an RA Report or appropriate CMI
reporting vehicle has been prepared and approved by EPA in writing. This report
summarizes site conditions and construction activities. Note: This date may be later than
12 0(h)(3) BRAC requirements for base closure.
EXHIBIT IX. 14. RA OR RCRA CMI REQUIREMENTS
Work Package
Adi\ ilW.Mik'sloni*
IVi'loi'iiiaiicc
load
Ac(i\i(\/\lik's(one Dale Ko(|uiiciiH'ii(s
FF RA/RCRA
Corrective Action
Construction
FF
Start: Memo or letter to EPA documenting the date on
which substantial, continuous, physical, on site,
remedial actions began
Finish: RA Report approved in writing bv Branch Chief
or delegate or CMI Reporting vehicle documenting the
completion of construction activities signed by the
Branch Chief or delegate
July 31,2017
IX-28
FY 18 SPIM
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
RA or CMI Starts is an internal program target and measure. RA or CMI completions is a
program target. RA or CMI completions are reported site specifically in SEMS. In lieu of
a report from the contractor's construction manager, the region must prepare a report to
document the completion. The approval can be provided with an appropriate signature on
the RA Report cover sheet or by letter to the originator of the RA Report.
'Remedial Action Project Completions' is a key program measure with an annual target.
The measure includes Fund, Potentially Responsible Party (PRP) (including Special
Account-funded) and Federal Facility RA completions at final and deleted NPL sites. The
measure augments the sitewide Construction Completion measure and reflects the large
amount of work being done at Superfund sites. Reporting on the measure provides valuable
information to communities by demonstrating incremental progress in reducing risk to
human health and the environment at sites.
Examples of Remedial Action completions and criteria for EPA approval of an RA Report
may be found in chapter 2 of the Close Out Procedures for National Priority List Sites,
OSWER 9320.2-22. May 2011.
FY 18 SPIM
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OLEM Directive 9200.3-153
EXHIBIT IX. 15. REMEDIAL PIPELINE FLOW CHARTS
Treatmer,t and Off-site Disposal Remedies pipeline
Final
RA Report
m
* For example; bio remediation, SVE
OPS
(no O ~ M rซquriปd)
Containment Remedies Pipeline
Pinal
RA
P-
O + MI
(no need for OPS)
Ground Water and Surface Water Restoration Pipeline
and Monitored National Attenuation
Interim
RA Report
RA
OPS
Final RA Report
(Cleanup Goals
ftthierertl
O + M
OPS= Operating Property & Successfully and applies onty to BRAC sites,
k. Removal or RCRA Interim/Stabilization Measure (ISM)
Removal actions are defined as the cleanup or removal of released hazardous substances
from the environment, and the necessary actions taken in the event of the threat of release
of hazardous substances into the environment. ISMs are defined as RCRA removal actions
that are intended to abate threats to human health and the environment from releases and/or
to prevent or minimize the further spread of contamination while long term remedies are
pursued. Regions need to report removal actions conducted in response to emergency, time
critical (TC), and non-time critical (NTC) situations at BRAC, non NPL or NPL sites.
Under the DERP, DoD is required to notify EPA of its removal actions. Long term O&M
should not be conducted under the removal.
July 31,2017
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FY 18 SPIM
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OLEM Directive 9200.3-153
EXHIBIT IX. 16. REMOVAL OR RCRA ISM REQUIREMENTS
Work P.ickiiiic
Adi\ i(\/\lik's(oiK'
IV rln mi a hit
Lead
Ac(i\i(\/\lik's(one Dale Ko(|uiiciiH'ii(s
FF Removal
RCRA Interim/Stabilization
Measure
FF
Slarl: Federal aueiic\ beuiiib actual on-Mle removal
work, or Action Memorandum signed by the appropriate
regional official, or the lead federal agency provides
notice to EPA, or other decision document
signed/approved by the appropriate regional official
Finish: Federal asencv notifies EPA of demobilized,
completing the scope of work delineated in the Action
Memorandum or other decision document
Special Planning/Reporting Requirements:
This is an internal program measure.
1. Operation and Maintenance (O&M)
O&M are the activities required to maintain the effectiveness or integrity of the remedy
including institutional controls. Except in the case of groundwater or surface restoration
remedies, including monitored natural attenuation, O&M measures are initiated after
cleanup goals are achieved and the remedy is operating as intended. In the case of
groundwater or surface water restoration remedies, including monitored natural
attenuation, O&M measures are initiated when the remedy is operating as intended.
EXHIBIT IX.17. OPERATION AND MAINTENANCE REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
IV Morula hit
Lead
Ac(i\i(\/Mik's(onc Dale Ko(|uiiciiH'ii(s
FF Operations and
Maintenance
FF
Start: Remedial Action Report is approved in writing
by designated EPA regional official (Branch Chief or
above, as determined by the EPA region)
Finish: Where appropriate, the completion of O&M is
defined as the date specified in the FFA/IA.
Special Planning/Reporting Requirements:
O&M Start is an internal program measure.
m. Cleanup Goals Achieved
This measure is used to indicate when cleanup objectives are achieved for groundwater and
surface water restoration, including monitored natural attenuation. It tracks achievement of
cleanup objectives for these remedies because they have not yet achieved cleanup
objectives at the time of Remedial Action completion.
FY 18 SPIM
IX-31
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OLEM Directive 9200.3-153
EXHIBIT IX.18. CLEANUP GOALS ACHIEVED REQUIREMENTS
Work Package
Adi\ il\/.Milestone
Pei'lni'inance
Lead
Ac(i\i(\/\liles(one Dale Rc(|uircmcnts
Cleanup Goals Achieved
FF
Slarl/1'iiiish: Valid iiiuiiiluiniu dala demons li'aliim
restoration goals have been achieved are documented in
the O&M Report
Special Planning/Reporting Requirements:
This activity may be tracked by HQ for program management purposes, but it is not a
program target or measure. Regions should ensure that O&M Reports and any other
Remedial Action Completion Reports that support the activity/milestone are uploaded into
the SEMS Document Management System.
n. Percent Construction Completion
The percent construction complete measure is based on the average of three specific factors
at each Federal Facility NPL site: 1) OU percent complete; 2) Total actions percent
complete; and 3) Duration of actions percent complete (see definitions below). To reflect
progress at each site, HQ will calculate the percentage complete for each of the three factors
and determine the average of the factors combined. This combined average will reflect the
percent construction complete at each site. HQ will then calculate the national average of
all site-specific percentages. EPA's yearly target will be the net increase in the national %
CC for NPL FF sites. The table below outlines the method of calculating each of the three
specific factors that make up the percent construction complete measure.
EXHIBIT IX. 19. PERCENT CONSTRUCTION COMPLETE CALCULATIONS
Ol percent complete
Numerator: Count of operable units designated as OU CC (including
OUs with no actions).
Denominator: Count of all operable units (including OUs with no
actions).
lot;il actions percent
complete
Numerator: Count of completed RI/FS, Decision Documents, Action
Memos, ROD Amendments, Remedial Designs, Remedial Actions,
and Removals with FF lead.
Denominator: Count of all RI/FS, Decision Documents, Action
Memos, ROD Amendments, Remedial Designs, Remedial Actions,
and Removals with FF lead.
Duration ol' actions percent
complete
Numerator: Duration of completed actions plus duration from start
date to current date for ongoing actions for RI/FS, Remedial Designs,
Remedial Actions, and Removals with FF lead.
Denominator: Duration of all actions (planned, actual, ongoing) for
RI/FS, Remedial Designs, Remedial Actions, and Removals with FF
lead.
Special Planning/Reporting Requirements:
EPA will verify and release certified data after the end of each fiscal year.
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OLEM Directive 9200.3-153
o. Federal Facility Five Year Reviews
A Five Year Review is a review of remedial action(s) selected under CERCLA section
121(c) that leaves waste in place above levels that allow for unlimited use and unrestricted
exposure. The purpose of the Five Year Review is to determine whether the remedy at a
site is/remains protective of human health and the environment and to evaluate the
implementation and performance of the selected remedy. EPA conducts statutory reviews
of any site at which a post-SARA remedy, upon attainment of cleanup levels specified in
the ROD, will not allow for unlimited use and unrestricted exposure (UU/UE). Where
remedial actions are either still under construction or completed, a Five Year Review
determines whether immediate threats have been addressed and whether EPA continues to
expect the remedy to be protective when all remedial actions are complete. EPA conducts
policy reviews at sites where remedial actions will attain cleanup levels that upon
completion will allow for UU/UE but will take longer than five years to complete, at sites
with pre-SARA remedies at which cleanup levels do not allow for UU/UE, and at NPL
removal only sites where cleanup levels do not allow unlimited use and unrestricted
exposure. Discretionary reviews may be conducted at the discretion of the lead agency.
Five Year Reviews should not be entered for FUDS and non-NPL Federal Facilities
because they are not conducted under the purview of EPA's oversight. Additional
information on requirements and procedures for conducting Five Year Reviews can be
found in the Comprehensive Five-Year Review Guidance, OSWER 9355.7-03B-P, June
2001.
EXHIBIT IX.20. FEDERAL FACILITY FIVE YEAR REVIEW REQUIREMENTS
Work Packaiy
Aiii\ ilWMik'Monc
IVl'loi'lllillKT
Lead
Aiii\ilj/Mik'slone Dale Ke(|iiiremenls
FF Five Year Review
FF
Start: Five-vear review work olan submitted bv the
other federal agency is approved by EPA or Federal
Facility starts the review or submits the draft document
for review, as outlined in the ROD or IA
Finish: The finished date is the date that the designated
Regional official signs the final report submitted by the
federal agency or the concurrence letter or issues an
independent assessment of the protectiveness of the
remedy before or on the statutory due date.
FF Five Year Review
Addendum
FF
Start: Five-vear review Addendum work olan submitted
by the other federal agency is approved by EPA
Finish: Five-vear review addendum, statins a new
protectiveness determination of all remedies that have
deferred protectiveness determinations is signed by the
designated regional official
Statutory: The 1st FF FYR planned finish date should be scheduled for five years after the
Federal Facility RA activity planned start date. All subsequent FF FYRs are scheduled for
five years after the planned finish date of the previous FYR.
FY 18 SPIM
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OLEM Directive 9200.3-153
Policy: The 1st FF FYR planned finish date should be scheduled for five years after the
date the site achieved Construction Completion. All subsequent FF FYRs are scheduled
for five years after the planned finish date of the previous FYR.
Discretionary: The Five Year Review planned finish date is based on the date set by the
user at the time of entry of Five Year Review type.
Special Planning/Reporting Requirements:
Five-year Review completion is an internal program target and measure. Five-year
review completions must be planned and reported site-specifically in SEMS. There are
multiple triggers for five-year reviews. Please reference program guidance available at
the Superfund Five Year Reviews website at: https://www.epa.gov/superfund/superfund-
five-vear-reviews as well as the Five-Year Reviews of Federal Facility Cleanups website
at: https://www.epa.gov/fedfac/five-vear-review-federal-facilitv-cleanups to select the
appropriate method for calculating the Five-Year Review date.
Situations do occur where multiple NPL sites are covered under a single five-year review
report. In these situations the date of the report will be used to signify the completion of
the five-year review for each of the NPL sites.
The following information is captured in the SEMS Five Year Review data entry forms:
The type of Five Year Review (e.g., statutory, policy or discretionary)
The ability to modify the Five Year Review type on a planned review only if
changing from a discretionary review to a policy or statutory review or changing
from a policy review to a statutory review;
The ability to associate issues/recommendations with a specific OU;
The ability to enter/track more than one Five Year Review with multiple OUs for
each site;
A Missing Accomplishment Data tab informs the user of all missing information;
and
The ability to update milestone dates and track the current status of implementation
for Five Year Review Issues and Recommendations.
In order to receive credit for a Federal Facility Five Year Review completion the region
must enter the following data into SEMS:
applicable OUs
associated issue for each OU (if there is no issue, enter the relevant OU(s) with the
'No Issue' category)
recommendations or follow-up actions (a party responsible, oversight agency, and
milestone date must be identified for each recommendation or follow-up action)
protectiveness determination for each remedy/OU (if a determination is deferred,
enter a date for when a protectiveness determination will be made)
protectiveness statement as it appears in the Five Year Review
July 31,2017
IX-34
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OLEM Directive 9200.3-153
If the Construction Completion flag has been checked for the site, the user must enter the
following information:
site protectiveness determination
sitewide protectiveness statement as it appears in the Five Year Review
In order to receive credit for the FYR Addendum completion, the user must enter the
following information:
The new protectiveness determination for those OUs that were deferred;
Protectiveness statement as it appears in the parent Five Year Review; and
If new issues/recommendations are referenced in the Five Year Review Addendum,
enter them into the Five Year Review screens through the FYR parent action for
the addendum.
All Sites must have the following information:
If future Five Year Reviews are not necessary at the site, indicate that this is the
final Five Year Review at the site by selecting the 'no' radio button under the
heading asking whether future FYRs are necessary. The user should also enter a
description of the reason why future reviews are not needed. If future FYRs are
necessary, select the 'yes' radio button.
In response to several Office of Inspector General (OIG) audit reports, Five-Year
Review Program Priorities, OSWER 9200.2-60, May 2007 states that in order to
improve the quality and consistency of five-year review reports, Headquarters has
asked that all draft five-year review reports be sent to Headquarters for
review. Headquarters should be given two weeks for document review.
If the Region issues an independent assessment of the protectiveness of the remedy
before or on the statutory due date, the RPM should send a draft copy of the letter
to HQ for review. HQ will review the letter and provide comments within 48
hours. In addition, if the Region issues an independent finding of "not protective",
the Region should consult with Headquarters before finalizing the determination.
The Federal Workgroup on Five-Year Reviews has developed community tools for
site managers to help educate and communicate to stakeholders on the five year
review process. Site managers are encouraged to use these tools which can be
found on the Five-Year Review of Federal Facility Cleanups website at:
https://www.epa.gov/fedfac/five-vear-review-federal-facilitv-cleanups.
Regions should ensure that Five Year Reviews and Addendums are uploaded into
the SEMS Document Management System.
IX.B.5 Community Involvement Definitions
The following section contains Community Involvement requirements for Federal
Facilities. Community Involvement requirements for non-Federal Facility sites are included in
chapter XI.
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OLEM Directive 9200.3-153
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)
SSABs are a forum for concerned stakeholders to provide advice and recommendations on
DOE's Environmental Management strategic decisions. RABs provide a forum through
which members of nearby communities can provide input to DoD's environmental
restoration program. RABs and SSABs complement other community involvement
activities, such as public meetings, mailings, and local information repositories.
EXHIBIT IX.21. RAB/SSAB REQUIREMENTS
Work P;ick;iiio
Acli\ ilW.Mik'sloni*
Performance
l.oad
Ac(i\il\/\lilcs(onc Dale Kc(|iiircnicnls
Restoration Advisory Board
(RAB)/Site-Specific Advisory
Board(SSAB FF CI)
FF
Start: Initial RAB/SSAB information meetins
establishing the Board
Finish: RAB is adiourned bv DoD or SSAB is
terminated by the Secretary of Energy
Special Planning/Reporting Requirements:
This is an internal program measure.
b. Technical Assistance Grants (TAGs)
SARA established the Technical Assistance Grant (TAG) program to provide technical
assistance to eligible communities. This technical assistance allows communities to
improve the decision making process at their sites.
EXHIBIT IX.22. TECHNICAL ASSISTANCE GRANT REQUIREMENTS
Work P;ick;iiio
Acli\ ilW.Mik'sloni*
Performance
l.oad
Ac(i\il\/\lilcs(onc Dale Kc(|iiircnicnls
Technical Assistance Grant
EPA In-House
Slarl: Award document bimiod bv llio romonal award
official
Finish: Award document, one-vear extension document,
time period extension document, or other documents,
such as a memo to the file prepared by the TAG
coordinator documenting the ending date of the budget
and project period.
Special Planning/Reporting Requirements:
TAG is an internal program measure. Planned start and finish dates are required in SEMS.
The planned or actual finish date in SEMS (whichever is applicable) must be changed to
reflect the date of the most recent source document, e.g., award document, one-year
extension document, memo to the file, etc. These definitions may be applied to all historical
activities, including data prior to FY 89, which is the first fiscal year TAG appeared in the
Superfund Program Implementation Manual (SPIM). In addition, the TAG completion
definitions from previous years may also be used for TAGs completed within those years.
July 31,2017
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OLEM Directive 9200.3-153
Funds may be planned site-or non-site specifically; however, they must be obligated site
specifically. Funds for TAGs at Federal Facility sites are contained in the Federal Facility
budget and found in the Federal Facility Site Allowance.
IX.B.6 Cleanup Privatization at BRAC NPL Sites
At DoD BRAC sites, EPA recognizes that the privatization of the cleanup, where a
developer or other organization rather than the military conducts the cleanup using funds provided
by DoD, can present an opportunity to integrate redevelopment planning with cleanup. Such
privatized cleanups provides another option to federal and state agencies and local communities to
help maximize the impact of cleanup and redevelopment resources to help move properties back
into productive reuse more quickly.
Privatization is an early transfer of property. In order to conduct an early transfer of
property, DoD must request a deferral of the covenant required by CERCLA section
120(h)(3)(A)(ii)(I) ensuring that all remedial action necessary has been completed prior to transfer
by the federal government. For NPL installations, EPA and the Governor of the state must approve
such requests.
Regions should follow EPA Guidance on the Transfer of Federal Property by Deed Before
All Necessary Remedial Action Has Been Taken Pursuant to CERCLA section (120(h)(3) (Early
Transfer Guidance) (June 1998) (https://www.epa.gov/fedfac/epa-guidance-transfer-federal-
propertv-deed-all-necessary-remedial-action-has-been-taken) when reviewing covenant deferral
requests from other federal agencies. Where institutional controls are or will be required as part of
the early transfer, regions should also consult the Institutional Controls and Transfer of Real
Property under CERCLA section 120(h)(3)(A), (B) or (C) guidance. DoD often transmits the
information used by EPA to review and approve an early transfer through a FOSET. EPA's
guidance discusses the requirements found in CERCLA 120(h)(3)(C) and how they are related to
EPA approval of the FOSET and deferral of the covenant.
EXHIBIT IX.23. CLEANUP PRIVATIZATION AT BRAC NPL SITES REQUIREMENTS
Work Packaiy
Aiii\ il\/Mik'slone
Poi'loi'lllillKT
Lead
Acli\i(\/.\lik's(one Dale Ke(|iiiremenls
Removal Action Decision -
Approve EE/CA/Action
Memorandum
FF
Start/Finish: Action Memo signed bv designated
regional official
FF Removal
FF
Start: Pollution Rcoort documenting that Private Partv
and their contractor mobilized at the site to perform the
removal action. (Critical Indicator = TC or NTC).
Finish: Final Pollution Rcoort documenting that Private
Party and their contractor have completed actions
specified in the action memo and have demobilized from
the site.
FF Engineering
Evaluation/Cost Analysis
FF
Start: EE/CA Approval Memo approved bv EPA.
Finish: EE/CA Action Memo approved bv EPA.
FFRI
FF RI/FS
FF
Start: RI or RI/FS draft work plan received from Private
Party.
FY 18 SPIM
IX-37
July 31,2017
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OLEM Directive 9200.3-153
Work Package
Adi\ i(\/\lik's(oiK'
IViioi'iiiiinco
Lead
Ac(i\il\/\lik's(ปne Dale Kc(|iiimm-nls
Finish: Record ol'Decision Muiied b\ dcMunuled
regional official
Public Comment Period
EPA In-House
Start/Finish: Letter transmitting RI/FS reoorts and the
proposed plan to the site repository for public review,
signed by the appropriate regional official or first page
of the approved proposed plan is included in the site file.
Record of Decision
FF
Start/Finish: Record of Decision siened bv designated
regional official
FFRD
FF
Start: RD draft work olan received from Private Partv.
Finish: RD Rcoort atroroved bv EPA.
FFRA
FF
Start: RA draft work olan received from Private Partv.
Finish: RA Rcoort atroroved bv EPA.
July 31,2017
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FY 18 SPIM
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OLEM Directive 9200.3-153
Superfund Program Implementation Manual
FY 18
Chapter X: Enforcement
FY 18 SPIM
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FY 18 SPIM
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OLEM Directive 9200.3-153
CHAPTER X: Enforcement
Table of Contents
X.A Enforcement X-l
X.A. 1 Promoting the Superfund Enforcement Program X-l
X.A.2 Overview of Enforcement Program Targets and Measures X-2
X.A.3 Superfund Alternative Approach (SAA) Sites X-3
X.A.4 Enforcement Program Performance Leads X-5
X.A.5 Data Entry Timeliness X-5
X.A.6 Releasability of Enforcement Planning Data X-5
X.A.7 Enforcement Program Definitions X-6
a. Potentially Responsible Party (PRP) Search Starts X-6
b. PRP Search Completions X-6
c. Preliminary PRP Search Completion X-6
d. Section 104(e) Referrals and Orders Issued X-8
e. Submittal of Pre-Referral Negotiation (PRN) Package to DO Jfor RD/RA
Negotiations X-9
f. Issuance of General Notice Letters (GNLs) X-9
g. Issuance of Special Notice Letters (SNLs) X-9
h. Issuance of Demand Letter X-l 0
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS'); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic X-10
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic) X-l 2
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations).. X-l3
I. Total Response Commitments (Including Dollar Value) X-l 4
m. Volume of Contaminated Media Addressed (VCMA) X-l 7
n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement. X-l 8
o. Total Amount of Response Commitments Secured through Financial Assurance
X-20
p. De Minimis Settlements and Number of Parties X-21
q. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)X-22
r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy X-23
s. Total Cost Recovery Settlements (Including Dollar Value) X-25
t. Total Value of PRP Oversight X-27
u. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations X-27
v. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs) X-28
w. Issuance of Comfort/Status Letters X-29
x. Contiguous Property Owners (CPOs) X-29
y. Windfall Lien Resolution - Finalized. X-30
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OLEM Directive 9200.3-153
z. PRP Oversight Administration X-31
aa. Settlements Designating Funds for Deposit to Special Accounts X-32
bb. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
X-33
cc. Pre-Remedial Enforcement Action at Superfund Sites X-34
X.A.8 Site Revitalization X-34
List of Exhibits
Exhibit X.l. Enforcement Program Performance Measures X-2
Exhibit X.2. PRP Search Requirements X-8
Exhibit X.3. Section 104(e) Referrals and Orders Requirements X-8
Exhibit X.4. Pre-Referral Negotiation Package Requirements X-9
Exhibit X.5. General Notice and 104(e) Information Request Letter Requirements X-9
Exhibit X.6. Special Notice Letter Requirements X-10
Exhibit X.7. Demand Letter Requirements X-10
Exhibit X.8. Negotiation Start Requirements X-10
Exhibit X.9. Completion or Termination of Negotiations Requirements X-12
Exhibit X.10. Ability to Pay (ATP) Party Insurance Negotiations Requirements X-14
Exhibit X.l 1. Total Response Commitment Requirements X-14
Exhibit X.12. Summary of SEMS Compliance Status Values X-18
Exhibit X.13. De Minimis Settlement Requirements X-22
Exhibit X. 14. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)
Requirements X-23
Exhibit X.15. Past Costs Addressed >$500,000 Requirements X-24
Exhibit X.l6. Total Cost Recovery Settlements Requirements X-25
Exhibit X.17. Ability-to-Pay Determination Requirements X-28
Exhibit X.18. BFPP Agreement, PPA, and PLA Requirements X-29
Exhibit X. 19. Comfort Status Letter Requirements X-29
Exhibit X.20. Contiguous Property Owner Requirements X-30
Exhibit X.21. Windfall Lien Resolution Requirements X-31
Exhibit X.22. PRP Oversight Administration Requirements X-31
Exhibit X.23. Settlements Designating Funds for Deposit to Special Accounts Requirements X-32
Exhibit X.24. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Requirements X-33
July 31, 2017 X-ii FY 18 SPIM
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OLEM Directive 9200.3-153
CHAPTER X: ENFORCEMENT
X.A ENFORCEMENT
X.A.I Promoting the Superfund Enforcement Program
The Superfund enforcement program Government Performance and Results Act (GPRA)
goals and measures will continue to ensure a fairer, more effective, and more efficient Superfund
program. The program goals continue to focus on maximizing Potentially Responsible Party (PRP)
participation, addressing past costs, reducing transaction costs, entering into fair settlements, and
eliminating barriers to redevelopment. The major areas of emphasis for the Superfund enforcement
program include the following:
Maximizing PRP Involvement/Enforcement First: Maximizing PRP participation is critical
to achieve the greatest possible number of cleanups, and to conserve Trust Fund resources.
Key areas of emphasis are early initiation of PRP searches, completing negotiations in a
timely manner, and maximizing PRP-lead cleanup activities. The Environmental
Protection Agency (EPA) will continue to seek to maximize PRP participation at
Superfund sites including National Priorities List (NPL) and Superfund Alternative
Approach (SAA) sites. As a result of the enforcement first strategy, PRPs have undertaken
the majority of new cleanup actions over the past years, leveraging Fund resources to
maximize total cleanups.
Addressing Past Costs > $500,000: Each year, address all unaddressed costs for Statute of
Limitations (SOL) cases for sites with total past costs equal to or greater than $500,000 via
settlements, referrals to the Department of Justice (DOJ), filing a claim in a bankruptcy
proceeding, or where appropriate write-off.
Completing Clean-up Negotiations in a Timely Manner: Remedial Design/Remedial
Action (RD/RA) negotiations should be completed within 120 days of the issuance of
Special Notice Letters (SNLs). SNLs should be issued within 90 days after the signature
of the Record of Decision (ROD).
Eliminating Barriers to Redevelopment: Under the Brownfields Amendment, parties who
qualify as prospective purchasers (BFPPs) should no longer need agreements with the
federal government to purchase contaminated property. EPA recognizes that, in certain
instances, the public interest will be served by entering into agreements with BFPPs who
will perform work exceeding reasonable steps at a site of federal interest.
Providing PRP Oversight: EPA will continue to focus on efforts to engage in dialogue with
PRPs that have settlements with EPA to promote oversight that ensures the development
and implementation of protective cleanups; gives careful consideration to the associated
costs being charged to PRPs; and maximizes EPA recovery of oversight. EPA will continue
to offer to discuss EPA's oversight expectations for upcoming activities with settling PRPs
who conduct non-time critical removals, Remedial Investigations/Feasibility Studies
(RI/FS), Remedial Designs (RD), or Remedial Actions (RA) and issue oversight bills that
include appropriate cost documentation.
Providing for Responsible Fiscal Management: EPA will place a high priority on sound
fiscal management by managing and collecting Superfund accounts receivable. To
accomplish this, program focus will be on:
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July 31,2017
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OLEM Directive 9200.3-153
Maximizing site-specific charging (intramural and extramural);
Maintaining prompt, current and accurate oversight billing;
Maximizing collections of monies due the Trust Fund; and
Resolving outstanding collection disputes.
Ensuring Compliance with Settlements/Orders: EPA will continue to monitor compliance
of PRP performance with active CERCLA enforcement instruments that include work
obligations, and address substantial noncompliance in a timely manner.
Using Special Accounts for Site Cleanup: EPA will continue to emphasize the use of
Special Accounts for site cleanup. This includes finalizing settlements that provide for
deposits to and disbursements from Special Accounts, approving actual deposits and
disbursements, reclassifying Special Account funds, where appropriate, and closing out
such accounts in a timely manner, thus freeing up such funds for future use at other sites,
through the general appropriation process.
Issuing Unilateral Administrative Orders (UAOs) Equitably: EPA will issue UAOs to the
maximum manageable number of PRPs wherever there is sufficient basis to include them.
Issuance of these UAOs will compel those PRPs to participate in, and share the cost of, the
specific response actions. The participation of these PRPs, even if only through a financial
contribution, will reduce the portion of the cleanup cost that is borne by PRPs who have
settled with EPA.
X.A.2 Overview of Enforcement Program Targets and Measures
The following pages contain the definitions of enforcement program targets and measures.
Exhibit X. 1 displays the reporting hierarchy of enforcement activities defined in this chapter.
EXHIBIT X.l. ENFORCEMENT PROGRAM PERFORMANCE MEASURES
Acli\ ilj
l''.\U*riiiil Pi'o^i'iim
Reporting
Inlcriiiil
Pru^i'iim
Reporting
PRP Search Starts
Measure
PRP Search Completions
Measure
Preliminary PRP Search Completions
Measure
Section 104(e) Referrals and Orders Issued
Measure
Submittal of Pre-Referral Negotiation (PRN) package to DO J for
RD/RA Negotiations
Measure
Issuance of General Notice Letters (GNLs)
Measure
Issuance of Special Notice Letters (SNLs)
Measure
Negotiation Starts: Expanded Site Inspection (ESI)/RI/FS;
RD/RA; Removal; Cost Recovery; and Generic
Measure
Completion or Termination of Negotiations: (ESI/RI/FS; RD/RA,
Removals, Cost Recovery, and Other) (NPL and SAA)
Measure
Ability to Pay Party Insurance Negotiations
Measure
Total Response Commitments (Including Dollar Value)
Performance and
Accountability Report
(PAR)
Measure
Volume of Contaminated Media Addressed (VCMA) *
Strategic Plan
Target
July 31,2017
X-2
FY 18 SPIM
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OLEM Directive 9200.3-153
Ac(i\ i(\
l.\krn;il
Reporting
Inlcriiiil
Proiiniiii
Reporting
PAR
Active Response Enforcement Instruments in Substantial
Noncompliance (SNC)
Measure
Total Amount (Dollar Value) of Response Commitments Secured
through Financial Assurance
Measure
De Minimis Settlements and Number of Parties
Measure
Section 106, 106/107, 107 Case Resolution
Measure
Issuance of Demand Letter
Measure
Past Costs Addressed > $500,000 Via Settlements, Referrals,
Filing a Claim in Bankruptcy Proceedings, or where appropriate
Write-Off
Strategic Plan
PAR
Target
Total Cost Recovery Settlements (Including Dollar Value)
PAR
Measure
Total Value of PRP Oversight **
PAR
Measure
Number and Amount of Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) Penalties
Assessed *
Measure
Number of Settlements Where EPA Settled Based on Ability-to-
Pay Determinations
Measure
Bona Fide Prospective Purchaser Agreements (BFPP),
Prospective Purchaser Agreements (PPAs) and Prospective
Lessee Agreements (PLAs)
Measure
Contiguous Property Owners (CPOs)
Measure
Windfall Lien Resolution - Finalized
Measure
Issuance of Comfort/Status Letters
Measure
PRP Oversight Administration
Measure
Settlements Designating Funds for Deposit to Special Accounts
Measure
Settlements Designating Funds for Disbursement from Special
Accounts to PRPs
Measure
Pre-Remedial Enforcement Action at Superfund Sites
Strategic Plan
PAR
Target
Site Revitalization
Measure
Key to Reporting Hierarchy
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 14 -FY18 Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, but target not required.
* Measure reported in the Integrated Compliance Information System (ICIS)
** Measures reported in Compass
X.A.3 Superfund Alternative Approach (SAA) Sites
When a liable PRP demonstrates it is viable and cooperative, EPA regional offices, at their
discretion, may enter into a SAA agreement with the PRP to facilitate the cleanup of a site. The
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OLEM Directive 9200.3-153
SAA uses the same investigation and cleanup process and standards that are used for sites listed
on the NPL. The SAA is generally the Agency's preferred enforcement approach for
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) non-NPL
sites that are NPL-caliber, where feasible and appropriate.
Threshold eligibility criteria for using the SAA are:
Site contaminants are significant enough that the site would be eligible for listing on the
NPL (i.e., the site would have a Hazard Ranking System [HRS] > 28.5);
A long-term response (i.e., a RA) is anticipated at the site; and
There is a willing, capable PRP who will negotiate and sign an agreement with EPA to
perform the investigation or cleanup.
EPA determines if the SAA is appropriate at a particular site. (A PRP may request that a
site be evaluated for the SAA.) If a site meets criteria 1 and 2 above, EPA and the PRP may choose
to negotiate an SAA agreement. The SAA agreement is equivalent to an agreement negotiated at
an NPL site.
Potentially responsible parties, or a subset of PRPs, may choose not to negotiate an SAA
agreement. In that case, the site would proceed to cleanup on a different path.
The following transparency and accountability requirements apply to sites using the SAA:
Prior to starting negotiations for a SAA agreement, the regions should bring the site to the
NPL listing panel for discussion regarding site characteristics (including adequate
documentation supporting a HRS score of > 28.5) and planned use of the SAA. This is the
same panel that reviews sites that the regions propose to list on the NPL. Adequate HRS
documentation consists of a full HRS package prepared by the region. The HRS package
does not have to go through the EPA Headquarters quality assurance process.
The regions should notify the public of its intent to use CERCLA authority at the site.
The regions should use the Superfund Enterprise Management System (SEMS) to track the
same progress milestones for sites with SAA agreements as those that are tracked for PRP-
lead sites listed on the NPL.
Final SAA agreements will be reviewed at EPA Headquarters and catalogued on EPA's
SAA website so that all interested parties can know what sites have a SAA agreement.
The regions will develop and maintain on the internet the same site-specific fact sheets that
are developed for sites listed on the NPL.
EPA will report annually on progress at sites using the SAA.
EPA will maintain and update the SAA website as a source of public information on the
approach. The SAA website includes a list of sites with SAA agreements, links to their
site-specific fact sheets, and links to related information.
SEMS includes a special interest code of 'Site with SA Agreement per the Office of
Enforcement and Compliance Assurance (OECA) Policy' to track and report accomplishments at
sites using the SAA. Regions are responsible for ensuring the code comports with the list of sites
posted on the SAA website. For historical reporting purposes, this code should remain in place
July 31,2017
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FY 18 SPIM
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OLEM Directive 9200.3-153
once properly added to SEMS. The code should not be deleted regardless of the outcome of the
SAA unless it was originally added due to a data entry error.
Additionally, regions should select 'Superfund Alternative Approach Agreement per
OECA' from the Enforcement Instrument Categories list on the Enforcement Instrument Screen
in SEMS.
EPA's Office of Enforcement and Compliance Assurance is responsible for reviewing final
SAA agreements and maintaining the SAA website. The SAA website includes SAA guidance and
the latest list of sites with SAA agreements. The SAA website is located at:
http ://www. epa. gov/enforcement/ superfund-alternative-approach.
X.A.4 Enforcement Program Performance Leads
SEMS captures two aspects of activities, the entity that performs the work itself (e.g. EPA,
state, tribes, and PRPs) as well as the funding source for those activities. These aspects are captured
by a combination of the activity name, performance lead code, and the financial lead codes,
respectively. For example, EPA uses Government RI to denote a RI performed by a government
entity, though not a federal facility, which has its own activity and its own Performance lead code.
The Performance lead code identifies whether EPA, a state, or a tribe is conducting the work.
Similarly, a PRP RI is RI work performed by the PRP, and the Performance lead code identifies
whether EPA, a state, or a tribe is performing oversight of the work done by the PRP. Separate
financial lead codes in SEMS are used to identify the funding source of any government or PRP-
performed activityFund, Special Account, or Mixed Sources. Superfund financial management
is addressed in chapter III of this document and Financial Lead codes are discussed in more detail
in section IV.D of this document.
X.A.5 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C. 1 of this document for additional information about
data quality and timeliness standards.
X.A.6 Releasability of Enforcement Planning Data
Enforcement site specific planning data/information is developed to assist headquarters
and the Regions in open and frank discussions to determine the appropriate work and
enforcement strategies for the site in any particular fiscal year. Such information reflects pre-
decisional communication which the agency can withhold under Exemption 5: Deliberative
Process Privilege of the Freedom of Information Act (FOIA). Such documents should be clearly
marked "Deliberative Process - Not Releasable".
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X.A.7 Enforcement Program Definitions
a. Potentially Responsible Party (PRP) Search Starts
A PRP search identifies PRPs at the site and establishes PRP liability, capability, and
financial viability. At all sites, the PRP search activities should be initiated as soon as
possible after the region decides that a response (removal or remedial) action is likely to
be required at the site. For sites where remedial actions will be conducted, the PRP search
should be initiated in time to send an SNL (at least 90 days prior to the obligation of funds
for an Expanded Site Inspection [ESIJ/RI, RI/FS or RA). For sites where removal actions
will be conducted, the PRP search should be initiated as soon as the need for the removal
has been identified in order to give a verbal notice of potential liability or to issue a general
notice letter.
b. PRP Search Completions
A PRP search completion constitutes the completion of the activities taken by the region
to identify PRPs at a site. In conducting the PRP search, the region must consider which of
the criteria outlined below are cost effective and reasonable to meet relative to the
anticipated overall cleanup costs at the site. Upon completion, regions should document in
the site file that they have met all reasonable achievable criteria. Criterion 1 is mandatory
for all PRP search completions. The PRP search should ideally be completed prior to
completion of cleanup negotiations; however, it is recognized that this may not be
achievable in all situations.
The recommended criteria for a thorough PRP search are:
1. PRPs have been afforded opportunities to participate in or contribute to the PRP
search, and the information contributed has been verified and/or authenticated and
incorporated in the PRP search;
2. All relevant and material leads from CERCLA section 104(e) responses,
interviews, and their primary or source documents have been pursued;
3. Sufficient information and evidence have been obtained to support the
government's liability case or to determine that no viable PRPs exist or can be
found;
4. PRPs have been categorized and financial and waste contribution information
needed to perform orphan share calculations has been collected;
5. Ability to pay determinations (including but not limited to the investigation and
analysis of any applicable insurance coverage) have been made for those PRPs who
have asserted inability to pay in good faith; and
6. General notice letters have been issued to all PRPs being pursued.
c. Preliminary PRP Search Completion
A Preliminary PRP Search is the completion of certain activities taken to make an initial
identification of PRPs at a site in order to determine if there are PRP(s) that are able to
perform or finance all or a portion of the initial non-emergency CERCLA removal or
remedial response action at a site. A Preliminary PRP search is required before the first
Government lead activity can be started at a site.
July 31,2017
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OLEM Directive 9200.3-153
The Preliminary PRP Search will be considered complete when the regions perform the
PRP Search tasks steps outlined in section 1 or 2 below.
1. Regions have completed and properly documented PRP Search tasks A-E, below,
as appropriate and practicable.
A. Site Location and Property Description
The region has, as thoroughly as possible, identified the site location (including one
or more of the following: street address; parcel ID#; legal description from current
deed of ownership; and/or tax map) as necessary to complete requirement l.B.
below.
B. Current and Past Site Ownership Identification/Notification
The region has, using the tools most appropriate for the site, conducted activities to
identify current site owners as well as past site owners at the time of disposal of
hazardous substances and where those site owner PRPs exist and can be located
within a reasonable time, considering the exigencies of the situation, the region has
provided verbal notice and/or issued General Notice Letters to those parties the
region determines to be liable and capable of performing the initial response action
at the site. In addition, as a part of this task, regions have obtained information
necessary to secure site access in order to allow for performance of the initial non-
emergency response action at the site.
C. Site Operation Identification/Notification
If the operator(s) of the site/facility that caused the release or threat of release of
hazardous substances are different from the site/facility owner(s) at the time of
disposal, the region has undertaken PRP Search activities necessary to identify
site/facility operators and where those site operator PRPs exist and can be located
within a reasonable time, considering the exigencies of the situation, the region has
provided verbal notice and/or issued General Notice Letters to those parties the
region determines to be liable and capable of performing the initial non- emergency
response action at the site.
I). Site Owner/Operator Liability/Financial Viability Determination
For each party identified under A., B. or C. of this section, the region has
determined, based on publicly available information whether: 1) the party may be
liable under section 107(a) of CERCLA; and 2) the party may be financially capable
of performing or paying for all, or a portion of, the initial non-emergency response
action at the site.
E. Arranger TransporterfA T) Identification/Notification
The region has determined, based on readily available information such as site
records, that either 1) no A/T PRPs appear to exist at the site or 2) there are A/T
PRPs at the site, and the region has provided verbal notice and/or issued General
Notice Letters to those A/T PRPs initially identified through such information who
the region determines to be liable and capable of performing the initial non-
emergency response action at the site and determined that, to the extent that A/T
PRPs exist, additional PRP search efforts may be required.
OR
FY 18 SPIM
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OLEM Directive 9200.3-153
2. The region has completed all, or a portion of, the above PRP Search tasks and
entered into a settlement with or issued orders to compel the identified PRPs to
perform the initial non-emergency response action at the site.
EXHIBIT X.2. PRP SEARCH REQUIREMENTS
Work Package
Ac(i\ i(\/\lik's(oiK'
Performance
lead
MilcMonc/Acli\i(\ Dale Kc(|iiircmcnls
PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work
assignment or procurement request, or the date EPA
develops the PRP search plan; or the date a spill
identification number has been assigned to a site, or the
date EPA initiates and documents search activities by
some other means.
Finish: Date all aoolicablc activities described in the
Agency's PRP Search Manual have been completed and
documented in the site file that the region has met all
reasonable achievable criteria for the PRP search and a
PRP Search outcome report with a list of PRPs has been
prepared. The finish date and outcome must be entered
in SEMS. If no PRPs are found, the Qualifier of 'No
PRPs Identified' must be entered in SEMS.
Preliminary PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work
assignment or procurement request, or the date EPA
develops the PRP search plan; or the date a spill
identification number has been assigned to a site, or the
date EPA initiates and documents search activities by
some other means.
Finish: The date regions have completed and
documented in the site file PRP Search tasks A-E in
section 1 above as appropriate and practicable, or the
date the region has entered into a settlement with or
issued orders to compel the identified PRPs to perform
the initial non-emergency response action at the site.
d. Section 104(e) Referrals and Orders Issued
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to EPA
requests for information or to obtain site access.
EXHIBIT X.3. SECTION 104(E) REFERRALS AND ORDERS REQUIREMENTS
Work Package
Acli\ ilWMilcMonc
Performance
l.i'iiri
MilcMonc/Acli\i(\ Dale Kc(|iiircmcnls
Section 104(e) Referral
Litigation
EPA
Start: Signature date of the memo from the Regional
Administrator transmitting the referral to Headquarters
(HQ) or DOJ
Finish: The date a Section 104(e) UAO or
Administrative Order on Consent (AOC) is signed by
the Regional Administrator or delegate.
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
The Law/Section reported in SEMS should be CERCLA 104(e).
e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for RD/RA
Negotiations
A PRN package is a brief summary and analysis of the case and recommends a case
management strategy. The PRN package should include a copy of the case Negotiation
Plan and a draft CD and should be submitted to DOJ by 30 days after the ROD is signed.
EXHIBIT X.4. PRE-REFERRAL NEGOTIATION PACKAGE REQUIREMENTS
Work Package
Ac(i\ i(\/\lik'N(oiK'
IViioi'iiiiinco
Lend
MileMonc/Acli\ilj Dale Re(|iiiremenls
Pre-Referral Negotiation (PRN)
Package
EPA
Start/Finish: Date PRN rackaee is submitted to DOJ.
Special Planning/Reporting Requirements:
Pre-Referral Negotiation Packages are recorded as a milestone to RD/RA negotiations in
SEMS.
f. Issuance of General Notice Letters (GNLs)
Letter sent by EPA under section 122 of CERCLA informing recipients of their potential
liability for cleanup actions at the site. It is usually sent out during the PRP search or during
preparation for negotiations.
EXHIBIT X.5. GENERAL NOTICE AND 104(E) INFORMATION REQUEST LETTER
REQUIREMENTS
\\ (irk Package
Ac(i\ i(\/\lik'Nlnnc'
Perlo nuance
l.ead
Mileslone/Acli\ ilj Dale Requirements
General Notice Letters
EPA
Start/Finish: Signature date of General Notice Letter
by appropriate EPA official
Special Planning/Reporting Requirements:
General Notice Letters are recorded as a milestone to PRP Search or Negotiations in SEMS.
g. Issuance of Special Notice Letters (SNLs)
An SNL is a letter under section 122(e) of CERCLA from EPA to a PRP informing the
recipient of their potential liability and soliciting an offer to conduct the planned response
action(s) at the site. The SNL triggers a moratorium on certain EPA actions allowing the
PRP to consider EPA's invitation to negotiate. The moratorium period varies depending
on the response action (ESI/RI/FS, RD, RA or Removal) and can be extended if necessary.
FY 18 SPIM
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OLEM Directive 9200.3-153
EXHIBIT X.6. SPECIAL NOTICE LETTER REQUIREMENTS
\\ (irk Packajio
Acli\ i(\/\liloslonc
Pi-rloi-inaniT
l.cad
Mik'sloiH'/Acli\il> Dale Kciiui mucins
Special Notice Letters
EPA
Start/Finish: Signature date of Special Notice Letter
by appropriate EPA official
Special Planning/Reporting Requirements:
The date of issuance of the SNL also constitutes the start of the applicable negotiation.
SNLs are recorded as a milestone to PRP Search or Negotiation in SEMS.
h. Issuance of Demand Letter
A section 122(e) letter issued from EPA to the PRP requesting that the PRP reimburse the
Fund for a specific amount associated with one or more response activities. Demand letters
are typically sent for each separate response activity.
EXHIBIT X.7. DEMAND LETTER REQUIREMENTS
\\ ork Package
Ac(i\ il\/\lik's(niK'
Performance
lead
Mik*slonc/Acli\il\ Dale Ke(|iiiremoii 1 s
Demand Letters Issued
EPA
Start/Finish: The date the demand letter is siened bv
the appropriate EPA official
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; Cost
Recovery; and Generic
Negotiations are discussions between EPA and the parties on their liability, willingness,
and ability to conduct the ESI/RI/FS, Removal Action or to implement the long-term
remedy selected in the Record of Decision (ROD) for the site or operable unit.
EXHIBIT X.8. NEGOTIATION START REQUIREMENTS
\\ ork Package
Ac(i\ ilWMik'slonc
Pi'Moi'maiicc
Load
Miloslono/Aoli\il\ Dalo Ko(|iiironionls
Silo iniisl ho ail NPI. or SAA silo
RI/FS Negotiations, Removal
Negotiations, Negotiations
(Generic), or Cost Recovery
Negotiations
EPA
Start: Signature date of first Special Notice Letter bv
appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter
by appropriate EPA official.
July 31,2017
X-10
FY 18 SPIM
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OLEM Directive 9200.3-153
\\ (irk I'iickiiiio
Ac(i\ il\/\lik'slniK'
IVrloniiiiiKT
l.oiid
Mik'slonc/.\cli\ i(\ Dale Kc(|iiiiviiioiils
RD/RA Negotiations
EPA
Slarl: Simialuie dale ol' llie InM Special Nolice Lellei'
by appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter
by appropriate EPA official with the intent to purse
negotiations without moratorium procedures.
OR
For Subsequent RD/RA Negotiations the start date is
the same as the finish date of an existing set of RD/RA
Negotiations from which an interim settlement/order
arose.
OR
For Concurrent RD/RA Negotiations the start date is
the date concurrent negotiations are first documented
in meeting minutes or in a Memorandum for the
Record or the date the letter is signed by the
appropriate EPA official accepting the Good Faith
Offer.
Special Planning/Reporting Requirements:
Subsequent Negotiations occur when an interim settlement arises/order is issued for a
portion of the site work from an existing set of RD/RA negotiations and the region does
not plan to issue new SNL(s). A new RD/RA negotiation event should be established in
SEMS.
Concurrent Negotiations occur when the next phase of negotiations begins before the
completion of the current RD/RA negotiations and the region does not plan to issue new
SNL(s). A new RD/RA negotiation event should be established in SEMS.
SAA sites should be identified in SEMS using the special interest code of 'Site with SA
Agreement per OECA Policy'.
If the region does not plan to perform negotiations at a site, negotiation dates should not be
entered into SEMS. The start of negotiations should be planned site specifically. In order
to receive credit for negotiations, the 'Response Actions Sought' are to be entered into
SEMS. In addition, the 'Response Actions Sought' must include one or more of the
following actions: PRP RI/FS, RI/FS, FS, PRP FS, RI, PRP RI, ESI/RI, RD, RA, PRP RD
or PRP RA. If a Site-Specific Exception Plan has been approved by Headquarters (HQ),
the date the plan was approved should be entered in SEMS as a milestone to the
negotiations. The start of the negotiation activity is the same as the finish date of the SNL
or waiver of SNL.
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OLEM Directive 9200.3-153
j. Completion or Termination of Negotiations: (Expanded Site Inspection;
Remedial Investigation/Feasibility Study [ESI/RI/FS]; Remedial
Design/Remedial Action [RD/RA]; Removals; Cost Recovery; and Generic)
Cleanup negotiations are discussions between EPA and the parties on their liability,
willingness, and ability to conduct the ESI/RI/FS or Removal, or implement the long-term
remedy selected in the ROD for the site or Operable Unit (OU). Negotiations are complete
when a decision has been made as to how the region will proceed with the cleanup.
EXHIBIT X.9. COMPLETION OR TERMINATION OF NEGOTIATIONS REQUIREMENTS
\\ ปrk
Ac(i\ il\/MiloMono
Poi'loi'iiiiinoo
l.oiid
Miloslono/.\oli\il\ l);ilo Ko(|iiiromoiils
Silo miisl ho \on-l"odor;il l ;icili(> MM- non-M'l. or S.\.\ silo
1 :SI kl I S Negotiations
RD/RA Negotiations
Removal Negotiations
Cost Recovery Negotiations
Negotiations (Generic)
\.\>\
l-'inish: Dale a signal CI) and a 1 o-noinl analssis lor
RD or RA, groundwater monitoring activities post-
ROD, institutional controls or a time critical (TC) or
non-time critical (NTC) removal is referred by the
Regional Administrator to either DOJ or HQ. The
finish date is the date of the signed transmittal memo,
which is the CD start date.
OR
Signature date of the UAO by the Regional
Administrator or delegate for RD or RA, groundwater
monitoring activities post ROD, institutional controls,
or a TC or NTC removal. UAO credit under Total
Response Commitments however is given when
notice of intent to comply is received. The date the
UAO is signed is also the UAO finish date.
OR
Signature date of the AOC or Consent Agreement
(CA) by the Regional Administrator or delegate for
RD only, or groundwater monitoring activities post-
ROD, or institutional controls. Where an AOC or CA
for RD only is signed, no credit will be given for the
subsequent RA negotiation start or finish. Credit will;
however, be given under Total Response
Commitments for the referral of a CD for RA only.
The negotiation finish date is also the AOC or CA
finish date.
OR
Signature date of the AOC or CA by the Regional
Administrator or delegate for a TC or NTC removal.
The negotiation finish date is also the AOC or CA
finish date.
OR
If Special Notice Letters are issued specifically to
initiate RD/RA negotiations and the negotiations
result in an amendment to an existing enforcement
instrument to include cleanup activities, or an existing
enforcement instrument is amended to include
cleanup actions the finish date is the date the amended
enforcement instrument is signed.
July 31,2017
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OLEM Directive 9200.3-153
OR
The date the AOC or CA_that includes BFPP, CPO,
PPA, PLA or windfall lien provisions is signed by the
Regional Administrator or delegate. Credit is only
given when the entire remedy is implemented.
Enforcement Instrument Category = Prospective
Purchaser Agreement, Bona Fide Prospective
Purchaser Agreement, Contiguous Property Owner
Agreement, Prospective Lessee Agreement, or
Windfall Lien Resolution Agreement. The negotiation
finish date is also the AOC or CA finish date.
OR
The date the injunctive referral to compel the PRP to
perform the cleanup (RD or RA) as specified in a
UAO is referred by the Regional Administrator to
DOJ or HQ. The negotiations finish date is the date of
the Regional Administrator's transmittal memo which
is the litigation start date (Litigation [Generic],
Section 106/107 Litigation or Section 106 Litigation).
OR
The date DOJ notifies EPA and the PRPs of the date
on which they will proceed to trial under an existing
case.
OR
Date funds are obligated through a contract
modification or work assignment signed by the
Contracting Officer, an Interagency Agreement (IA)
is signed by the other federal agency, or a Cooperative
Agreement is signed by the designated regional
official for a Government financed TC or NTC
removal, a RD at NPL or SAA sites or an RA at NPL
sites. If funds are not available and the region decides
a UAO is not appropriate, the negotiation finish date
is the date of the written documentation of the
region's decision not to issue a UAO.
Special Planning/Reporting Requirements:
The negotiation completion date is reported in SEMS as the finish date of either RD/RA
Negotiations, Negotiations (Generic), ESI/RI/FS Negotiations, Removal Negotiations or
Cost Recovery Negotiations. The 'Response Actions Sought' and the outcome of the
negotiations (Other Outcome(s) Selected or Outcome Actions Selected) also must be
reported in SEMS.
SAA sites should be identified in SEMS using the special interest code of 'Site with SA
Agreement per OECA Policy'.
k. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations)
Ability to Pay Party Insurance negotiations are discussions between EPA and the insurer
of an ATP party on the ATP party's liability, EPA's incurrence of response costs, and the
availability of insurance resources to provide funding to address EPA's costs.
FY 18 SPIM
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OLEM Directive 9200.3-153
EXHIBIT X.10. ABILITY TO PAY (ATP) PARTY INSURANCE NEGOTIATIONS
REQUIREMENTS
\\ ork Package
Ac(i\ il\/\lik's(niK'
Poiloi'inaniT
lead
Mik'MoiH'/.\cli\ ilj Dale Ke(|iiiremonls
Negotiations (Generic)
EPA
Start: Negotiations start noon EPA's submission of a
claim to an insurance company. Such initial claims are
usually letters to an insurance company detailing costs
that have been, or will be, incurred by EPA and an
offer to negotiate a resolution of the claim on behalf of
the ATP party.
Finish: Negotiations conclude either on the date the
ATP party and its insurer execute a settlement
agreement, or the date of written documentation of the
region's decision not to pursue the specific insurer for
costs attributable to the ATP party.
EPA makes the claim on behalf of the ATP party. The settlement is between the ATP party
and the insurer. EPA/DOJ does not sign this agreement. The insurance settlement relates
back to a prior Administrative Order on Consent (AOC) or CD which gives EPA the right
to proceed on the ATP party's behalf. The settlement is negotiated by EPA/DOJ and the
insurer. The ATP party reviews the final product and signs the agreement. Proceeds are
forwarded to EPA to do future work at a site or to reimburse the EPA for past cleanup
costs.
The final agreement should be entered into SEMS as a Settlement (Generic). See the
measure Total Response Commitments for additional data that should be entered into
SEMS.
1. Total Response Commitments (Including Dollar Value)
Total Response Commitments is the total universe of CERCLA enforcement instruments
where the parties agree to conduct cleanup work and/or make cash payments toward future
response costs at a site. This measure will require reporting of both the number of
enforcement instruments as well as the estimated value of the response work and/or cash
payments toward future response costs pursuant to each of those instruments.
EXHIBIT X.11. TOTAL RESPONSE COMMITMENT REQUIREMENTS
\\ ork Package
Acli\ ilj/Milcslonc
Performance
load
Milcsloni*/Acli\ ilj Dale Ko(|iiiivinonls
Silo iniisl ho \on-IVdcral l-'acililj MM.. non-MM. or S.\.\ silo
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under
section 106 or sections 106/107 for PRPs to conduct or
pay for the response action (ESI/RI, RI, RI/FS, FS,
RD, RA, groundwater monitoring activities post-ROD,
institutional controls, time critical or NTC removal).
This date is recorded in SEMS as the finish date.
July 31,2017
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OLEM Directive 9200.3-153
\\ (irk I'iickiiiio
Acli\ il\/\lik'slปne
PlTlorillillKT
l.oiid
Mik'slone/.\cli\ ilj l);ik' Ki*(|iiimiicnls
Silo miisl he Noii-I'Vilcnil l";icili(\ MM.. non-NI'l. or S.\.\ silo
Unilateral Administrative Order
Finish: Date the UAO is signed bv the Regional
Administrator or delegate for response work, and at
least one of the PRPs has provided notice of intent to
comply unconditionally. Commitment credit is given
on the date of the PRPs written notice of intent to
comply with the order. This is reported in SEMS as the
finish date of the Notice of Intent to Comply sub-work
package.
Administrative Order on
Consent or Consent Agreement
Finish: The date the AOC or CA is signed bv the
Regional Administrator or delegate for PRPs to
perform or pay for an ESI/RI, RI, RI/FS, FS, time
critical or NTC removal, RD, monitored natural
attenuation, institutional controls, or groundwater
monitoring post-ROD. The date the AOC or CA is
signed is reported in SEMS as the finish.
Commitment credit is also given when an AOC or CA
is signed that provides protection from potential future
liability to a prospective purchaser that is
implementing the remedy. The Enf Instrument
Category Selected = Prospective Purchaser
Agreement, Bona Fide Prospective Purchaser
Agreement, Contiguous Property Owner Agreement,
Prospective Lessee Agreement, or Windfall Lien
Resolution Agreement.
Judicial/Civil Judgment
Finish: The conclusion of a Section 106. or Section
106/107 judicial action by final judgment for PRPs to
conduct or pay for the response action. Credit for a
Judicial/Civil Judgment is given on the date on which
the final judgment is signed by the judge and entered
by the court. This date is recorded in SEMS as the
finish date.
Bankruptcy Settlement
Finish: The conclusion of a claim in bankriiDtcv
proceedings by final judicial settlement. Credit is
given for a Bankruptcy Settlement to pay for future
response work on the date the bankruptcy settlement is
entered by the court and recorded in SEMS as the
finish. The allowed settlement amount for future
response work should be entered into SEMS.
Enforcement Action
Amendment
Finish: The signature date that an existing
enforcement instrument is amended to include
additional cleanup activities. The date the amendment
is signed is the finish date and should be recorded in
SEMS. Amended enforcement instruments will count
for credit in the current fiscal year as well as in the
program-to-date commitment amount.
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OLEM Directive 9200.3-153
Total Response Commitments will be reported as a combined total of CDs, CAs, AOCs,
JGs, Bankruptcy Settlements, Generic Settlements and Orders, Enforcement Action
Amendment, and UAOs where response actions have been achieved and/or parties agree
to make cash payments toward future response costs at a site. The value of Total Response
Commitments is based on the estimated value of PRP response work and/or payments made
by responsible parties toward future response costs at a site as well as the allowed claim
amount for bankruptcy settlements.
If a PRP initially complies with a UAO, credit will be given for the UAO when the first
PRP provides written notice of intent to comply. If, at a later date, the PRP agrees to a CD
for the same work, credit will be given for the CD when it is entered by the court. At this
point the region will receive credit for the CD only and not the UAO. When adding the CD
activity, the region should identify the UAO as the predecessor action in SEMS and enter
the estimated value of the UAO in SEMS as the estimated value of the CD if the CD covers
the same work. If the CD covers more work than the UAO it replaces, a revised estimate
may be necessary. The SEMS reporting requirements for the CD apply.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference are completed, including payment provisions and
monitoring (with the exception of any activity related to record retention).
Instruments that have been 'closed' after all work obligations have been completed should
be designated as such by using the compliance status value 'Work Under Order/Settlement
Completed (WOSC)' in SEMS. When appropriate, the 'Closed Order or Settlement' sub-
work package in SEMS should also be used indicating that all obligations under the
enforcement instrument (i.e., both work and payment obligations) are complete. In
addition, a UAO that is converted to a CD is no longer active.
Special Planning/Reporting Requirements:
The following information should be reported in SEMS for settlements, orders and
amended enforcement instruments for response: Law Section; the appropriate Enforcement
Instrument Categories Selected; Parties Associated with the enforcement instrument;
applicable Response Actions Pd by Parties: Other Relief Achieved; Work the PRP Will
Perform - Value; Federal Costs Settled - Future; and Financial Assurance Provisions.
Settlement credit will be given for an AOC or CA with a Prospective Purchaser Agreement
(PPA), Prospective Lessee Agreement (PLA), Bona Fide Prospective Purchaser (BFPP),
Contiguous Property Owner (CPO) or Windfall Lien Resolution (WL) Agreement with
BFPP if PPA, PLA, BFPP, CPO, or WL is the selected enforcement instrument category.
The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Sub sequent Site) should be entered in SEMS on the Enforcement Instrument Screen
for a single settlement covering multiple sites in order to apportion the dollars correctly
across individual sites without double counting the settlement.
Dollars received in a cashout settlement should be deposited in an interest bearing Special
Account if site-specific conditions warrant. See the measure, Settlements Designating
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Deposits to Special Accounts, for more information. The 'Work the PRP Will Perform -
Value' and 'Federal Costs Settled - Future' (i.e., the value of total response commitments)
will be reported annually to Congress.
m. Volume of Contaminated Media Addressed (VCMA)
In the FY 2014-2018 EPA Strategic Plan, April 2014, the Superfund enforcement program
is under Goal 5: Protecting Human Health and the Environment by Enforcing Laws and
Assuring Compliance. Within Goal 5, Superfund enforcement is part of Objective 5.1 -
Enforce Environmental Laws to Achieve Compliance. The Volume of Contaminated
Media Addressed (VCMA) is one of several GPRA measures to support cleaning up
communities and advancing sustainable development under Goal 5, Objective 5.1. The
measure, which affects the Superfund enforcement and Resource Conservation and
Recovery Act (RCRA) Corrective Actions programs, is as follows:
By 2018, obtain commitments to clean up 1,025 million cubic yards of contaminated soil
and groundwater media as a result of concluded CERCLA and RCRA corrective action
enforcement cases.
Superfund VCMA data for contaminated soil and/or water should be entered into the
Integrated Compliance Information System (ICIS) for the following actions:
Superfund remedial actions, at the time an enforcement document is finalized (e.g.
issuance of a unilateral order or corrective action order, signing of an agreement on
consent or CD) using data available from the RI, FS, and/or ROD (or any other
relevant data).
Superfund non-time critical removal actions, at the time an enforcement document
is finalized using data available from the engineering evaluation/cost analysis,
and/or the action memorandum (or any other relevant data).
Superfund time critical removal actions, at the time an enforcement document is
finalized using data available from the action memorandum (or any other relevant
data). Sometimes few data are available for such cases at the time of the action
memorandum. If insufficient data exist for an estimate at the time of the action
memorandum, the value for the measure should be entered at the soonest practical
time after the settlement as data are available to calculate the measure, with the
caveat that the best available value for the measure should always be entered in the
same fiscal year in which the enforcement document is finalized.
The OECA GPRA measure is a national measure. As such, the regions are not required to
post targets in the Annual Commitment System. Information for this target is entered into
OECA's ICIS database. The Case Conclusion Data Sheet (CCDS) guidance provides
detailed calculation methodologies for estimating the contaminated soil and water to be
addressed pursuant to the environmental statutes of CERCLA and RCRA Corrective
Action. Additionally, the CCDS provides specific instructions on how to enter the VCMA
information into ICIS. For further information on calculating the VCMA measures refer to
the CCDS Guidance and the Environmental Benefits Calculation tool booth which can be
found on the OECA Planning, Measures, and Oversight Division Intranet site at:
http://intranet.epa.gov/oeca/oc/pmod/index.html.
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n. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement
The CERCLA compliance monitoring module in SEMS has been established to track
instances of substantial noncompliance (SNC) with active CERCLA response enforcement
instruments. The SNC tracking system is described in the joint Office of Site Remediation
Enforcement (OSRE) and the Federal Facilities Enforcement Office (FFEO) Guidance on
Determining and Tracking Substantial Noncompliance with CERCLA Enforcement
Instruments in CERCLIS. August 2009, which remains applicable to compliance
monitoring in SEMS.The system tracks compliance with active CERCLA enforcement
instruments that include work obligations. The guidance defines work obligations broadly
to encompass all non-payment obligations contained in a CERCLA enforcement
instrument, including reporting requirements, submission of work plans, performance of
work, provision of financial insurance, and implementation of institutional controls.
The SNC tracking system and this measure are intended to help EPA prioritize the most
serious violations and ensure a timely and appropriate enforcement response to them that
results in a return to 'Not in SNC' status or otherwise appropriately addresses those
violations. In addition, the compliance tracking system will help EPA identify and analyze
regional and national trends in addressing substantial noncompliance. This measure builds
on the SNC tracking guidance to track the timeliness and nature of regional responses to
instances of SNC by identifying enforcement instruments that have been in SNC status for
two or more quarters without being addressed through formal enforcement action or
returned to non-SNC status.
EXHIBIT X.12. SUMMARY OF SEMS COMPLIANCE STATUS VALUES
ComplhiiKT Sliilus
l-'uniiiil
IllldlCOIlU'lll
Tsiken?
Description
Compliance Status
Reviewed - Not In SNC
(SRNF)
Not
applicable
The region has completed its review of PRP compliance with
work obligations under the enforcement instrument and has
determined based on available information that it is not in
SNC. This value should also be used when an enforcement
instrument was previously found to be in SNC and is no
longer in SNC.
In SNC - Informal Action
Planned (IIAP)
No
The enforcement instrument is in SNC as to work obligations
and the region is planning to take an informal enforcement
action such as a phone call, a warning letter, or a warning e-
mail.
In SNC - Informal Action
Taken (HAT)
No
The enforcement instrument is in SNC as to work obligations
and the region has taken an informal enforcement action such
as a phone call, a warning letter, or a warning e-mail.
In SNC - Formal Action
Planned (IFAP)
No
The enforcement instrument is in SNC as to work obligations
and the region is planning to take a formal enforcement action
by invoking the penalty or other formal mechanisms outlined
in the enforcement instrument.
In SNC - Formal Action
Taken (IFAT)
Yes
The enforcement instrument is in SNC as to work obligations
and the region has taken a formal enforcement action by
invoking the penalty or other formal mechanisms outlined in
the enforcement instrument.
In SNC - Informal Action
Yes
The enforcement instrument was in SNC as to work
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Taken and Compliance
Accomplished (IIAC)
obligations and the region took informal enforcement action,
with the result that the instrument was no longer in SNC by
the end of the quarter. Use only where SNC was identified
and resolved in a single quarter.
In SNC - Formal Action
Taken and Compliance
Accomplished (IFAC)
Yes
The enforcement instrument was in SNC as to work
obligations and the region took formal enforcement action,
with the result that the instrument was no longer in SNC by
the end of the quarter. Use only where SNC was identified
and resolved in a single quarter.
In SNC - In Dispute
Resolution (IIDR)
Yes
Should be used in lieu of 'In SNC - Formal Action Taken'
when the formal dispute resolution provisions of the
enforcement instrument have been invoked with respect to
work obligations.
In SNC - Referred to
DOJ (IDOJ)
Yes
Noncompliance has been addressed by referral to the
Department of Justice. This also includes instances where a
case is sent to DOJ to file a bankruptcy proof of claim when a
PRP who was performing work has entered bankruptcy. This
level of specificity is required to allow HQ to track whether
DOJ is taking action in accordance with the IA. This value
should be used in lieu of 'In SNC - Formal Action Taken'.
In SNC - Fund Takeover
(IFTO)
Yes
Noncompliance has been addressed by fund takeover of the
work addressed by the enforcement instrument.
Decision Not to Pursue
Violations (DNPV)
Yes
The region decided not to pursue violations. Primarily for use
when no work remedy is available and the region decides not
to pursue penalties.
Work Under
Order/Settlement
Completed (WOSC)
Not
applicable
All of the work obligations under the enforcement instrument
have been completed to the satisfaction of EPA.
Special Planning/Reporting Requirements:
For each response enforcement instrument that reports a 'Decision Not to Pursue
Violations (DNPV)', the region is required to briefly describe, in the Compliance Status
Comment Field, the nature of the noncompliance and the rationale for deciding not to
pursue the violations.
For each response enforcement instrument that has been in SNC status for two or more
consecutive quarters and not yet addressed by formal enforcement action, the region is
required to briefly describe, in the Compliance Status Comment Field, the nature of the
noncompliance and the informal enforcement action taken or the formal or informal
enforcement action planned to address the noncompliance.
All compliance status comment fields will be considered enforcement sensitive and will
not be subject to release under the Freedom of Information Act (FOIA).
Frequency of Reporting:
Regions should update the compliance status of all open enforcement instruments in SEMS
on a quarterly basis for all active response instruments where remedy construction is not
yet completed. Once all actions addressed by an enforcement instrument are 'Construction
Complete' and the operable unit(s) at which those actions were completed is in either the
Operations and Maintenance phase or the Long Term Remedial Action phase, the
frequency of compliance status reporting can be reduced to annually.
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Once a region makes an initial 'Not in SNC' determination for an access-only enforcement
instrument, further compliance status determinations will not be required unless a
subsequent limitation or denial of access occurs, in which case quarterly determinations
will be required until the region once again determines that the instrument is 'Not in SNC'
status.
Instruments that have been 'closed' after all non-payment work obligations have been
completed should be designated as such by using the compliance status value 'Work Under
Order/Settlement Completed (WOSC)' in SEMS. When appropriate, the 'Closed Order or
Settlement' milestone in SEMS should also be used indicating that all obligations under
the enforcement instrument (i.e., both work and payment obligations) are complete.
o. Total Amount of Response Commitments Secured through Financial Assurance
Financial responsibility requirements ensure that responsible parties have the resources to
complete cleanup work obligations they assume under CERCLA enforcement instruments.
Financial assurance provides protection against liable parties who default on their cleanup
obligations, which would subsequently shift the burden for these costs to state and federal
taxpayers. Enforcement instruments requiring CERCLA cleanup work should include
financial assurance provisions where appropriate. This measure counts the total universe
of CERCLA enforcement instruments where parties have agreed to provide financial
assurance to secure site cleanup. In addition, the measure will report the total amount of
financial assurance provided by the parties pursuant to each instrument.
For all enforcement instruments at non-Federal Facility NPL, SAA, and non-NPL sites
where there is cleanup work and the parties have agreed to provide financial assurance to
secure the response work, this measure will report the:
1. Total number of enforcement instruments with financial responsibility provisions;
2. Total number of enforcement instruments where financial assurance was provided;
and
3. Amount (dollar value) of financial assurance provided responsible parties to secure
response commitment costs.
Special Planning/Reporting Requirements:
For enforcement instruments included as a part of this measure see the Total Response
Commitments definition of accomplishment. Because financial assurance provides
security that a site cleanup will be completed, enforcement instruments for cost recovery
only or the cost recovery component of an enforcement instrument will not be counted in
this measure. When entering the details of the enforcement instrument on the SEMS
Enforcement Instrument Screen, Regions should check the box indicating that Financial
Assurance is required, when applicable.
In addition, the following information should be entered in SEMS under the Financial
Assurance tab of the Enforcement Instrument Screen when indicating that financial
assurance is required: The amount or face value of financial assurance provided; Financial
Assurance mechanism provided (i.e., Trust Fund, Letter of Credit, Payment or Performance
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Bond, Insurance Policy, Financial Test, Corporate Guarantee); Financial assurance issuer;
and where applicable the Financial assurance mechanism expiration date.
Generally, responsible parties agree to provide financial assurance within 30 days of the
entry of the CD, upon completion of the AOC or Consent Agreement (CA), or when
complying with the UAO.
Frequency of Reporting:
Regions should regularly review and update, as necessary, the financial assurance
information in SEMS for all open enforcement instruments requiring cleanup work to
ensure accuracy and to track compliance. Both the financial test and corporate guarantee
require annual submissions of relevant financial documents and must be reviewed
and updated at least annually. The remaining acceptable financial mechanisms are
generally automatically renewable, e.g., letters of credit, insurance, trust funds, and surety
bonds, and may not require annual updating in SEMS. However, these mechanisms
should be reviewed periodically to ensure, for example, that the face amount is sufficient
to cover the remaining cost of the cleanup work at the site. If a PRP at any time during
the fiscal year no longer passes the financial test/corporate guarantee or a financial
mechanism is canceled or terminated, the financial assurance data in SEMS should be
updated with the accepted alternate financial assurance mechanism as soon as possible to
ensure accurate and up to date information.
Instruments that have been 'closed' after all non-payment work obligations have been
completed should be designated as such by using the compliance status value 'Work
Under Order/Settlement Completed (WOSC)' in SEMS. When appropriate, the 'Closed
Order or Settlement' milestone in SEMS should also be used indicating that all
obligations under the enforcement instrument (i.e., both work and payment obligations)
are complete.
p. De Minimis Settlements and Number of Parties
This measure reports the total number of administrative or judicial settlements that are
reached under section 122(g) of CERCLA, with PRPs qualified as de minimis. This type
of settlement results in PRPs paying a minor portion of the estimated response costs at the
site, and is embodied in a CD or an AOC. If the total response costs at the site exceed
$500,000 (excluding interest), the AOC can only be signed by the Regional Administrator
or delegate after prior written approval from DOJ. If DOJ does not approve or disapprove
the order within 30 days, the order is considered approved and can then be signed by the
region. The DOJ and the Regional Administrator or delegate can agree to extend the 30-
day period if necessary.
This measure will count the total number of de minimis settlements under section 122(g),
the number of PRPs who sign such settlements, and the number of sites at which de minimis
settlements were signed.
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EXHIBIT X.13. DE MINIMIS SETTLEMENT REQUIREMENTS
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Administrative Order on
Consent
EPA
Finish: The data the AOC is sisned bv the Reeional
Administrator or delegate. The date the AOC is signed
is reported in SEMS as the finish.
Consent Decree
EPA
Finish: The date the CD sisned bv the Reeional
Administrator and the de minimis parties is transmitted
to DOJ or HQ. The date of the transmittal
memorandum is reported in SEMS as the CD start
date.
The number of signatories to the settlement is system generated in SEMS from the
identification of the PRPs who have signed the settlement.
Special Planning/Reporting Requirements:
The following information should be entered into SEMS.
Enforcement Instrument Categories Selected of de minimis;
PRPs that signed the settlement (Parties Associated with Action, Party Name);
Dollar amount that will be used for current, future, or past work covered by the
settlement (Work PRP Will Perform - Value, Federal Costs Settled - Past and/or
Federal Costs Settled - Future [as applicable]); and
Applicable Response Actions Pd by Parties, Other Relief Achieved, or Response
Actions Reimbursed. To indicate the de minimis PRPs that signed the settlement,
the following information must be entered for each party on the Party
Search/Information, Involvement tab:
Basis of Liability of 'De Minimis party'; and
Involvement Type of 'Owner', 'Generator' or 'Transporter'.
Since many de minimis settlements are cashouts, regions also must enter an Enforcement
Instrument Category of 'Cashout'. Dollars received in a de minimis cashout settlement
should be deposited in an interest bearing Special Account if site-specific conditions
warrant. See the Settlements Designating Deposits to Special Accounts measure for
additional information. The number of signatories to the settlement is system generated
from the identification of the PRPs who have signed the settlement.
q. Section 106,106/107,107 Case Resolution (Including Claim in Bankruptcy)
Case resolution is the conclusion of a Section 106, 106/107, 107 judicial action, or Claim
in Bankruptcy by full settlement, case dismissal, case withdrawal, or final judgment.
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EXHIBIT X.14. SECTION 106,106/107,107 CASE RESOLUTION (INCLUDING CLAIM IN
BANKRUPTCY) REQUIREMENTS
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Silo iniisi ho \on-l"odoral l"aoili(\ MM.. non-MM. or S.\.\ silo
Consent Decree/Bankruptcy
Settlement
EPA
Start/Finish: The date the CD or BankriiDtcv
Settlement is signed by the judge fully addressing the
complaint with all parties and entered in the court.
This is the finish date of the CD or Bankruptcy
Settlement and the work package 'Entered By Court'
as well as the litigation or bankruptcy finish date in
SEMS.
Litigation Outcome: Case
Withdrawn
EPA
Start/Finish: The date the resion receives a memo or
letter from DOJ withdrawing the case. This is the
finish date of the work package Litigation Outcome:
Case Withdrawn and the litigation or bankruptcy finish
date in SEMS.
Litigation Outcome: Case
Dismissed
EPA
Start/Finish: The date a decision document is
submitted by the judge dismissing the case. This is the
finish date of the work package Litigation Outcome:
Case Dismissed and the litigation or bankruptcy finish
date in SEMS.
Litigation Outcome: Judgment
EPA
Start/Finish: The date a trial has concluded and a
judgment is rendered and signed by the judge fully
addressing the complaint. This is the finish date of the
Judgment and the work package 'Entered By Court'
and the Litigation Outcome: Judgment as well as the
litigation finish date.
r. Past Costs Addressed >$500,000 via Settlements, Referrals, Write-Offs, or
Claims in Bankruptcy
Past Costs Addressed>$500,000 is the decision either to take cost recovery action by use
of administrative cost recovery settlement, to transmit a Section 106/107 or 107 judicial
referral for cost recovery, including settlements for past costs under a CD (with no prior
litigation referral), to prepare a decision document or 10-point settlement analysis
document not to pursue cost recovery, or to file a claim in bankruptcy.
This measure covers cases where EPA has incurred Superfund costs > $500,000. It is vital
to the management of the cost recovery program that sites with upcoming Statute of
Limitations (SOL) be addressed prior to the expiration of the SOL. Therefore, regions will
not be allowed to substitute targeted sites that have SOLs occurring within the current FY
or in the first quarter of the upcoming FY.
FY 18 SPIM
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EXHIBIT X.15. PAST COSTS ADDRESSED >$500,000 REQUIREMENTS
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Performance
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Administrative Order on
Consent
EPA
Slarl/Kinish: The dale die Regional Administrator or
delegate signs the AOC that recovers 100% of EPA
expenditures or settles a claim where the total response
costs are less than $500,000. The date the AOC is
signed is reported in SEMS as the finish.
Consent Agreement
EPA
Start/Finish: The date the Regional Administrator or
delegate signs the CA that recovers 100% of EPA
expenditures or settles a claim where the total response
costs are less than $500,000. The date the CA is signed
is reported in SEMS as the finish.
Administrative Voluntary Cost
Recovery
EPA
Start/Finish: The date the reeional office orDOJ
receives payment from the PRPs in direct response to a
demand letter for voluntary cost recovery. The finish
date of the Administrative Voluntary Cost Recovery is
also the finish date of the Payment Received work
package that is associated with the Demand Letter
Issued work package in SEMS.
Litigation (Generic), or Section
107 Litigation, or Section
106/107 Litigation
EPA
Start/Finish: Credit for addressing oast costs is given
on the date of the Regional Administrator's memo
transmitting the referral to DOJ or HQ. This is also the
litigation start date in SEMS.
Consent Decree
EPA
Start/Finish: Credit for addressing oast costs is siven
for CD for RD/RA with a cost recovery component or
CDs for cost recovery only that were not the result of a
prior litigation referral. Credit is given on the date of
the Regional Administrator's memo transmitting the
CD to DOJ or HQ. This is also the CD start date in
SEMS.
Cost Recovery Decision
Document - No Sue
EPA
Start/Finish: Signature date of the decision document.
This is also the Cost Recovery Decision Document -
No Sue finish date in SEMS. The past costs that will
not be recovered and the reason the costs were written
off should be reported in SEMS.
10-Point Settlement
EPA
Start/Finish: The decision not to Diirsuc cost recovery
may be documented in an enforcement instrument 10-
point settlement analysis. This is also the finish date of
the 10-Point Settlement work package in SEMS. The
past costs that will not be recovered and the reason the
costs were written off should be reported in SEMS.
Claim in Bankruptcy
Proceedings
EPA
Start/Finish: The date the claim in bankruptcy
proceedings is transmitted to DOJ. This is also the
Claim in Bankruptcy Proceedings start date in SEMS.
For each claim in bankruptcy, the 'Federal Costs
Sought - Past' must be entered into SEMS.
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
All dates must be entered into SEMS. Credit for referrals is based on the referral package,
not on the number of sites. Credit will be withdrawn if a case is returned to the region by
DOJ or HQ for additional work but will be reinstated upon re-referral. For each judicial
referral, regions must enter 'Federal Costs Sought - Past' into SEMS.
AOC and C A settlements that do not recover 100% of the Trust Fund expenditures or where
compromised total response costs are more than $500,000 must be sent to DOJ for approval
prior to signature by the Regional Administrator or delegate. CD settlements for cost
recovery that result from a previous litigation referral do not count towards this target. For
each settlement, the region must enter 'Federal Costs Settled - Past' into SEMS.
For each Claim in Bankruptcy, the 'Federal Costs Sought - Past' must be entered in SEMS.
Regions must take credit for addressing past costs via a Claim in Bankruptcy Proceedings
during the fiscal year in which the action was taken. If, as is often the case, a bankruptcy
settlement is reached in a later fiscal year and credit for addressing past costs was not taken
at the time of the claim in bankruptcy, regions will not receive credit for addressing past
costs in the fiscal year in which the bankruptcy settlement occurs. Regions will however
receive credit under Total Response Commitments in the FY in which the bankruptcy
settlement is entered.
Accomplishments are reported on a site-specific basis. Any changes to the target require
prior approval by the OSRE. This is a GPRA annual performance goal.
When the statute of limitations (SOL) has been tolled, a Tolling Agreement activity should
be entered in SEMS for the appropriate action with a start date (i.e., the effective date of
the tolling agreement) and a planned finish date (the date the tolling agreement is set to
expire). Once the tolling agreement has expired the expiration date should be entered in
SEMS as the finish date. If the tolling agreement is extended, which is often the case, a
new Tolling Agreement activity should be established in SEMS with a start date the same
as the finish date of the prior Tolling Agreement activity to maintain a history of the tolling
agreement extensions.
s. Total Cost Recovery Settlements (Including Dollar Value)
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements where the parties agree to pay past costs to the Agency. This measure
will require reporting of both the number of settlements as well as the value of the past
costs to be recovered pursuant to each of these settlements.
EXHIBIT X.16. TOTAL COST RECOVERY SETTLEMENTS REQUIREMENTS
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FY 18 SPIM
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OLEM Directive 9200.3-153
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Consent Decree
EPA
Finish: Hie dale llie CD is eiilered bv die court lor CD
settlements for RD/RA with a cost recovery
component, or CDs for cost recovery only. This date is
recorded in SEMS as the CD finish date.
For CD settlements that are for cost recovery only and
result from a previous litigation referral, regions
should not record a CD start date.
Administrative Voluntary Cost
Recovery
Finish: The date the reeional office orDOJ receives
payment from the PRPs in direct response to a demand
letter for voluntary cost recovery. The finish date of
the Administrative Voluntary Cost Recovery is also
the finish date of the Payment Received work package
that is associated with the Demand Letter Issued work
package in SEMS.
Administrative Order on
Consent or Consent Agreement
Finish: The date the AOC or CA is sisned bv the
Regional Administrator or delegate for cost recovery.
The date the AOC or CA is signed is reported in
SEMS as the finish.
Judicial/Civil Judgment
Finish: The conclusion of a Section 106/107 judicial
action by final judgment with a cost recovery
component, or for cost recovery only. Credit for a
Judicial/Civil Judgment is given on the date on which
the final judgment is signed by the judge and entered
by the court. This date is recorded in SEMS as the
finish.
Bankruptcy Settlement
Finish: The conclusion of a claim in bankriiDtcv
proceedings by final judicial settlement. Credit is
given for a Bankruptcy Settlement where cost recovery had
been achieved on the date the bankruptcy settlement is
entered by the court. The date is recorded in SEMS as
the finish. The allowed settlement amount for cost
recovery should be entered into SEMS
Special Planning/Reporting Requirements:
Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs,
Administrative/Voluntary Cost Recovery actions, JGs, USs and AOCs where cost recovery
has been achieved.
An enforcement instrument is active until the provisions of the instrument or another
document incorporated by reference is completed including payment provisions and
monitoring (with the exception of any activity related to record retention). Instruments for
cost recovery only that have been 'closed' after all payment obligations have been
completed should be designated as such by using the 'Closed Order or Settlement' sub-
work package in SEMS.
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OLEM Directive 9200.3-153
Instalments that have been 'closed' after both work and payment obligations have been
completed should be designated as such by using the compliance status value 'Work Under
Order/Settlement Completed (WOSC)' in SEMS and the 'Closed Order or Settlement' sub-
work package in SEMS indicating that all obligations under the enforcement instrument
(i.e., both work and payment obligations) are complete.
The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Sub sequent Site) should be entered in SEMS on the Enforcement Instrument Screen
for a single settlement covering multiple sites in order to apportion the dollars correctly
across individual sites without double counting the settlement.
The following information must be reported in SEMS for past cost settlements: Parties
Associated with the enforcement instrument; Response Actions Reimbursed by Parties:
Other Relief Achieved; Federal Costs Settled - Past.
This measure will be reported in the ENFR-03 report. The 'Federal Costs Settled - Past'
(i.e. the value of costs recovered) will be reported annually to Congress.
t. Total Value of PRP Oversight
EPA incurs oversight costs while overseeing cleanup work performed and paid for by PRPs
at Superfund sites. EPA bills PRPs for its oversight costs in accordance with the 'future
cost' payment provision contained in settlement agreements where PRPs have agreed to
perform work at their sites. To ensure that site work is properly performed by PRPs, and
in accordance with the terms of the settlement agreement, EPA will oversee the PRPs'
work and will bill the PRPs for the cost of its oversight work each year.
When a PRP is scheduled to be issued an oversight bill, the region will compile its oversight
costs site-specifically using the Superfund Cost Recovery Package and Image On-Line
System (SCORPIOS). SCORPIOS is a report generator that compiles costs site-
specifically from Compass, the Agency's official accounting system, and includes images
of supporting cost documentation in a comprehensive cost recovery package. SCORPIOS
is used to prepare a detailed cost summary of the site costs, which includes direct and
indirect costs, needed to prepare the bill. Once the costs have been reviewed and verified
by regional officials as being correct/accurate, the region will prepare a bill and transmit it
to the PRP.
Afterward, a copy of the bill is provided to the Office of the Chief Financial Officer's
(OCFO) Cincinnati Finance Center (CFC) so that a corresponding accounts receivable can
be recorded and tracked to ensure that payment is made. The oversight amount reported by
OSRE as part of its end of year accomplishments data is based on amounts billed by the
regions and subsequently recorded by CFC as accounts receivable for that year.
u. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations
The measure will help assess the extent to which EPA is using ability-to-pay
determinations to achieve its goal of enforcement fairness. The measure will report the
number of administrative or judicial settlements that are reached under CERCLA with
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OLEM Directive 9200.3-153
PRPs qualified as limited ability-to-pay parties. This type of settlement results in: 1) PRPs
paying less than their respective portion of the cost for site cleanup based on an ability-to-
pay determination; 2) Payment over time for parties with limited ability to raise annual
revenues; or 3) Parties providing in-kind service in lieu of cash payments.
Total ability-to-pay settlements are counted as follows:
EXHIBIT X.17. ABILITY-TO-PAY DETERMINATION REQUIREMENTS
\\ (irk Package
Ac(i\ il\/Milestone
PeiTormanee
l.ead
Mileslone/Aeli\ ilj Dale Re(|iiiremenls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with the abilitv-to-
pay PRPs is signed by the Regional Administrator or
delegate. The date the AOC or CA is signed is
reported in SEMS as the finish.
Consent Decree
EPA
Finish: The date the CD is sisned bv the Reeional
Administrator and the ability-to-pay parties and
transmitted to DOJ or HQ. The date of the transmittal
memorandum is reported in SEMS as the CD start
date.
Special Planning/Reporting Requirements:
An Enforcement Instrument Categories Selected of 'Ability to Pay' should be entered into
SEMS.
v. Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective Purchaser
Agreements (PPAs) and Prospective Lessee Agreements (PLAs)
In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled
the Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments'). Among other things, the Brownfields Amendments provide a limitation on
liability for persons who qualify as BFPPs. The intent of Congress in enacting this
provision was to remove certain liability barriers to purchases of property and encourage
redevelopment.
Although EPA understands that the necessity for agreements with prospective purchasers
has been largely eliminated by the Amendment, the Agency recognizes that, in limited
instances, the public interest will be served by entering into agreements with PPAs and
PLAs, as well as BFPPs who will perform work exceeding reasonable steps at a site of
federal interest.
For the purpose of reporting, this measure will count;
1. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for bona fide prospective purchasers.
2. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective purchasers.
3. The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective lessees.
July 31,2017
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OLEM Directive 9200.3-153
EXHIBIT X.18. BFPP AGREEMENT, PPA, AND PLA REQUIREMENTS
Work Package
Acli\ ilt/MilcMone
Performance
Lead
Milcs(onc/Acli\ ilj Dale Kc(|iiircmcnls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a BFPP, PPA
or PLA component is signed by the Regional
Administrator or delegate. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Consent Decree
Finish: Date the CD with a BFPP, PPA or PLA
component is entered by the court. The date the CD is
entered is reported in SEMS as the CD finish.
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category should be entered
into SEMS: 'Bona Fide Prospective Purchaser'; 'Prospective Purchaser Agreement'; or
'Prospective Lessee Agreement'. For additional SEMS reporting requirements see Total
Response Commitments.
w. Issuance of Comfort/Status Letters
Parties interested in purchasing, developing, or operating certain properties are provided
information, upon request, regarding the potential for EPA actions. Comfort/status letters,
while providing some assurances, are intended solely for informational purposes and only
communicate EPA's intent with regard to enforcement or response authorities.
Comfort/status letters do not provide a release from CERCLA liability, and therefore, are
not considered 'no action assurances'. Any response to a solicitation for information on
EPA's involvement or potential involvement/interest in a property qualifies as a
comfort/status letter.
EXHIBIT X.19. COMFORT STATUS LETTER REQUIREMENTS
\\ ork Package
Ac(i\ il\/.\lilcs(onc
Performance
lead
Milcslonc/Acli\il\ Dale Kc(|iiircmcnls
Comfort Status Letter
EPA
Start/Finish: The date the letter is sisned bv the
appropriate regional official.
Special Planning/Reporting Requirements:
Regions should track the property/site specific issuance of comfort/status letters in SEMS.
For each comfort/status letter that is a windfall lien or reasonable steps comfort letter,
regions should enter the Action Qualifier of 'Windfall Lien' or 'Reasonable Steps'
respectively into SEMS.
x. Contiguous Property Owners (CPOs)
In 2002, the Small Business Liability Relief and Brownfields Revitalization Act
(Brownfields Amendments) amended CERCLA to provide liability protection to
Contiguous Property Owners (CPOs). CERCLA section 107(q) excludes from the
definition of 'owner or operator' under CERCLA sections 107(a)(1) and (2) a person who
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OLEM Directive 9200.3-153
owns property that is 'contiguous to or otherwise similarly situated with respect to, and
that is or may be contaminated by a release or threatened release of hazardous substances
from' real property owned by someone else. While CERCLA section 107(q), like other
provisions in the Brownfields Amendments, is designed to grant landowner liability
protection without any action from or involvement of EPA, in CERCLA section
107(q)(3)(b), Congress expressly conferred upon EPA the ability to grant a CPO protection
against a cost recovery or contribution action under CERCLA section 113(f). EPA believes
congressional intent in passing this provision was to provide additional protection to CPOs
who have been sued or where there is the real and substantial threat of litigation. It is the
Agency's view that the assurance can also remove the stigma associated with being
neighbors of contaminated properties, as well as facilitate development.
For the purpose of reporting, this measure will count: The number of finalized settlement
agreements (AOCs and CAs) that include contiguous property owner provisions.
EXHIBIT X.20. CONTIGUOUS PROPERTY OWNER REQUIREMENTS
\\ (irk Package
Ac(i\ ilt/Miloslono
PoiTorniiinco
l.end
Mileslone/Acli\il\ l);ilo Requirements
Silo iniisl ho \on-l"c(lcr;il l-':ii*ilil> MM.. non-MM. or S.\.\ silo
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a CPO
component is signed by the Regional Administrator or
delegate. The date the AOC or CA is signed is
reported in SEMS as the AOC or CA finish.
For each settlement the appropriate Enforcement Instrument Category of 'Contiguous
Property Owner' should be entered in SEMS. For additional SEMS reporting requirements
see Total Response Commitments.
y. Windfall Lien Resolution - Finalized
In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled
the Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments'). Congress provided liability protection under CERCLA for bona fide
prospective purchasers to encourage the purchase and reuse of contaminated properties.
The windfall lien provision under section 107(r) applies to bona fide prospective
purchasers, whereas the older Superfund lien under section 107(1) applies to PRPs. EPA
may enter into a windfall lien resolution agreement with a purchaser if there is likely to be
a significant windfall lien needing resolution.
This measure will quantify the number of windfall lien resolution agreements signed. For
the purpose of reporting, this measure will count the number of finalized settlement
agreements (AOCs and CAs) that include the windfall lien resolution provisions.
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OLEM Directive 9200.3-153
EXHIBIT X.21. WINDFALL LIEN RESOLUTION REQUIREMENTS
\\ ork Package
Ac(i\ il\/.Milcslonc
Performance
Lead
Milcslonc/Acli\il\ Diilo Ko(|iiiromoii 1 s
Silo iniisi ho \on-l"cdcral l"acili(\ NPL. non-MM. or SAA silo
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a Windfall
Lien component is signed by the Regional
Administrator or delegate. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category of 'Windfall Lien'
should be entered in SEMS. For additional SEMS reporting requirements see Total
Response Commitments.
z. PRP Oversight Administration
Through the Superfund Reform on the Administration of PRP Oversight (OS), EPA
recognizes the value of working together with PRPs with whom the Agency has settlement
agreements as a means to promote appropriate oversight that ensures the development and
implementation of protective cleanups; gives careful consideration to the associated costs
being charged to PRPs; and maximizes EPA recovery of oversight cost. This measure
reports EPA's efforts to work with PRPs to maximize the effectiveness and efficiency of
EPA oversight and to send timely bills for oversight.
This measure applies to all PRPs at non-Federal Facility NPL, SAA, and non-NPL sites
who:
Are conducting, under federal oversight, the non-time critical removal action
(NTCRA), RI/FS, RD, or RA phase of a cleanup, and
Have an AOC, CD, or other settlement document in place with EPA that provides
for payment of oversight costs.
EXHIBIT X.22. PRP OVERSIGHT ADMINISTRATION REQUIREMENTS
\\ ork Package
Acli\ il\/Milestone
Performance
Lead
Mileslone/Acli\il\ Dale Kc(|iiircmcnls
Sile iniisi he Non-l-ederal l acilil> NPL. non-NI'l. or SAA sile
Offer to Discuss EPA Oversight
Expectations w/PRPs
EPA
Start/Finish: The date the offer is made to PRPs to
discuss EPA's oversight expectations for upcoming
activities.
Issuance of Oversight Bill
EPA
Start/Finish: The date an oversight bill consistent
with the enforcement instrument is issued to PRPs.
Special Planning/Reporting Requirements
The annual accomplishment measure shall be based on the number of agreements (as
described in the second bullet above) in place for PRP-lead events that will take place
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OLEM Directive 9200.3-153
during the fiscal year. The date of the accomplishment for this measure is the later of the
dates documenting completion of each of the actions above.
For the purposes of this measure only, HQ shall assume, unless otherwise informed by the
regions, that PRPs that have entered into agreements with EPA will receive annual
oversight bills unless the settlement was entered into in the current fiscal year. In that event
no bill is required; however, the region will be expected to offer to meet with the PRPs to
discuss oversight expectations. The regions will identify those actions for which PRPs are
required to pay oversight costs.
aa. Settlements Designating Funds for Deposit to Special Accounts
This measure will assess the extent to which EPA is able to direct the deposit of settlement
funds into Special Accounts under CERCLA section 122(b) (3), in its efforts to increase
fairness and promote PRP settlements. EPA is able to retain and apply the interest from
these accounts to clean up the site at which the settlement occurred. Funds deposited in
Special Accounts are immediately accessible for response costs, but may only be used to
support response actions at the site(s) covered by the settlement. Funds deposited into a
Special Account may be the result of response costs achieved under: de minimis, ability to
pay, bankruptcy, cashout, Prospective Purchaser Agreement (PPAs), or other settlements.
For all CERCLA settlements where PRPs agree to make cash payments toward response
costs at a site (i.e. cashout and/or cost recovery settlements), the measure will report the
following:
The total number of cashout and cost recovery settlements, and the estimated
amount of response costs achieved from those settlements;
The number of settlements which designate funds for deposit to Special Accounts
for response costs, and the percentage of these settlements compared to the total
number of cashout and cost recovery settlements; and
The amount of funds designated for deposit to Special Accounts by the settlement
for response costs and the percentage of these funds, compared to the total amount
of response costs achieved from all cashout and cost recovery settlements.
EXHIBIT X.23. SETTLEMENTS DESIGNATING FUNDS FOR DEPOSIT TO SPECIAL
ACCOUNTS REQUIREMENTS
\\ (irk Package
Ac(i\ il\/\lik'slniK'
Performance
l.cad
Mileslone/.\cli\ i(\ Dale Kc(|iiircmenls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is sisned bv the
Regional Administrator or delegate that includes a
payment provision where funds will be placed in a
Special Account. The date the AOC or CA is signed is
reported in SEMS as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under
section 106, 107, or 106/107 that includes a payment
provision where funds will be placed in a Special
Account. This date is recorded in SEMS as the finish
date.
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FY 18 SPIM
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OLEM Directive 9200.3-153
Special Planning/Reporting Requirements:
This measure counts any settlement, where there is a payment provision for funds to be
deposited in a Special Account
Data that must be entered into SEMS for these settlements include:
Federal Costs Settled - Past (for Cost Recovery Settlements);
Federal Costs Settled - Future (for Cashout Settlements);
Enforcement Instrument Categories Selected (for Cashout Settlements);
Response Actions Paid by Parties (for Cashout Settlements);
Deposit to EPA Special Account; and
Special Account Deposit Provision Flag.
For additional SEMS reporting requirements see Total Response Commitments.
bb. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
This measure will quantify the number of settlements in which EPA has agreed to disburse
Special Account funds to PRPs for response actions at the site where the Special Account
funds were collected. Response actions can be removal or remedial, under administrative
or judicial settlements (under agency guidance, Special Account funds are not available to
parties performing work under a UAO).
For all CERCLA settlements where PRPs agree to conduct response actions at the site for
which the Special Account was created, the measure will report the following:
The number of response settlements which designate disbursement from Special
Accounts to PRPs who conduct the response action; and
The amount of funds designated to be disbursed from Special Accounts to PRPs in
response action settlements.
EXHIBIT X.24. SETTLEMENTS DESIGNATING FUNDS FOR DISBURSEMENT FROM SPECIAL
ACCOUNTS TO PRPS REQUIREMENTS
\\ (irk Package
Acli\ il\/Milestone
Perlo nuance
l.ead
Mileslone/Acli\ ilj Dale Rc(|iiircmenls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is signed bv the
Regional Administrator or delegate that includes a
disbursement provision. The date the AOC or CA is
signed is reported in SEMS as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under
section 106, 107, or 106/107 that includes a
disbursement provision. This date is recorded in
SEMS as the finish date
Special Planning/Reporting Requirements:
Data that must be entered into SEMS for these settlements include:
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OLEM Directive 9200.3-153
Response Actions Paid by Parties;
Work PRP Will Perform - Value;
Paid from Special Account; and
Special Account Disbursement Provisions Flag.
For additional SEMS reporting requirements see Total Response Commitments,
cc. Pre-Remedial Enforcement Action at Superfund Sites
The objective of this GPRA goal is for EPA to reach a settlement with PRPs or take an
enforcement action prior to the start of a RA at 99% of non-federal Superfund sites (with
RAs starting during the fiscal year) that have known, viable, liable parties.
This measure supports the goal of maximizing PRP participation at Superfund sites, thus
promoting 'Enforcement First'.
This measure counts non-Federal Facility NPL and PRP-financed SAA sites with:
1. PRP-financed RA starts (in the FY) as defined in chapter VIII, titled Remedial
Program.
2. Government-financed RA starts (in the FY) with prior enforcement action at the
site (as defined in chapter VIII, titled Remedial Program). Prior enforcement
actions at the site where the following dates of these actions are prior to the start
date of the Government-financed RA include:
Date the AOC, CA or UAO is signed by the Regional Administrator or
delegate. This does not include orders that are for access or information
only.
Date the CD settlement is referred by the Regional Administrator or
delegate to either DOJ or HQ.
Date the CD for cost recovery only resulting from a previous litigation
referral is entered by the court.
Date payment is received from the PRPs in response to a demand letter for
voluntary cost recovery.
Date of a litigation referral.
3. Government-financed RA starts (in the FY) with PRPs, at the site, but no
enforcement actions prior to the RA start: These are Government-financed RA
starts as defined in chapter VIII, titled Remedial Program, with no enforcement
actions at the site where the dates of these actions as specified in #2 above are prior
to the start date of the RA, but have viable, liable PRPs designated at the site (Parties
Associated with Site, Noticed/Enf Act flag is set, and Not PRP Determination Made
flag is not set).
X.A.8 Site Revitalization
This measure captures enforcements efforts to facilitate the cleanup and reuse of
previously used Superfund properties by entering into agreements with liable responsible parties
to conduct the investigation and cleanup of a site or by addressing the liability concerns of non-
liable parties at those sites.
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OLEM Directive 9200.3-153
Enforcement accomplishments will be based on the number of Superfund sites that are
sitewide ready for anticipated use (SWRAU) where enforcement efforts contributed to the site
being cleaned up or where an enforcement document(s) was involved to address/resolve liability
concerns. (The universe is identified as Superfund sites for OLEM's Sitewide Ready for
Anticipated Use (SWRAU) measure: Proposed, final and deleted NPL sites, SAA sites;
construction complete sites where all physical construction of remedies is complete, human
exposure is under control, and all Institutional Controls are in place.)
Enforcement Measure of Accomplishment:
Enforceable agreements play a critical role in cleaning up sites. Enforcement will track cleanup
agreements at SWRAU sites where the agreement finish date is prior to the SWRAU date:
Consent Decrees (CDs)
Administrative Order on Consents (AOCs)
Consent Agreements (CAs)
Unilateral Administrative Orders (UAOs)
Enforcement will also track enforcement documents produced at SWRAU sites which address
potential liability under CERCLA as amended through enactment of Public Law 107-118, the
Small Business Liability Relief and Brownfields Revitalization Act ('Brownfields
Amendments') of January 2002:
Comfort/Status letters that address liability concerns/issues - including reasonable steps
letters
Windfall lien resolution agreements
Work agreements with Bona Fide Prospective Purchasers (BFPPs)
Contiguous Property Owner Agreements (CPOs)
Prospective Purchaser Agreements (PPAs)
Prospective Lessee Agreements (PLAs)
Special Planning/Reporting Requirements:
Specific sites will be identified by OLEM's SWRAU measure. Enforcement accomplishments
will be a subset of those sites.
Credit for enforcement accomplishments will be based on the number of sites where responsible
parties have contributed to the cleanup at the site or where the liability concerns of non-liable
parties were addressed. The finish date of enforcement instruments (AOCs, CAs, CDs, UAOs)
where parties agree to conduct cleanup work and/or make cash payments toward future cleanup
costs at a site will be counted. In addition, cost recovery settlements where the costs recovered
are deposited into a site-specific special account to fund part or all of the cleanup will also be
counted.
Credit for addressing the liability concerns of non-liable parties will be based on finalized
settlement agreements (AOCs, CAs, CDs) that include provisions for BFPPs, CPOs, PPAs, PLA
or have a Windfall lien component. Credit for Comfort/Status letters will be given on the date the
letter is signed. Finalized settlement agreements and Comfort/Status letter finish dates counted
will be prior to the SWRAU date.
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OLEM Directive 9200.3-153
Superfund Program Implementation Manual
FY 18
Chapter XI: Community Involvement
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Chapter XI: Community Involvement
Table of Contents
XI. A Introduction XI-1
XI.B National Program Requirements XI-1
XI.B. 1 Program Goals and Objectives XI-1
XI.B.2 Regulatory and Policy Requirements XI-1
XI.B.3 Roles and Responsibilities XI-1
XI.B.4 Data Entry Timeliness XI-2
XIC Community Involvement Activities XI-2
XI.C. 1 Overview of Community Involvement Activities XI-2
a. Community Involvement Plans (CIP) XI-3
b. Community Advisory Groups (CAGs) XI-3
c. Technical Assistance Grants (TAGs) Xl-4
d. Technical Assistance Services for Communities (TASC) Xl-4
List of Exhibits
Exhibit XI. 1. HQ and Regional Roles and Responsibilities XI-2
Exhibit XI.2. Community Involvement Plan Requirements XI-3
Exhibit XI. 3. Community Advisory Groups Requirements XI-4
Exhibit XI.4. Technical Assistance Grants Requirements XI-4
Exhibit XI.5. TASC Requirements XI-5
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OLEM Directive 9200.3-153
CHAPTER XI: COMMUNITY INVOLVEMENT
XIA INTRODUCTION
Community involvement is the process of engaging in dialogue and collaboration with
community members throughout the Superfund process. Community Involvement activities
include Community Advisory Groups (CAGs), Technical Assistance Grants (TAGs), Technical
Assistance Services for Communities (TASC), Just In Time community services, and the
Superfund Job Training Initiative (Super JTI). These activities are the core components of the
Superfund Community Involvement and Program Initiatives Branch's (CIPIB) work to support the
Environmental Protection Agency's (EPA) Strategic Plan. While Restoration Advisory Boards
(RABs)/Site-Specific Advisory Boards (SSABs) involve community involvement activities, the
work of these Boards is addressed in the Federal Facilities section of the Superfund Program
Implementation Manual (SPIM).
The community involvement data tracked and reported by the program are currently in
review and may be modified in Superfund Enterprise Management System (SEMS) in the future.
The SPIM will be updated to reflect any system changes and to support the reporting of community
involvement information.
XI.B NATIONAI PROGRAM REQUIREMENTS
XI.B.l Program Goals and Objectives
The goal of Superfund community involvement is to advocate and strengthen early and
meaningful community participation during Superfund cleanups. Superfund community
involvement staff at Headquarters and in the regions strive to:
Encourage and enable community members to get involved.
Listen carefully to what the community is saying.
Take the time needed to deal with community concerns.
Change planned actions where community comments or concerns have merit.
Keep the community well informed of ongoing and planned activities.
Explain to the community what EPA has done and why.
XI.B.2 Regulatory and Policy Requirements
Section 300 of the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP) and subsequent policy directives and guidance documents establish the requirements for
community involvement through every phase of Superfund's cleanup process. These requirements
are specifically outlined in appendix A of the Superfund Community Involvement Handbook,
OLEM9230.0-50. January 2016.
XI.B.3 Roles and Responsibilities
To meet these national program requirements, specific roles and responsibilities have been
identified for the Headquarters (HQ) and regional staff that work in the community involvement
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OLEM Directive 9200.3-153
program area. The following table summarizes each of these positions along with their
responsibilities.
EXHIBIT XI.1. HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Tide
Responsibilities
Dill;ฆ Sponsors (HQ)
I'aalilalc SI!\1S sl;i\ inu closcls almiicd Willi llic Siipcrl'iilit)
includnm dc\ clopnm and updaliim miid;nice lli;il requires submission of
lliesedala fur ualinual lepni'lum needs. niaiiilaiuum and iipdalum d;il;i
clclllclll delimUulls, alld developing alld llliplelllellllllg llle pi'ueess ul
gathering, reviewing and entering the data into SEMS.
Milliliters of Diilii Sponsors
(HQ)
Direct and oversee the creation of useful program policy and guidance to
help the regions achieve program goals. Act as the central point of contact
for the regions and provide regional coordination support.
Diilii Sponsors (HQ) iind
('tiiiiiiiiiiiit\ ln\ol\cmcnl
M.iiiiiiicrs (regions)
Participate in program reviews, as well as preparing periodic reports on
regional accomplishments and progress on problems. Respond to quick
turn-around, site specific requests for information from senior management
for Congressional requests, regional visits or other needs. Serve as a forum
for sharing information and lessons learned on community involvement
activities.
( onimiinil\ 1 n\ol\ omeiil
( oordiiiiilors iCK si. Kcmcdhil
Project Miin;iปcrs (RPMs) iind
Oil-Scene Coordinators (OSCs)
Ensure all data necessary to meet the requirements(s) are in SEMS to
support regional reporting needs and commitments to HQ.
1 iirorm;ilion M;in;iiฃcmcnl
( oordiiiiilor (IMC )
Coordinate with the CICs/RPMs/OSCs to ensure data necessary to support
reporting requirements are in SEMS according to timeliness requirements.
Budget ( oordiiiiilor
Ensure all data necessary to support the regional budget are in SEMS prior
to specified calendar events.
Records Miiiiii^er/Kecords
Cenler SliilTi regions)
Coordinate with CICs/RPMs/OSCs/IMC to ensure program records are
properly managed in SEMS and made available in the Administrative
Record and Information Repository, as appropriate.
XI.B.4 Data Entry Timeliness
The regions should assure that their site information is complete, current, consistent and
accurate. It is essential that planning and accomplishment data in SEMS remain current throughout
the year and that accomplishments are reported as they occur. Regions should ensure planning and
accomplishment data is generally reflected in SEMS within five working days of the end of the
quarter in which it occurred. See section IV.C. 1 of this document for additional information about
data quality and timeliness standards.
XI.C COMMUNITY INVOLVEMENT ACTIVITIES
XI.C.l Overview of Community Involvement Activities
This section contains the definitions of the following community involvement activities:
CAGs, TAGs, TASC and the Super JTI.
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OLEM Directive 9200.3-153
a. Community Involvement Plans (CIP)
The CIP, previously known as the Community Relations Plan, specifies the outreach
activities that EPA will use to address community concerns and expectations, as learned
from community interviews. It helps advise the Community Involvement Coordinator
(CIC) and site team on appropriate activities. The CIP is a public document that local
residents can use to make sure EPA is responsive and proactively engaging the
community.
For remedial actions, the NCP [40 CFR ง300.435(c)(2)(ii)(A-C)] requires a CIP be in
place before remedial investigation field activities start. It also states the "prior to the
initiation of [remedial design], the lead agency shall review the CRP to determine
whether it should be revised." [40 CFR ง300.435(c)(1))]
For removal actions lasting 120 days or more, the NCP [40 CFR ง300.415(n)(3)(ii)]
requires the lead agency to prepare a formal community relations plan based upon
community interviews and other relevant information by the end of the 120-day period.
For removal actions with a planning period of at least six months, the CIP must be
completed prior to the completion of the Engineering Evaluation/Cost Analysis.
EXHIBIT XI.2. COMMUNITY INVOLVEMENT PLAN REQUIREMENTS
\\ (irk Piickiiiio
Ac(i\ il\/\lik'sloiK'
IVii'orm;incc
l.ciiri
Acli\ ilWMik'slone Dsiic Rc(|iiimnculs
ConinuuiilN lii\ ol\ emeiil Plan
LP A lii-llous>o
Finish: Finalized ConinuuiilN lii\ ol\ emeiil Plan
CIPs should also be revised every three years (as long as the site is active) and EPA
should determine whether additional community interviews are needed.
Special Planning/Reporting Requirements:
Planned start and finish dates are entered in SEMS. Funds may be planned site-or non-site
specifically; however, they must be obligated site specifically. Funds for CIPs at Federal
Facility sites are contained in the Federal Facility budget and found in the Federal Facility
Site Allowance.
The planned or actual finish date in SEMS (whichever is applicable) must be changed to
reflect the date of the most recent final document.
b. Community Advisory Groups (CAGs)
A CAG is an organized group of local stakeholders representing the diversity of community
interests for a particular Superfund site. CAGs serve as a point for exchanging information
among the local community, EPA, the state regulatory agency, and other agencies involved
in Superfund cleanups. CAGs also provide a forum for community members to present and
discuss their needs and concerns related to the Superfund decision-making process. CAGs
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may receive help from EPA, state, tribal and local governments, and universities in areas
such as meeting facilitation, technical assistance, and administrative support.
EXHIBIT XI.3. COMMUNITY ADVISORY GROUPS REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
Pcrlm-inaniT
Lead
Ac(i\i(\/Mik's(onc Dale Ko(|uiiciiH'ii(s
Community Advisory Group
EPA In-House
Start: First meaningful (not interest findinu)
Community Advisory Group Meeting is held
Finish: CAG is comoleted/closed out bv EPA and CAG
c. Technical Assistance Grants (TAGs)
The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the
TAG program to provide technical assistance in interpreting site-related technical
information to eligible communities. This technical assistance enables communities to
better participate in and inform the decision making process at their sites.
EXHIBIT XI.4. TECHNICAL ASSISTANCE GRANTS REQUIREMENTS
Work Package
Adi\ i(\/\lik's(oiK'
Pci'lni'inaniT
Lead
Ac(i\i(\/Mik's(onc Dale Ko(|uiiciiH'ii(s
Technical Assistance Grant
EPA In-House
Start: TAG award document is siened bv the reeional
award official
Finish: Award document, one-vear extension document,
time period extension document, or other documents,
such as a memo to the file prepared by the TAG
coordinator documenting the ending date of the budget
and project period
Special Planning/Reporting Requirements:
Planned start and finish dates are entered in SEMS. Funds may be planned site-or non-site
specifically; however, they must be obligated site specifically. Funds for TAGs at Federal
Facility sites are contained in the Federal Facility budget and found in the Federal Facility
Site Allowance.
The planned or actual finish date in SEMS (whichever is applicable) must be changed to
reflect the date of the most recent source document, e.g., award document, one-year
extension document, memo to the file, etc. These definitions may be applied to all historical
Comprehensive Environmental Response, Compensation, and Liability Information
System (CERCLIS) and SEMS data, including data prior to fiscal year (FY) 89, which is
the first fiscal year TAG appeared in the SPIM. In addition, the TAG completion
definitions from previous years may also be used for TAGs completed within those years.
There can only be one active TAG at a site.
d. Technical Assistance Services for Communities (TASC)
TASC was developed to provide communities that live near hazardous waste sites with
independent technical assistance to help them understand the technical issues related to
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hazardous substance contamination and cleanup so that they can substantively participate
in the decision-making process. Just in Time and Super JTI are two related services
provided to communities.
Just in Time community services are offered through the EPA's Conflict Prevention and
Resolution Center contract. The Office of Superfund Remediation and Technology
Innovation (OSRTI) provides regions with access to neutral third party consultation,
collaboration and dispute resolution support services to help prevent, constructively
discuss, and address or resolve difficult issues or conflicts with community members and
other Superfund site stakeholders.
Super JTI provides community members with training and follow on job opportunities, and
fosters partnerships that remain long after a Superfund site is cleaned up.
Technical Outreach Services for Communities (TOSC) activity data exist in SEMS for
historical purposes only. The TOSC program has been replaced by the TASC program.
EXHIBIT XI.5. TASC REQUIREMENTS
Work P;ick;iiio
Aiii\ ilW.Mik'sloni*
Pciiorniiincc
Load
Ac(i\ilt/Mik'sloiii* l):iU- Ki-(|iiimm-nls
Technical Assistance Services
for Communities (TASC)
EPA In-House
Start: Reeional Task Order Monitor/Contractins
Officer's Representative approves technical approach to
site specific project
Finish: Documentatioa such as an evaluation of the
TASC project, marks the completion of the project
period for the TASC services
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Superfund Program Implementation Manual
FY 18
Chapter XII: Information Systems
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Chapter XII: Information Systems
Table of Contents
XII.A Information Systems XII-1
XII.A. 1 Overview of SEMS XII-1
a. Remedial Site Assessment (See chapter VI) XII-2
b. Removal Program (See chapter VII) XII-2
c. Remedial Program (See chapter VIII) XII-2
d. Federal Facility Program (See chapter IX) XII-3
e. Enforcement Program (See chapter X) XII-3
f. Community Involvement (See chapter XI) XII-4
g. Project Management XII-4
h. Program Management. XII-5
XII.A.2 SEMS System Components XII-5
XII.A.3 Reporting Superfund Information XII-6
XII.A.4 SEMS Information on the Internet XII-6
a. Superfund Site Profile Pages (SPP) XII-6
b. Superfund Records Collections (SEMS-PUB) XII-7
c. Superfund Remedial Performance Measures XII- 7
d. Superfund Data and Reports XII-7
e. Superfund Report Order Form XII-8
XII.A.5 Data Owners/Sponsorship XII-8
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CHAPTER XII: INFORMATION SYSTEMS
XII. AINFORMA TION SYSTEMS
The Office of Superfund Remediation and Technology Innovation's (OSRTI) information
systems portfolio has been established to ensure that all Superfund information technology (IT)
investments align with the Environmental Protection Agency (EPA) mission and support business
needs. They are designed to minimize program risks and maximize return on investment
throughout each IT investment's lifecycle. Together the portfolio systems provide a structured,
integrated toolset to assist management and staff to support the business and mission needs of the
Agency.
In fiscal year (FY) 2014, OSRTI completed the integration of several legacy systems into
the Superfund Enterprise Management System (SEMS). This includes the Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS),
Superfund Document Management System (SDMS), the Institutional Controls Tracking System
(ICTS), the eFacts reporting tool, and ReportLink. The following points outline the purpose of
SEMS:
Integrating the primary Superfund data collections, reporting and tracking systems into a
single system;
Meeting both immediate and strategic, long-term Superfund needs;
Serving as an official source of primary Superfund site activity data, records, and support
documentation for internal and external stakeholders;
Improving operational effectiveness, reducing costs, streamlining business processes, and
enhancing information management capabilities; and
Adapting to meet ever-changing environmental, federal and agency needs yet tailored to
meet the unique requirements of the Superfund program.
XII. A. 1 Overview of SEMS
As a result of the successful integration of multiple legacy systems into SEMS, SEMS is
now the official repository of nationally defined and required data for planning and tracking
activities at site assessment, remedial and removal sites. SEMS also continues to serve as the
Superfund program's official repository of electronic records (See chapter XIII, Superfund
Records Management). The integrated system is the Superfund program's source of site
information, activity data and supporting documentation across all areas of the pipeline (e.g., site
assessment, remedial program).
The following sections provide a summary of the information specific to each program
area that is contained in SEMS. Additional guidelines can be found in each associated chapter of
the Superfund Program Implementation Manual (SPIM).
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a. Remedial Site Assessment (See chapter VI)
To support the remedial site assessment and National Priorities List (NPL) listing
processes, SEMS provides the following capabilities:
Enter, store, and retrieve basic site discovery information, including site
identification (name and location), narrative description, and site setting;
Identify the Site Assessment Manager (SAM) and other site contacts;
Distinguish between removal program site initiation and remedial site assessment
program discoveries;
Enter, store, and retrieve site assessment decision information, including qualifiers
and text rationale, as well as referrals to states or other program areas;
Manage schedule of site assessment activities;
Store program records that support remedial site assessment and NPL listing
decisions;
Generate standard reports and perform ad hoc queries; and
Track information associated with NPL listing actions, including Federal Register
citations, Federal Docket Management System (FDMS) numbers, Hazard Ranking
System (HRS) scores and changes to NPL status.
b. Removal Program (See chapter VII)
To support the removal process, SEMS provides the following capabilities:
Manage schedule of removal activities;
Identify the On-Scene Coordinator (OSC) and other site contacts;
Track the type of removal response (e.g., emergency, time critical or non-time
critical), media addressed, contaminants of concern, and response technology.
Assist in the management of removal budgets for various contract vehicles and
other EPA costs;
Store program records that support removal program decisions; and
Generate standard reports and perform ad hoc queries.
c. Remedial Program (See chapter VIII)
To support the remediation process, SEMS provides the following capabilities:
Manage schedule of remedial activities;
Identify the Remedial Project Manager (RPM) and other site contacts;
View and update remedy decision information, including media addressed,
contaminants of concern, and response technology;
View and update Five Year Review information, including issues,
recommendations and protectiveness statements;
Track key performance measures for the remedial program, including Construction
Completion, Environmental Indicators and Sitewide Ready for Anticipated Use;
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Assist in the management of remedial budgets for various contract vehicles and
other EPA costs;
Store program records that support remedial program decisions; and
Generate standard reports and perform ad hoc queries.
d. Federal Facility Program (See chapter IX)
To support Federal Facilities, SEMS provides the following capabilities:
Manage schedule of Federal Facility activities;
Record, display, and update information pertaining to Base Realignment and
Closure (BRAC) sites, including BRAC types, Fast Track sites, Environmental
Baseline Survey (EBS) information, Finding of Suitability to Lease (FOSL)
information, and Finding of Suitability to Transfer (FOST) information;
Record and display Federal Facility Docket information;
Assist in the management of Federal Facility budgets for various contract vehicles
and other EPA costs;
Store program records that support Federal Facility program decisions; and
Generate standard reports and perform ad hoc queries.
e. Enforcement Program (See chapter X)
To support the enforcement process, SEMS provides the following capabilities:
Manage schedule of enforcement activities;
Identify site attorneys and other contacts;
Capture and retrieve information about Potentially Responsible Parties (PRPs) and
other parties and associate parties with all sites and enforcement actions with which
they have been involved;
Document a party's involvement type with a site;
Group parties for enforcement actions or correspondence mailings;
Track party compliance with letters and settlement terms;
Track liens against a party' s property;
Document the issuance of Comfort/Status letters;
Track Bona Fide Prospective Purchaser Agreements (BFPPs), Prospective
Purchaser Agreements (PPAs), Prospective Lessee Agreements (PLAs),
Contiguous Property Owners (CPOs) and Windfall Lien Agreements (WL);
Track negotiations, including type of response actions sought and cost recovery
amount sought;
Track settlements, type and estimated value of response actions to be performed by
the parties, cost recovery funds achieved, response actions that are being
reimbursed, cash out funds achieved, the amount and type of financial assurance
provided by parties, amount of funds to be disbursed from a Special Account or
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deposited into a Special Account as part of the settlement, and whether the
settlement was with de minimis parties;
Log case files, including EPA Docket and Department of Justice (DOJ) case
numbers and names and district court location docket number;
Track referrals, including the type of referral, statutes, response actions sought, cost
recovery amount sought, and outcome;
Track pipeline activities start and finish dates used to calculate potential Statute of
Limitations (SOL) dates;
View costs written off and the rationale behind a decision not to pursue cost
recovery;
Track the timely issuance of oversight bills or accounting of oversight costs
incurred;
Record the planned bills, actual bills, refunds/payments, and collections; and
Generate standard reports and perform ad hoc queries.
f. Community Involvement (See chapter XI)
To support the community involvement process, SEMS provides the following
capabilities:
Manage schedule of community involvement activities;
Identify the Community Involvement Coordinator (CIC) and other site contacts;
Store program records that support community involvement decisions; and
Generate standard reports and perform ad hoc queries.
g. Project Management
To support the project management process, SEMS provides the following capability:
Manage schedules for all site activities;
Identify RPMs and other site contacts;
View and edit activity-specific information including operable unit, sequence
number, performance lead, qualifiers, critical indicators, and planned and actual
start/finish dates;
View the targeted fiscal year/quarter (FY/Q) for actions defined as regional and
national targets;
Define predecessor and/or successor relationships between activities;
Add and view activity-specific comments;
View financial data by site, action, or financial transaction and track Superfund
State Contracts (SSC) cost share payment and reimbursable account information
within Portfolio Management;
Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes
and financial transactions before they become official; and
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Generate standard reports and perform ad hoc queries,
h. Program Management
To support the program management process, SEMS provides the following capabilities:
View allowance and budget information for a comparison of regional spending
plans to the negotiated budget for each allowance;
Record and access all site and non-site financial details associated with an
allowance;
View aggregate site planning data to support program planning and reporting
measures and access data on a national (at Headquarters [HQ] only), regional,
branch, or section level, or by program office;
Access project schedule details for sites included in the aggregated information on
planning and reporting measures and identify target candidates;
Track progress in meeting targets and planning estimates, view details on target and
alternate sites that support these targets/estimates for each planning and reporting
measure, and substitute target and alternate sites when necessary;
Associate sites with a specific national and/or regional priority initiatives;
Enter Environmental Indicator (EI) and Land Reuse data at the site/action level,
and view summary information for Indicators identified in chapter VIII, titled
Remedial Program, at the national (at HQ only) and regional levels;
View financial data transferred from Compass on a daily basis; and
Generate HQ program management reports.
XII.A.2 SEMS System Components
SEMS is comprised of various modules that allow for data entry and/or retrieval. The goals
of this architecture are to allow regions, as the primary data owners, to enter data and ensure that
the national database contains all regional data, and to allow all users to run reports and retrieve
data as necessary.
System users enter site information into SEMS thru a variety of interfaces. Basic site
information (e.g., location, site activity type), site schedules, planned site obligations and other
activity-specific information is entered in the Site Management Module (SEMS-SM). Supporting
documentation is entered and indexed thru the Records Management Module (SEMS-RM). Users
may run reports, customize dashboards and perform ad hoc queries thru the Reporting Tool. SEMS
also includes support components, such as the System Administration Module and the Portal.
Regular exports of datasets from SEMS have been recreated in a manner that is consistent
with the datasets provided from CERCLIS. These data extracts include:
Active: This dataset contains active sites and related program management information
tracked through the Superfund Comprehensive Accomplishments Plan (SCAP) process.
Freedom of Information Act (FOIA): This dataset contains active sites and related
information that is releasable to the public.
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Archive: This dataset contains archived sites and related information.
Additional datasets can be created to meet additional program needs and special initiatives
as they are defined.
In addition, each day, financial data from Compass are transferred into SEMS.
XII.A.3 Reporting Superfund Information
The SEMS Reporting Tool is accessible to users at HQ and in the regions, and contains
nationally defined reports and dashboards. The reports are categorized by program areas, including
Site Assessment, Five Year Reviews, Federal Facilities, Removal, Enforcement, Project
Management, and Program Management, among others. HQ program managers and staff have
access to the database and the ability to use the application to display data and print reports. In
many cases the application can be used by program managers in lieu of contacting regional staff
for inquiries on data or site information.
XII.A.4 SEMS Information on the Internet
Since the OneEPA changes, effective on October 1, 2015, SEMS information has been
made available to the public via the internet in a variety of different formats. The major formats
are described below
a. Superfund Site Profile Pages (SPP)
The Superfund Site Profile Pages are Drupal pages which are created for each NPL site.
The SPPs contain the following information, which is pulled from the Site Management
module of SEMS (SEMS-SM)
Site Status (CC, HEUC, GWMUC, and SWRAU)
NPL Status (P, F, D)
Site Address
Site Contacts
Site Aliases
Contaminants of Concern (CoC)
Operable Units (OUs)
The SPPs also show published Administrative Record Collections and Special Collections
of records for the site, which is pulled from the Records Management module of SEMS
(SEMS-RM).
The SPPs can be accessed via the following websites
Cleanups in My Community (https://www.epa.gov/cleanups/cleanups-my-
communitv)
Search for Superfund Sites Where You Live
(https://www.epa.gov/superfund/search-superfund-sites-where-you-live)
Redirects from individual Regional Pages or Press Releases
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b. Superfund Records Collections (SEMS-PUB)
SEMS-PUB is a search interface which allows a member of the public to search for
Superfund records in published Administrative Record or Special Collections. Users can
search using the following criteria:
Region
Collection Type
Collection ID
Collection Description
State (not available for HQ collections)
Site (not available for HQ collections)
EPA ID (not available for HQ collections)
Based on the results of the search, a user can access the files along with a limited amount
of SEMS-RM metadata (date, title, document ID, author, addressee, pages, and size)
related to those files. All documents published to the web via SEMS-PUB must have an
access control of "Uncontrolled".
Links to documents in SEMS-PUB are provided on other Superfund websites via
searchable tables (an example of a searchable table can be seen on the Contaminants at
Superfund Sites website at: https://www.epa.gov/superfund/contaminants-superfund-
sites). Searchable tables will eventually replace hard-linking to individual documents.
c. Superfund Remedial Performance Measures
The Superfund Remedial Performance Measures website provides the public with pie and
bar charts which describe the number of sites that fall into six performance measures. This
information comes from SEMS-SM and the Superfund Reporting Tool. Superfund
Remedial Performance Measures can be accessed on the Superfund Remedial Performance
Measures website at: https://www.epa.gov/superfund/superfund-remedial-performance-
measures
d. Superfund Data and Reports
The Superfund Data and Reports website provides the public with a select set of SEMS
data reports. The reports available as of the FY2018 SPIM are:
FOIA 1
FOIA 3
FOIA 4
FOIA 5
FOIA 11
FOIA 12
List 8R (Active and Archived)
LIST 10
There are also reports and data files available from the CERCLIS decommissioning in
September 2014. Superfund Data and Reports can be accessed on the Superfund Data and
Reports website at: https://www.epa.gov/superfund/superfund-data-and-reports
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e. Superfund Report Order Form
The Superfund Report Order Form allows a member of the public to request either a
Superfund document or other information about Superfund sites. Depending on the nature
of the inquiry, the response could include data reported out of SEMS-SM and/or records
from SEMS-RM. The Superfund Report Order Form can be accessed directly on the
Superfund Report Order Form website at:
https://www.epa.gov/superfund/forms/superfund-report-order-form as well as via a link on
the Superfund Data Reports website.
XII.A.5 Data Owners/Sponsorship
HQ program staff take an active role in improving the quality of data stored in SEMS by
serving as data sponsors. Data sponsorship promotes consistency and communication across the
Superfund program. HQ data sponsors communicate and gain consensus from data owners on data
collection and reporting processes. Data sponsors ensure that the data they need to monitor
performance and compliance with program requirements are captured and stored properly in
SEMS. To meet this goal, HQ data sponsors identify their data needs, develop data field
definitions, and distribute guidance requiring submittal of these data. Data owners may either be a
centralized either through the IMC or a centralized team or decentralized through the RPMs that
input the data into the system. Data owners follow the guidance they receive from data sponsors
as they acquire and submit data. HQ data sponsors assist data owners in maintaining and improving
the quality of Superfund program data through program evaluation and adjustments in guidance to
correct weaknesses detected. Data sponsors may conduct audits to determine if there are systematic
data problems (e.g., incorrect use of codes, data gaps, etc.).
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Superfund Program Implementation Manual
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Chapter XIIT: Superfund Records Management
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Chapter XIIT: Superfund Records Management
Table of Contents
XIII. A Overview of Records Management XIII-3
XIII. A. 1 What is a Record? XIII-3
XIII.A.2 Purpose of Records for Superfund XIII-3
XIIIB Records Management Requirements XIII-4
XIII.B. 1 Records Management Goals and Objectives XIII-4
XIII.B.2 Regulatory and Policy Requirements XIII-4
XIII.B.3 Roles and Responsibilities XIII-5
XIIIC Capturing Superfund Records XIII-5
XIII.C. 1 Program Required/Recommended Documents XIII-5
a. Program Required Documents (exhibit XIII. 2) XIII-5
b. Program Recommended Documents (exhibit XIII. 3) XIII-6
XIII.C.2 Other Program Records XIII-6
XIII.C.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)
XIII-6
XIII.C.4 Superfund Records Reports XIII-7
XIII.C.5 Disclosure and Disposition XIII-7
List of Exhibits
Exhibit XIII. 1. Records Management Goals and Objectives XIII-4
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CHAPTER XIII: SUPERFUND RECORDS MANAGEMENT
XIII. A O VER VIEW OF RECORDS MANA GEMENT
XIII.A.1 What is a Record?
If you answer yes to any of the following questions, you may have a record:
Was it created in the course of business?
Was it received for action? Does it document Environmental Protection Agency (EPA)
activities and actions?
Is it mandated by statute or regulation?
Does it support financial obligations or legal claims?
Does it communicate EPA requirements?
Records can exist in both paper and in electronic format. Examples are email, voicemail,
instant messages, and blogs/wikis/social media. Treat such messages the same way you treat paper
records1.
Any electronic message is a record if it documents the EPA mission or provides evidence
of an EPA business transaction, and if you or anyone else would need to retrieve the message to
find out what had been done or to use it in other official actions. For additional information, please
refer to the EPA Records Management Policy, February 2015.
NOTE: EPA staff should not use any outside e-mail account to conduct official agency
business. If there is an emergency situation requiring the use of an outside e-mail account, it is the
individual's responsibility to ensure all agency records are captured and managed in an approved
recordkeeping system. More information about records responsibilities can be found on the
Records Management Intranet site at: http://intranet.epa.gov/records/staff/index.html
XIII.A.2 Purpose of Records for Superfund
Superfund records provide important information about activities and decisions at
hazardous waste sites addressed by The Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA). The records cover all of the distinct phases of the Superfund program
from site discovery, cleanup actions proposed or selected, enforcement actions and site reuse. The
records can be classified in the general categories of pre-remedial, Federal Facilities, remedial, and
emergency response and removal.
The records have current and historical value for both commerce and quality of life uses.
As such, a significant portion of Superfund records have been designated by the National Archives
and Records Administration (NARA), as permanent records of the United States due to their
continuing value for historical or environmental research. The nature of the Superfund program
requires that records that are not permanent records of the United States must be retained far longer
1 National Archives and Records Administration, "Frequently Asked Questions (FAQs) About Media Neutral
Schedule Items", August 4, 2010. http://www.archives.gov/records-mgmt/faqs/media-neutral.html
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that many other records throughout the federal government. Superfund site-specific records are
scheduled as permanent records and ultimately turned over to NARA; as a comparison,
approximately only 3% of all federal records are scheduled as permanent.
XIII.B RECORDS MANAGEMENT REQUIREMENTS
XIII.B.l Records Management Goals and Objectives
In addition to regulatory records management responsibilities, the Superfund program has
the following additional goals and objectives:
EXHIBIT XIII. 1. RECORDS MANAGEMENT GOALS AND OBJECTIVES
Ohji-clitc
Go;il
1
Ensure all Program Required Documents are captured into the
program's official record keeping system (Superfund Enterprise
Management System Records Management Module [SEMS-
RM], formerly known as the Superfund Document Management
System [SDMS]).
Within five (5) working days of the
finalization of the document/Actual
date of accomplishment in SEMS-
Site Management Module (SEMS-
SM).
2
Ensure all Program Required Documents are associated to the
appropriate SEMS-SM Activity.
Within ten (10) working days of the
accomplishment date.
3
Ensure select Program Required Documents are proactively
made available to the public via EPA's website (within national
collections).
Within twenty (20) working days of
the accomplishment date.
4
Facilitate best practices across all regions and develop national
standards, where appropriate.
Maintain established national
standards annually.
XIII.B.2 Regulatory and Policy Requirements
The Federal Records Act of 1950, as amended, requires all federal agencies to make and
preserve records containing adequate and proper documentation of their organization, function,
policies, decisions, procedures, and essential transactions. These records are public property and
must be managed according to applicable laws and regulations.
44 U.S.C 2902, Objectives of Records Management, requires agencies to establish a
records management program, defined as a planned, coordinated set of policies, procedures, and
activities needed to manage its recorded information. Essential elements include issuing up-to-date
records management directives, properly training those responsible for implementation, and
carefully evaluating the results to ensure adequacy, effectiveness, and efficiency.
Records serve a number of purposes including:
administrative and program planning needs
evidence of EPA activities
protection of legal and financial rights
oversight by Congress and other authorized agencies
documentation of the Agency's history
the continuation of key functions and activities in the event of an emergency or disaster
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Records serve as the Agency's historical data; they are of critical importance in ensuring
that the organization continues to function effectively and efficiently. As noted in section XII.A
above, Superfund records relate to environmental issues within the United States. As such, records
retention falls into two general categories: long-term temporary and permanent.
XIII.B.3 Roles and Responsibilities
The Office of Superfund Remediation and Technology Innovation (OSRTI) will develop
national program-specific policies and standards, where appropriate. This chapter of the Superfund
Implementation Manual (SPIM) documents those policies. OSRTI will facilitate discussions
across regions to assist regions in fulfilling the federal and program-specific requirements as well
as facilitating discussion of best practices.
Each regional office is responsible for ensuring compliance with federal and program-
specific requirements.
XIII. C CAPTURING SUPERFUND RECORDS
XIII.C.l Program Required/Recommended Documents
In order to support the documentation/records collection requirements of the Superfund
program, recent emphasis has been to standardize the records that are collected and stored in The
Superfund Enterprise Management System (SEMS). Historically, the regions had the discretion to
select the records to place into SEMS Records Management Module (SEMS-RM) according to
regional priorities, which often differ substantially from one region to the next.
A list of 'Program Required/Recommended Documents' has been established that has
been reviewed and commented upon by regional Superfund Records Managers, Information
Management Coordinators and Headquarters Data Sponsors. The list will be reviewed as needed,
typically as part of the annual review and revision of the SPIM. See the Excel workbook attached
to the SPIM
a. Program Required Documents (see attached Excel workbook)
Documents included on the Program Required Documents list have been determined to be
most vital to documenting the progress of the program and sites: those documents that
support/document the reporting of key activities in the SEMS Site Schedule and/or those
documents that are determined to be of high value (e.g., Superfund State Contracts,
Financial Assurance Instruments, Institutional Control Instruments, etc.). These program
required documents are captured in SEMS-RM and associated to an Activity.
1. Capture into SEMS-RM
Program Required Documents must be captured by the region into SEMS-RM.
2. Associate to SEMS-SM Activity
Upon verification that the document supports the SEMS Site Management Module
(SEMS-SM) Activity data, the document's SEMS-RM number is associated to the
Activity. A document may support a SEMS-SM Activity because it is the evidence that
the Activity was completed or because the document has high value and best associated
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OLEM Directive 9200.3-153
to a specific Activity for tracking purposes (e.g., Superfund State Contracts, Financial
Assurance Instruments, Institutional Control Instruments, etc).
3. Add to National Collection
Select Program Required Documents (as identified in the attached Excel workbook) will
be made available to the public by adding the document to a published national collection
within SEMS-RM.
1. Region captures document into SEMS-RM
2. Region associates the SEMS-RM number to the SEMS-SM Activity
3. Region notifies Collection Owner of the capture and association
4. The Collection Owner may periodically run a report or query SEMS-
Reporting Tool for new documents associated to the Activity
5. The Collection Owner puts the document into the appropriate national
collection. The document is then made available to the public
b. Program Recommended Documents (see attached Excel workbook)
A Program Recommended Document is a document for which it is strongly
recommended that the region capture into SEMS-RM and associate the document's
SEMS-RM number to the appropriate Activity in SEMS-SM.
XIII.C.2 Other Program Records
In addition to Program Required/Recommended Documents, other records that assist in
documenting site information and support Superfund program activities on sites should be
included in the SEMS-RM. Non-site specific records may also be retained in the SEMS-RM
system as needed to support Superfund program activities and decisions, an example of which
would include contract-specific work performance documents that reference site-specific
contractor work activity spanning a region. Regional Superfund Record Managers may determine
records appropriate for capture in the SEMS-RM repository beyond those identified as Program
Required/Recommended list. Regions may capture into SEMS-RM any other document for any
business purpose (reference, Freedom of Information Act [FOIA], cost recovery, records
management).
XIII.C.3 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-
SM)
The central component in ensuring compliance with regulatory and policy requirements is
the SEMS-RM (previously known as the Superfund Document Management System [SDMS]), an
application that utilizes Superfund program-specific metadata to store and retrieve documents at
Headquarters (HQ) and also across all 10 regions of EPA. By maintaining a recordkeeping system
that allows for efficient responses to litigation, FOIA requests, and audits, OSRTI also minimizes
the cost and effort traditionally associated with recordkeeping by moving toward the reduction of
paper records.
SEMS-RM is a key EPA information asset used to meet the Superfund program's
responsibilities for recordkeeping and transparency. Furthermore, SEMS has replaced the
Comprehensive Environmental Response, Compensation, and Liability Information System
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OLEM Directive 9200.3-153
(CERCLIS) as the System of Record for the Superfund program, serving as the official repository
of Superfund programmatic data in addition to records (Establishment of a New System of Records
Notice for the Superfund Enterprise Management System, Federal Register Vol. 80 No. 74, page
21237, April 2015).
SEMS-RM currently serves as the program's repository of digital records. System updates
that are planned will go even further to make SEMS the program's official electronic
recordkeeping system. At that time, the SEMS-RM electronic recording keeping system will
comply with the NARA-endorsed standard for electronic recordkeeping systems, DOD 5015.2-
STD version 3 of the Department of Defense (DOD) Electronic Records Management Software
Application (RMA) Design Criteria Standard (See Endorsement of Department of Defense (DOD)
Electronic Records Management Software Applications (RMA) Design Criteria Standard, NARA
Bulletin 2008-07, September 2008). The implementation date for these system updates has not
been finalized.
The purpose of integrating CERCLIS and SDMS into one system, SEMS, is to create direct
linkages between site information and the records that support program activities and decisions.
SEMS leverages advanced technology to better support the efficient and effective operation of the
program. This supports Goal 3: Land Preservation and Restoration and Goal 5: Compliance and
Environmental Stewardship of the FY 2014-2018 EPA Strategic Plan, April 2014.
SEMS allows increased access to records while reducing physical record storage. SEMS
fosters collaboration of information. An example is the 24,548 documents from Region 4 that were
captured in SDMS, and inherited by SEMS, for Hurricane Katrina. These digital documents, which
meet the standard for e-FOIA, may be distributed to many stakeholders including states, tribes,
concerned citizens, the legal community, and other federal agencies.
XIII.C.4 Superfund Records Reports
A variety of reports will be available via SEMS-Reporting Tool and via the Superfund
Reporting Center to assist the regions in verifying, tracking, and monitoring their performance of
meeting the records goals and objectives of the Superfund program. Currently, the following report
is available:
PGMT-006: Actions with SEMS Doc Info is used by EPA to display activities and the
SEMS-RM Doc IDs associated with them. The report can be run for a variety of parameters
including activity date, activity, and/or program required and program recommended
documents.
The regional SEMS Data Entry Control Plan should be used to reflect the reports being
used. Future updates to this SPIM will identify additional available reports.
XIII.C.5 Disclosure and Disposition
Specific definitions for the descriptions and dispositions of Superfund records are primarily
enumerated in EPA Record Schedule 1036 for site specific records. Records defined by other EPA
Record Schedules may also be retained and dispositioned in SEMS-RM to meet program needs.
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OLEM Directive 9200.3-153
The EPA National Records Management program has submitted Record Schedule 1036 to the
National Archives and Records Administration for review, comment and approval.
The required lifespan of Superfund records presents OSRTI with records preservation
challenges that are not widely shared across agencies of the Federal Government. Disposition of
Superfund records are permanent in most cases and governed by regulations which apply to both
paper and electronic records. As discussed throughout this chapter, Superfund is evaluating and
implementing strategies to maximize the efficient use of information technology to enhance
availability of Superfund information while reducing records related costs.
For the purpose of public disclosure under the Freedom of Information Act (FOIA) or other
disclosure statutes and regulations, pre-decisional Superfund site records are by definition
deliberative in nature and should be excluded from public disclosure requirements unless
previously disclosed by the Superfund program or determined appropriate for release by a
competent authority as defined by the Region's SEMS Data Entry Control Plan. Examples of
authorities that could define whether a record is able to be disclosed include Regional Counsel,
FOIA Officers, and Remedial Project Managers.
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OLEM Directive 9200.3-153
Superfund Program Implementation Manual
FY 18
Appendix A: Work Planning Memorandum
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J*
I58SJ
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
SENT
OLEM 9200.3-120
MEMORANDUM
DATE: May 23, 2017
SUBJECT: FY 2018-2020 Superfund Remedial, Removal, and Enforcement Work-Planning
nnnrnT Digitally signed by
FROM: Robert Jennings, Director KUbtKl robert jennings
. . . irMMiM/^r Date: 2017.05.23
Resources JVlctncigenient Division JENNINGS 14:23:13-0400'
Office of Superfund Remediation and Technology Innovation
TO: Superfund National Policy Managers, Regions 1-10 Regional Counsel, Regions 1-10
Introduction
This memorandum provides work-planning guidance for the remedial, removal, and enforcement programs
for fiscal years (FY) 2018-2020. The FY 2018 President's Budget request represents a significant reduction
in appropriated funds as compared to recent years. As such, it will be critical for regions to leverage the
work-planning process to identify their highest priority spending needs and document unfunded
requirements. Additionally, EPA will award a new suite of contracts in FY 2018 as part of the Remedial
Acquisition Framework (RAF). In preparation for this, an initial RAF acquisition forecast must be
developed during work-planning to serve as the RAF transition plan.
The Office of Superfund Remediation and Technology (OSRTI) plans to partner with the Office of Site
Remediation Enforcement (OSRE) this summer on the regional work-planning meetings. Both OSRTI and
OSRE plan to participate in all regional meetings scheduled for August 1-31, 2017. EPA will continue to
pursue the "Enforcement First" strategy that seeks to find Potentially Responsible Parties (PRPs) to
perform response activities before we use government funds to address Superfund actions.
Superfund Remedial Program
During the work-planning process, regions are expected to develop a FY 2018-2020 work-plan by entering
data into SEMS on planned obligations; government-performed and PRP-performed planned activities/site
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schedules; and RAF task order plans. Using these inputs, this year's work-planning aims to produce the
following outputs:
1. FY 2018- 2020 Pipeline and RA activity and spending plans, as well as a full national budget
request with a corresponding list of unfunded requirements;
2. An updated Rough Order of Magnitude (ROM) estimate of the cost to "complete" the Superfund
remedial program;
3. A continuation of extensive utilization of special account funds;
4. An initial RAF acquisition forecast.
The subsequent sections expand upon each of these outputs. Additionally, this memorandum includes:
Information on the use of available Oracle Business Intelligence (OBI) tools (Appendixl)
Rules of Engagement for Transitioning to RAF (Appendix II)
FY 2018 schedule and program management milestones (Appendix III)
Generating FY2018-2020 Pipeline and RA Spending Plans and a National Unfunded
Requirements List using SEMS (output 1)
Pipeline Operations Site Allowance
The Pipeline Allocation Model will not be used in FY 2018. Instead, the Superfund Remedial National
Program Manager is providing each region with a planning allocation funding number for their FY 2018
Pipeline Site Allowance in the table below:
Using this planning number, the regions will develop planned obligations information in SEMS using the
Portfolio Management Tool. With the Portfolio Management Tool, regions are expected to enter both
"planned obligations" (the total funding needs required to cover all site and non-site costs given current
regional capacity) and "approved obligations" (representing resource decisions on what will initially be
funded) up to their respective planning numbers. By taking the difference between "planned obligations"
and "approved obligations", the program will be able to present a national list of unfunded requirements.
Regions are expected to use the same planning number given to them for FY 2018 for FY 2019-2020.
Regions should update all "planned" and "approved" FY2018-2020 Pipeline obligations in SEMS by
7/31/2017.
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If Congress appropriates additional resources, the Superfund Remedial National Program Manager will
provide additional resources to the regions based on the unfunded requirements identified in SEMS.
Headquarters will be providing a work-planning webinar to demonstrate how to use the Portfolio
Management Tool for regions in June, together with additional information on the OBI tools (see Appendix
I for more details). OSRTI will also distribute a user guide on the Portfolio Management Tool.
Regions should use the following guidance when planning their Pipeline activities and spending plans for
FY 2018-2020. Regions should prioritize funding for sites that may pose the highest threats to human
health and the environment, using their best available information, while also performing their legally-
required PRP oversight responsibilities, using Special Account funds wherever possible. Additionally,
Regions should limit funding for states to high priority sites and those where special account funds are
available, using site-specific Superfund cooperative agreements (e.g., PA/SI, management assistance). New
RI/FS and RD starts should be constrained, except where there are special account funds available to fund
such activities. Similarly, regions should plan on slowing down or stopping government-performed RI/FS
and RD activities on sites that may pose a lesser threat to human health or the environment. All
administrative costs should be reduced to a minimum wherever possible. Finally, as noted earlier, regions
should maximize the use of their unliquidated obligations.
Remedial Action Site Allowance
For the remedial action site allowance, regions are expected to update all planned FY 2018-2020
obligations in SEMS by 7/31/2017. Once an initial FY 2018 ongoing RA plan is developed, Headquarters
will work with the regions on identifying approved versus planned obligations in SEMS, based on the FY
2018 President's Budget request of $150 million for the remedial action site allowance. Regions should
use the Portfolio Management Tool when entering their planned RA site allowance obligations for FY
2018-2020. Additionally, in order to adequately capture a 'cost to complete' (see following section),
regions should fully plan funding needs for all ongoing RAs in SEMS, in accordance with their best
professional judgment.
Regions are to follow this additional guidance for entering plans into SEMS, applicable to both the Pipeline
Operations and Remedial Action Site Allowances:
Regions are expected to align their FY 2018 targets closely with their plans.
For every targeted action, regions should enter in an associated planned obligation.
Regions are expected to enter plans and planned obligations for sites that are highly likely to be
added to the NPL during FY 2018-2020.
Regions should assess whether available special account and Superfund State Contract resources
can be used to fund a particular project and enter planning data into SEMS accordingly.
Regions should fully plan available special account funds before planning appropriated funds.
For cases in which a PRP search is ongoing or enforcement negotiations are underway, regions
should plan for the most likely scenario.
Unliquidated Obligations
Regions should maximize the use of their unliquidated obligations when entering plans into SEMS. Each
regions' ULO balances will factor into HQ allocation decisions throughout the year. OSRTI recognizes the
significant efforts the regional Superfund offices have made to maximize the use of the available resources
in their Pipeline and Remedial Action Site Allowances. However, due to a very tight budget and possible
future budget shortfalls, there is an increasing need for the regions to expedite the liquidation and/or de-
obligation of ULOs. Therefore, OSRTI is asking each region to re-examine their ULOs on contracts,
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cooperative agreements, grants, and interagency agreements to identify when these funds will either be
liquidated or de-obligated. This topic will be a point of discussion at each region's work planning meeting.
Creating a Rough Order of Magnitude Cost to Complete Estimate for the Superfund
Remedial Program (output 2)
One of the work-planning objectives is to develop a Rough Order of Magnitude (ROM) estimate for the
cost to complete all the work at both Government and PRP-performed sites. This will help the program
demonstrate its ongoing and future needs to protect human health and the environment using a consistent
cost estimating methodology. Therefore, in addition to entering in planned obligations for FY 2018-
2020, regions should enter all future planned obligations in SEMS when all remedies have been
selected for a site, in line with their best professional judgement. In addition, regions should enter in a
"final remedy qualifier" flag in SEMS when all RODs have been completed for a site.
Management of Special Accounts (output 3)
With greater than $3.3 billion available in site-specific special accounts, special account management
remains a high priority for the Agency. Historically, regional management of available special account
resources and closing accounts no longer needed for site work has been excellent. With appropriated
funding receding, however, the remedial, removal, and enforcement Programs must continue to emphasize
special account resources to facilitate site cleanup. Regions are encouraged to explore site response costs
that special account funds may be used to support, such as site-specific records management and site-
specific payroll costs associated with a particular site. The review of special accounts will focus on
accounts with any of the following conditions:
Unassigned or negative unassigned balances (especially those which have large dollar amounts or
percentages of unassigned remaining balances)
Available balances of greater than $ 1,000,000
Available balances of less than $25,000
Sites which also plan to use FY 2018 appropriated resources
Sites that achieved construction completion greater than 14 years ago, or where the site was deleted
from the NPL
Sites with "Other" planning estimates or funds planned as contingencies
Accounts open 10 years or more with an available balance
Less than 30% of all collections and interest earned has been disbursed or obligated or $0 has been
obligated or disbursed from the account within the past five years
The information collected from work-planning will also be used for inclusion in the FY 2019
Congressional Justification. OSRTFs special account coordinator will send an email to regional special
account contacts with more specific instructions and a timeline for FY 2018 special account work-planning
reviews.
Initial RAF Acquisition Forecast (output 4)
Work-planning and RAF Acquisition forecasting are interrelated activities. Once the Regions complete
entering data into the Edit Site Schedule screen in SEMS, that same information will become part of the
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RAF Acquisition Forecast. The forecasts will also be used as the updated transition plans from Remedial
Action Contracts (RAC) to RAF. In accordance with current practice, regions are expected to continue to
use the vehicle and sub-vehicle fields in SEMS to identify the acquisition vehicle that will be used. (Please
note that the ability to select the RAF contracts was added to SEMS in January 2017). Regions should also
identify the date they anticipate transitioning to the RAF contracts in the Task Order Info field in SEMS.
Additional information will be provided in the work-planning training webinar in June.
Additionally, regions should consider appropriately grouping work into RAF task orders. Regions should
also use acquisition approaches that promote innovation and lower costs. For RAF contracts only (not IAs
or other contracting vehicles), regions should consider grouping work activities into severable task orders
and identify that they have done so by entering comments in the Task Order Info field in SEMS (found on
the Edit Site Schedule screen).1 Regions should further identify those activities that are proposed for
ordering under a single task order; e.g., OU-1 RIFS-1 and OU-1 RD-1. SEMS data will be used to produce
the updated RAF transition plan/acquisition forecast and will reviewed and discussed as part of work-
planning.
For further information on the RAF Transition Rules of Engagement, please see Appendix II.
Superfund Removal Program
OEM wishes to ensure data completeness in documenting removal actions requiring senior management
signatures on Action Memos to allow an exemption to the $2 million cost ceiling. To that end, OEM
expects regions to scan the signed cost ceiling exemption Action Memos and enter them into SEMS within
30 days of signature by the EPA designee. This will ensure that these resource intensive actions are
documented in the official system of record in a timely manner.
Superfund Enforcement Program
Guidance on work-planning from OSRE is forthcoming and will soon be added to the Sharepoint site (see
below).
As in previous years, a Sharepoint site supplements this memo. The site contains updated work-planning
details including the meeting calendar, relevant documents, and other logistical information. Please follow,
bookmark, and share the site:
https://usepa.sharepoiiit.com/sites/OSWERWork/superfund-work-planning/
If you have further questions, please contact Art Flaks (flaks.art@epa.gov; 703-603- 9088; OSRTI), Peter
Oh (oh.peter@epa.gov; 202-564-2375; OEM) or Eliana De Leon; ("deleoii.eliaiia@epa.gov; 202-564-0184;
OSRE). We look forward to meeting with each region in August.
cc:
James Woolford, OSRTI
Cyndy Mackey, OSRE
1 This feature will be available in SEMS Release 1.9.4.
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Reggie Cheatham, OEM
Jen Wilbur, OLEM
Nigel Simon, OLEM
OSRTI Managers
OSRE Managers
OEM Managers
David Lloyd, OBLR
Charlotte Bertrand, FFRRO
Superfund Program Branch Chiefs, Regions 1-10
Regional Counsel Superfund Branch Chiefs, Regions 1-10
Cost Recovery Coordinators, Regions 1-10
IMCs, Regions 1-10
Budget Coordinators, OSRTI and Regions 1-10
Regional Acquisition Managers
Superfund/RCRA Regional Procurement Operations Division
Carolyn E. Williams, OSRTI Documents Coordinator
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Appendix I: OBI Tools
OSRTI developed and released SEMS OBI tools that can assist regions in the work-planning process.
These tools use SEMS data available within the existing SCAP and PGMT reports and are not intended to
replace traditional canned reports (e.g. a region can access Portfolio Management data through an OBI
dashboard, but the same data is also accessible in the SCAP4 report). However, these tools provide near
real-time views and mashups not previously available, and can be used to conduct analyses; demonstrate a
region's work plan, and depict a region's acquisition forecast. Analysts will use these tools to conduct
work-plan reviews. Included below is a list of the OBI tools that can assist regions during the work-
planning process. A full description of the OBI tools, as well as user instructions, can be found using this
link on the Work-planning Sharepoint site. (Alternatively, from the Superfund-Work-Planning Sharepoint
homepage, navigate to Documents > Work-planning OBI Specs).
Dashboard
Description
Related
Reports/Dashboards
Targets
Displays current year (or selected Fiscal Year)
targets, plans and accomplishments at
summary and detail levels.
SCAP 14
3-Year Plans
Displays 3-year average of prior
accomplishments plus current year (or
selected Fiscal Year) and two out years.
SCAP 14
Obligations
Displays prior year net obligations plus
current year (or selected Fiscal Year) and two
out years.
SCAP 4, PGMT-008
Portfolio
Management
Displays current year (or selected Fiscal Year)
planned obligations, approved obligations and
unapproved planned obligations.
SCAP 4
Master Table
Displays planned actions plus all actions with
planned funding and is available for several
years of planning. Also displays projected
duration of actions (if actual completion date
does not exist, planned completion date is
used).
SCAP 4, PGMT-008;
PGMT-041, Durations
Dashboard
Find Your Site
Displays portfolio of work for selected site
including ULOs.
SCAP 4, 14
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Appendix II: RAF Transition Rules of Engagement
1.1 Transition Rules of Engagement
Regions are expected to use the following rules of engagement to make site-specific activity decisions
regarding contract transition. Rules of engagement have been established to ensure a methodical transition
assessment, as well as consistency across the remedial program. Rules of engagement and early planning
will provide an efficient and streamlined process.
1.1.1 Assumptions
Regions will plan upfront and early in order to prevent any disruption to remedial work during
transition.
Regions will avoid unnecessary transitions by evaluating available options for new starts and current
multi-year work (e.g., RA, RI/FS, etc.).
RAC contracts will not be extended past the current expiration date once the RAF suites of contracts
are available.
Regions will not exercise available options under a Justification for Other than Full and Open
Competition (JOFOC) if the RAF suites have been awarded and adequate time has been provided for
transition prior to the JOFOC's expiration.
RAC contracts will be closed-out either at contract expiration or following the successful transition of
work using the RAF contracts.
Fair Opportunity procedures for awarding task orders under the RAF contracts will occurwithin
timelines established by Procurement Acquisition Lead Time (PALT).
1.1.2 Rules of Engagement
New work:
o Contracted activity initiated after the RAF suites of contracts are awarded will be placed using
RAF contracts or other vehicles, subject to applicable acquisition rules and regulations (i.e. site
specific contract, cooperative agreement or interagency agreement),
o Subsequent to the award of the RAF contracts (DES, RES, ESO), RAC contracts (including
crossovers) shall not be used for new work regardless of contract/period of performance date(s)
unless the new work is documented in a transition plan that is approved by the RAF Program
Management Team and is within the RAC period of performance.
CLTN Exceptions: Regions must make every effort to use contracts within their CLIN. Any exceptions
must be in accordance with established acquisition policies and procedures.
Existing Work:
o The regions may request permission to remain with an existing RAC contract for contracted
services that have a significant amount of work completed and/or currently underway. (Note: only
if the completion date is anticipated within that contract's period of performance)
o Work will be transitioned from RAC to RAF at identified logical transition points,
o Depending on the needs, the exceptions under FAR 16.505(b)(2)(i)(A)and(B), will allow the
Contracting Officer, working with the task order award team, to justify why competition isnot
appropriate under the criteria of the exceptions,
o While preference should be given to transitioning from RACs, all contract types can transition onto
the RAF suites of contracts if the work is appropriate. Transition is not required for the following
projects:
- Regional work on site-specific contracts.
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- Work being conducted on non-RAC EPA contract vehicles (START, ERRS, etc.).
- Work being conducted on Cooperative Agreements (States, Indian Tribes).
- Work being conducted on Interagency Agreements (e.g., USACE).
1.1.3 Transition Considerations
In addition to the above established rules of engagement, regions shall consider the following for each
project/project phase when developing transition plans:
Remedial Investigation/Feasibility Study (RI/FS): RI/FS work will typically transition from RAC
contracts to DES or ESO. A logical transition point must be established if the RI/FS work extends
beyond the RAC period of performance.
Design: Specific designs initiated under a RAC contract must be completed within the RAC period of
performance where possible. Multi-phase designs shall transition at logical transition points that ensure
completion of a specific design phase or element no later than RAC expiration.
Remedial Action (RAVConstrnction: RA/Construction will generally transition to RES at a logical
transition point. Regions should consider transition cost as well as potential risk incurred if workmust
transition from an incumbent contractor to a new contractor; therefore, it is critical to define logical
transition points for RA/Construction work.
Lonp-Term Remedial Actions (LTRA): LTRA will typically transition to ESO and transition shall
occur at logical transition points prior to the end of the RAC period of performance.
Oversight: Oversight work will transition to ESO or DES, and transition shall occur at logical transition
points prior to the end of the RAC period of performance
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Appendix III: Schedule of Program Management Milestones
Schedule of Program Management Milestones: May 2017 to January 2018
MAY
May 31: OSRTI/OSRE/OEM send work-planning memorandum to regions
JUNE
June 15-June 30: Webinar trainings for regions on how to use Portfolio Management screens and
on how to utilize the Edit Site Schedule to enter in contract planning information in SEMS
June 5-July 7: Regions prepare response to questions on special account planning information
June 30: Regional FY 2018 ACS performance measure initial bids due in ACS
JULY
July 31: Three Year Work-Planning for FY 2018-FY 2020 due in SEMS
AUGUST
Mid-August: Agency develops FY 2019 budget for submission to OMB
August 1-August 31: OSRTI/OSRE/OEM hold regional work-planning meetings
SEPTEMBER
September 12: Deadline for requests for recertification of deobligated funds for Superfund.
Requests must be made in Recertification database and reprogramming must be entered in
COMPASS.
September 15: Finalized regional FY 2018 ACS performance measure commitments due
September 15: Deadline for any reprogramming (no-year, reimbursable, Budget Object Class
[BOC] realignment) in COMPASS.
Mid-Late September: Update/distribute FY 2018 SPIM
Mid-September: Agency submits FY 2019 budget to OMB
OCTOBER
October 1: Special account available balance information downloaded from CDW to SEMS.
October 2: Early November: Regions complete entry of special account planning data in SEMS.
HQ runs SEMS reports with special accounts planning data.
October 13: End-of-year reporting deadline for FY 2017 Pipeline activities and FY 2017 ACS
measure accomplishments
Mid-October: OSRTI drafts initial FY 2018 Remedial Action funding plan
Mid-October: Memo to regions to review their Superfund Remedial unliquidated obligations
NOVEMBER
Mid-November: Regions submit Superfund remedial ULO review results to OSRTI; OSRTI sets
targets for national remedial pool deobligations
Late November/early December: OSRTI sends special account work-planning data analysis and
questions to regions
JANUARY
Early January: Regional responses to special account work-planning questions due to OSRTI and
OSRE.
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OLEM Directive 9200.3-153
Superfund Program Implementation Manual
FY 18
Appendix B: Regional and Headquarters Contacts
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Appendix B: Regional and Headquarters Contacts
Table of Contents
B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors B-l
B.B OSRTI Regional Coordinators (Pre-Remedial) B-2
B. C OSRTI Regional Coordinators (Remedy Selection) B-3
B.D OSRTI Regional Coordinators (Construction & Post Construction) B-3
B.E FFRRO Regional Coordinators B-4
B.F OSRE Regional Analysts B-4
B. G Regional Information Management Coordinators B-4
B.H Regional Budget Coordinators B-5
B.I HQ Superfund Cost Recovery Contacts B-5
B.J Regional Cost Recovery Contacts. B-6
B.K Regional Superfund Records Managers B-6
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B-ii
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OLEM Directive 9200.3-153
APPENDIX B: REGIONAL AND HEADQUARTERS CONTACTS
B.A HEADQUARTERS (HQ) SUBJECT MATTER EXPERTS/DATA SPONSORS
Siihjccl AiTii
Nil mo ol'( onliK'l
l-'.niiiil
Phone Number
Annual Commitment
System (ACS)
Daniel Ginsberg
sinsbers.daniel@ei3a. sov
703-603-0540
ARRA
Barbara McDonough
mcdo no u ah. ba rba ra a c oa. sov
703-603-9042
Budget Execution (OSRTI)
(OSRE)
(FFEO)
(FFRRO)
Amy Vandenburg
Alice Ludington
Lance Elson
Marie Bell-Anderson
va ndc nb ii r a. a m v a c oa. sov
ludinston.alice@,era. sov
elson. lanccf/coa. sov
bell-anderson.marie(ฎ,er)a.sov
703-603-9028
202-564-6066
202-564-2577
202-564-0775
Community Involvement
Helen DuTeau
Freya Margand
duteau. helen @era. sov
marsand.freva@,era. sov
703-603-0263
703-603-8861
Construction Completions
Anne Dailey
dailev.anne@eBa.sov
703-347-0373
Cost Recovery Statute of
Limitations (SOL)
Mary Bell
bell.marv@ei3a. sov
202-564-2256
Data Quality (Program)
(Enforcement)
Sheldon Selwyn
Mary Bell
selwvn. sheldon@ei3a. sov
bell. marv@era. sov
703-603-8776
202-564-2256
Enforcement Measures &
Reports
Mary Bell
bell.marv@ei3a. sov
202-564-2256
Environmental Indicators
Jenee Sharon
sharon.ienee@ei3a. sov
703-603-8736
Environmental Justice
Anthony Socci
Julia Field
socci. anthonv@era. sov
field.iulia@ei3a. sov
202-564-1645
703-603-8851
Federal Facilities Measures
John Burchette
burchette.iohn@era. sov
202-564-3338
Federal Facilities Response
Ellen Treimel
treimel. ellen@ei3a. sov
202-564-0557
Federal Facilities Response
Budget Planning
Marie Bell-Anderson
bell-anderson. marie@ei3a. sov
202-564-0775
Five Year Reviews
Jennifer Edwards
edwards.iennifer@ei3a. sov
703-603-8762
FOIA (OSRTI)
(OSRE)
Bill Bushee
Mary Bell
bushee. william@ei3a. sov
bell. marv@era. sov
703-603-8963
202-564-2256
Groundwater
David Bartenfelder
bartenfelder. david@era. sov
703-603-9047
Institutional Controls
Richard Norris
norris.rich@ei3a. sov
703-603-9053
Mining Sites
Shahid Mahmud
mahmud. shaihid@era. sov
703-603-8789
NPL Deletions/Partial
Deletions
Chuck Sands
sands.charles@ei3a.sov
703-603-8857
FY 18 SPIM B-l July 31, 2017
-------
OLEM Directive 9200.3-153
OEM - Removal
Implementation
Rob Fox
Peter Oh
fox.rob@ei3a.sov
oh.Dctcrir/CDa. sov
202-564-1538
202-564-2375
OEM - Removal Planning
& Reporting
Rob Fox
Peter Oh
fox.rob@era.sov
oh.Dctcrir/CDa. eov
202-564-1538
202-564-2375
OSRTI Budget, Planning &
Evaluation
Art Flaks
flaks.artVvcDa. sov
703-603-9088
Annual Budget Process
(SEMS Action Codes)
(OSRTI)
(OSRE)
ArtFlaks
Alice Ludington
flaks. artVvcDa. sov
ludinston.aliceVvcDa. sov
703-603-9088
202-564-6066
Regional Work Planning
(OSRTI)
(OSRE)
Angela Patnode
Eliana DeLeon
ratnode .ansela@era. sov
deleon.eliana@era. sov
703-603-9058
202-564-2946
OLEM Budget
Larry Wilbon
wilbon. larnf/coa. sov
202-566-1903
Pipeline Allocation Model
William Dalebout
dalebout. william@era. sov
703-603-9058
Post-Construction
Tracy Hopkins
hot>kins.tracv@ei3a. sov
703-603-8788
Radiation Contaminated
Sites
Stuart Walker
walker. stuartf/coa. sov
703-603-8748
Remedial Design/Remedial
Action
Kate Garufi
sa ru fi. ka t lie ri nc a c oa. sov
703-603-8827
Remedial Financial Data
Art Flaks
William Dalebout
flaks.artV/cDa. sov
dalebout. william@era. sov
703-603-9088
703-603-9058
Remedy Selection
Melanie Keller
keller. melanie@era. sov
703-603-8706
SCAP Report Coordinator
Chip Love
love.chiB@eBa.sov
703-603-0695
Site Assessment/NPL
Listing
Randy Hippen
hitmen. randv@era. sov
703-603-8829
Special Accounts
Tracey Stewart
stew art.tracev Vv cDa. sov
703-603-8791
SPIM Lead
Chip Love
love.chiB@eBa.sov
703-603-0695
Superfund Alternative
Approach
Nancy Browne
brownc.nancYir/CDa. sov
202-564-4219
Superfund Financial
Management (OCFO)
Tina van Pelt
vani3elt.tina(ฎ,ei3a. sov
202-564-4984
Superfund Redevelopment
Melissa Friedland
fri ed 1 a nd. i lie 1 i s saV/e oa. sov
703-603-8864
B.B OSRTI REGIONAL COORDINA TORS (PRE-REMEDIAL)
Siibji'cl Aivsi
Niinu' ol'Conhicl
l-'.in;iil
Phone Number
Region 1 Coordinator
Terry Jeng
iciiu.icm ^/coa.uo\
"03-003-8852
Region 2 Coordinator
Terry Jeng
icns.tcrr\ir/cDa. sov
703-603-8852
July 31,2017
B-2
FY 18 SPIM
-------
OLEM Directive 9200.3-153
Region 3 Coordinator
Terry Jeng
iens.terrv@era. sov
703-603-8852
Region 4 Coordinator
Jennifer Wendel
wendel.iennifer(ฎera. sov
404-562-8799
Region 5 Coordinator
Ji-Sun (Sun) Yi
vi.ii-sun@era.sov
703-603-8721
Region 6 Coordinator
Terry Jeng
iens. terry W.CDa. sov
703-603-8852
Region 7 Coordinator
Terry Jeng
iens. terry W.CDa. sov
703-603-8852
Region 8 Coordinator
Jennifer Wendel
wendel.iennifer(ฎera. sov
404-562-8799
Region 9 Coordinator
Christine Poore
DOorc.christincir/CDa. sov
703-603-9022
Region 10 Coordinator
Jennifer Wendel
wendel.iennifer(ฎera. sov
404-562-8799
B.C OSRTIREGIONAL COORDINATORS (REMEDYSELECTION)
Siibji'ci Aivsi
Niinu' ol'(on(;icl
l-'.niiiil
I'liono Number
Region 1 Coordinator
Christine Poore
DOorc.christineVvcDa. sov
703-603-9022
Region 2 Coordinator
Heather Njo - NJ
ni o. heather @era. sov
703-603-9246
Ji-Sun (Sun) Yi - NY
vi.ii-sun@eBa.sov
703-603-8721
Region 3 Coordinator
Melanie Keller
keller. melanie@,era. sov
703-603-8706
Region 4 Coordinator
Silvina Fonseca
fonseca. silvina@,era. sov
703-603-8799
Region 5 Coordinator
Ji-Sun (Sun) Yi
vi.ii-sun@era.sov
703-603-8721
Region 6 Coordinator
Christine Poore
DOorc.christineVvcDa. sov
703-603-9022
Region 7 Coordinator
Heather Njo
ni o. heather @era. sov
703-603-9246
Region 8 Coordinator
Melanie Keller
keller. melanie@ei3a. sov
703-603-8706
Region 9 Coordinator
Christine Poore
DOorc.christincir/CDa. sov
703-603-9022
Region 10 Coordinator
Silvina Fonseca
fonseca. silvina@,era. sov
703-603-8799
B.D OSRTI REGIONAL COORDINA TORS (CONSTRUCTION & POST CONSTRUCTION)
Siihjccl Aiv;i
Nil mo ol'( onliK'l
l-'.niiiil
Phone Number
Region 1 Coordinator
Chuck Sands
sands.charlcsf/coa. sov
703-603-8857
Region 2 Coordinator
Kate Garufi
sa rufi. ka t lie ri ne a eoa. sov
703-603-8827
Region 3 Coordinator
Amanda Van Epps
va nc d d s. a i na nda a e oa. sov
703-603-8855
Region 4 Coordinator
Anne Dailey
dailev.anne@eBa.sov
703-347-0373
Region 5 Coordinator
Rich Norris
norris.rich@ei3a. sov
703-603-9053
Region 6 Coordinator
Jennifer Edwards
edwards.iennifer@era. sov
703-603-8762
Region 7 Coordinator
Kate Garufi
sarufi.katherine@ei3a. sov
703-603-8827
Region 8 Coordinator
Tracy Hopkins
hoi3kins.tracv@ei3a. sov
703-603-8788
Region 9 Coordinator
Richard Jeng
i ens. richard@era. sov
703-603-8749
FY 18 SPIM
B-3
July 31,2017
-------
OLEM Directive 9200.3-153
Region 10 Coordinator
Jennifer Edwards
cdwa rds. i c n ni fc ra c oa. sov
703-603-8762
B.E FFRRO REGIONAL COORDINA TORS
Snbjecl Aivsi
\simc ill" Conisicl
l.msiil
I'hono Niinihcr
Region 1 Coordinator
Benjamin Simes
simes.beniamin@eBa.sov
202-564-0527
Region 2 Coordinator
John Burchette
burchette. iohnVvcDa. sov
202-564-3338
Region 3 Coordinator
Mary T. Cooke
cooke. marvt@,era. sov
202-564-0788
Region 4 Coordinator
Emerald Laija
Laii a. cmcraldf/coa. sov
202-564-2724
Region 5 Coordinator
Monica McEaddy
mceaddv.monica@,era. sov
202-564-0795
Region 6 Coordinator
Monica McEaddy
i ndc r ma rk. m i c 1 ic 1 cV/c oa. sov
202-564-0794
Region 7 Coordinator
Jyl Lapachin
larachin. i vl@,era. sov
202-564-0560
Region 8 Coordinator
Ellen Triemel
treimel. cllcnf/coa. sov
202-564-0557
Region 9 Coordinator
Dianna Young
vouns. diannaiT/CDa. sov
202-564-0542
Region 10 Coordinator
Doug Maddox
IVI addox. do u s a e oa. sov
202-564-0553
B.F OSRE REGIONAL ANAL YSTS
Snbjecl Aivsi
\simc ol' ( ontsict
l-'.msiil
Phone Number
Region 1 Analyst
Kim Simms
simms .kimtSeoa. sov
202-564-6106
Region 2 Analyst
Mary Bell
bell, maryf/coa. sov
202-564-2256
Region 3 Analyst
Zaheeda Abedin
abedin. zalieedaf/cDa. sov
202-564-2946
Region 4 Analyst
John Folstrom
folstrom. i ohntSeoa. sov
202-564-2749
Region 5 Analyst
Zena Aldridge
aldridse. zena@,era. sov
202-564-3954
Region 6 Analyst
Alice Ludington
ludinston.aliccir/CDa. sov
202-564-2946
Region 7 Analyst
Eliana DeLeon
Deleon.eliana(ฎ,er)a. sov
202-564-0184
Region 8 Analyst
Nadya Spice
smce.nadva@,era. sov
202-564-3408
Region 9 Analyst
Steve Keim
keim. steohentSeoa. sov
202-564-6073
Region 10 Analyst
Paul Borst
borst. raul@,era. sov
202-564-7066
B.G REGIONAL INFORMATION MANAGEMENT COORDINATORS
Snbjecl Aivsi
\simc ol' Conisicl
l-'.nisiil
Phone Number
Region 1
Brenda Haslett
haslett.brendaiT/cDa. sov
617-918-1357
Region 2
Kristin Giacalone
s i ac a 1 o nc. k ri s t i lif/c oa. sov
212-637-4407
Region 3
Susie Chun
chun. susie'iT/cDa. sov
215-814-2469
Region 4
Charlotte Whitley
whitlev.charlotte(ฎ,er)a. sov
404-562-8863
July 31,2017
B-4
FY 18 SPIM
-------
OLEM Directive 9200.3-153
Region 5
Doug Zamastil
zamastil. dous@,era. sov
312-886-0650
Region 6
Alice Hollier
hollier. alice@,era. sov
214-665-8319
Region 7
Michelle Quick
auick.michelle@,era. sov
913-551-7335
Region 8
Dianna Lim
lim.dianna@,era. sov
303-312-7830
Region 9
Kevin Castro
castro.kcvinf/coa. sov
415-972-3281
Region 10
Lynne Kershner
kershner. lvnncir/CDa. sov
206-553-6518
B.H REGIONAL BUDGET COORDINATORS
l.noiilinn/Kouion
Nil mo of ( onliii'l
1 !niiiil
Phono Number
Region 1
Joan Buonopane
b no no oa nc. i o a n a c oa. sov
617-918-1227
Region 2
Courtney McEnery
mccncrv. court ncviT/CDa. soy
212-637-4295
Region 3
Maryanne Ruiz
ruiz.marvanne@,era. sov
215-814-5779
Region 4
Charlotte Whitley
whitlev.charlotte@,era. sov
404-562-8863
Region 5
Saray Cubacub
cubacub. saravtSeoa. sov
312-353-1518
Region 6
Jo Gee
SCC.iOiT/CDa.SOY
214-665-8138
Region 7
Debbie Bishop
bishoD.debbiciT/CDa. sov
913-551-7529
Region 8
Mandi Rodriguez
Jackie Easley
(Enforcement)
rodri sucz. ma ndi V/CDa. so\
easlev.iackie(ฎ,er)a.sov
303-312-6697
303-312-6758
Region 9
Anabel Yo-Eco
vo -eco. anabel @,era. sov
415-972-3225
Region 10
Lynne Kershner
kershner. lMinciT/CDa. sov
206-553-6518
B.I HQ SUPERFUND COST RECOVERY CONTACTS
Aroil <>rS|K'ci;ili/;i(ion
Nil mo nl'( onliiol
l-'.niiiil
Phono Number
Annual Allocation
Jill Beresford
beresford. i illf/coa. sov
202-564-4805
Cost Documentation and
Reporting
Regional Superfund
Accountants
National Cost
Documentation Advisor;
Special Projects
OCFO/OSRE/OSRTI -
TBD
Program Accounting
Branch Chief
Policy, Training, and
Accountability Division
Director, Superfund Policy
Dale Miller
Meshell Jones-Peeler
miller. daletSeoa. sov
i o nc s - dcc 1 e r. me s lie 1 lV/c oa. sov
202-564-2586
202-564-3160
Regional Coordination &
SCORPIOS
Donnie Giamporcaro
s i a in do rca ro. do na 1 d a e oa. sov
202-564-4984
Superfund Indirect Costs
Alan Eng
ens. alan@,era. sov
202-564-3203
FY 18 SPIM B-5 July 31, 2017
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OLEM Directive 9200.3-153
Superfund Interest Rate;
Trust Fund Oversight
Michelle Hawkins
ha \\k i n s. l n i c lie 11 cV/c oa. sov
202-564-5201
B.J REGIONAL COST RECOVERY CONTACTS
l.ociilion/Kouion
Nil mo of ( onliiol
1 !niiiil
Phono Niimhor
Region 1
Joan Buonopane
b uo no oa nc. i oanVvcDa. sov
617-918-1227
Region 2
Carlos Kercado
Alexida Perez
Don Pace
k c rc a do. c a r 1 o s V/ c d a. a o v
ocrcz. alexidaf/cDa. sov
Dacc.donaldiT/cDa. sov
212-637-3480
212-637-4144
212-637-4135
Region 3
Daria Arnold
Steven Pandza
Diane McCall
arnold. dariaVvcpa. sov
oandza. stcvenf/coa. sov
mccall.dianeVvcDa. sov
215-814-5171
215-814-5178
215-814-5172
Region 4
Sarah Franco
Vickie Tellis
franco. sarahf/coa. sov
tellis.vickie@,era. sov
404-562- 8215
404-562-8218
Region 5
Richard Hackley
Linda Haile
Michael Bednarz
hacklev .richardtฎepa. sov
haile. lindaf/CDa. sov
bednarz. liiicliaclir/cDa. sov
312-886-9144
312-353-4175
312-353-8480
Region 6
Carolyn Ragon
ra son.carolyn VvcDa. sov
214-665-8389
Region 7
John Phillips
BhilliBs.iohn@ei3a.sov
913-551-7014
Region 8
Karren Johnson
Joe Poetter
i ohnson.karren(ฎ epa. sov
Doetter.iocir/cDa. sov
303-312-6159
303-312-6186
Region 9
Marie Ortesi
Magdalen Mak
ortesi. ma ricf/CDa. sov
mak. masdaleiiir/cDa. sov
415-972-3710
415-972-3775
Region 10
Scott Ryan
Julius Teopaco
rvan. scottf/epa. sov
teoDaco.iuliusir/cDa. sov
206-553-0285
206-553-0528
B.K REGIONAL SUPERFUND RECORDS MAN A GERS
I.ociilinn/Rc'iiion
Nil mo of ( onliiol
1 !niiiil
Phono Number
Region 1
Holly Inglis
Ross Gilleland
inslis.hollv(ฎepa.sov
silleland.rossir/cDa. sov
617-918-1413
617-918-1188
Region 2
Melinda Morgan
morsan. melinda@,era. sov
212-637-4355
Region 3
Paul VanReed
vanreed.oaultSeoa. sov
215-814-3157
Region 4
Tina Terrell
terrell.tina@,era. sov
404-562-8835
Region 5
Todd Quesada
ciuesada.toddir/cDa. sov
312-886-4465
Region 6
Nancy Yarberry
varberrv.nancv@,era. sov
214-665-6537
Region 7
Melissa Yocum
vocum.melissa(ฎ,er)a. sov
913-551-7061
Region 8
Dave Christenson
christenson. dave@,era. sov
303-312-6645
Region 9
Elaine Chan
clian.elaincir/cDa. sov
415-972-3128
Region 10
Denise Ripley
rir)lev.denise(ฎ,eai3. sov
206-553-1266
July 31,2017
B-6
FY 18 SPIM
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OLEM Directive 9200.3-153
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FY 18 SPIM
B-7
July 31,2017
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OLEM Directive 9200.3-153
Superfund Program Implementation Manual
FY 18
Appendix C: Activity /Milestone Charts
FY 18 SPIM
July 31 2017
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OLEM Directive 9200.3-153
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July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
Appendix C: Activity /Milestone Charts
Table of Contents
Appendix C: Activity/Milestone Charts C-l
C.A Site Assessment Activities/Milestones C-l
C.B Removal Program Activities/Milestones C-2
C.C Remedial Program Activities/Milestones C-3
C.D Federal Facility Program Activities/Milestones C-9
C.E Enforcement Program Activities/Milestones C-13
C.F Community Involvement Activities/Milestones C-21
FY 18 SPIM
C-i
July 31, 2017
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OLEM Directive 9200.3-153
Appendix C: Activity/Milestone Charts
C.A Site Assessment Activities/Milestones
\\ nrk Package
Acli\ ilW.Mik'slom*
Pclioi in;iiico Load
Acli\ ilWMik'slonc Dak' Rc(|iiiiviiH'iils
Pre-CERCLA Screening Report
EPA, Tribe, State
Start: Date the Technical Direction Document (TDD) is issued or the date the state/tribal government started
conducting the Pre-CERCLA Screening.
Finish: The date the PCS rcDort is signed bv EPA and SEMS contains the Pre-CERCLA Screening finish date,
performance lead, NPL Status and Non-NPL Status
Remedial Site Initiation
(Discovery)
EPA, Tribe, State,
EPA-In house
Start/Finish: Documentation of the decision that the site warrants SuDcrfund remedial site assessment. The Remedial
Site Initiation (Discovery) date is entered through the Add Site screen.
Preliminary Assessment
EPA, State, Tribe,
EPA In-house
Start: Date the TDD is issued or the date the state/tribal government started the PA.
Finish: Letter, form, memo approving the PA report; Site decision Form 9100-3 in SEMS or eauivalent document
signed by the appropriate regional official.
Site Inspection
EPA, State, Tribe,
EPA In-house
Start: Letter, memo, or form approving the site specific work plan or TDD signed bv the EPA or state/tribal
government.
Finish: Letter, form, memo approving the SI report; Site decision Form 9100-3 in SEMS or eauivalent document
signed by the appropriate regional official.
Site Reassessment
EPA, State, Tribe,
EPA In-house
Start: Letter, memo, or form approving the site-specific work plaa when reauired. or a signed TDD is issued.
Finish: Letter, form or memo approving the Site Reassessment report;
Site Decision Form 9100-03, or an equivalent document signed by appropriate regional official.
Expanded Site Inspection
EPA, State, Tribe,
EPA In-house
Start: Letter, memo, or form approving the site specific work plan or TDD signed bv the EPA or state/tribal
government.
Finish: Letter, form, or memo approving the ESI report; Site Decision Form 9100-3 in SEMS or an eauivalent
document signed by appropriate regional official.
Expanded Site
Inspection/Remedial
Investigation ESI/RI
EPA, State, Tribe,
EPA In-house
Start: Letter, memo, or form approving the site specific work plan or TDD signed bv the EPA or state/tribal
government
Finish: Letter, form or memo approving the ESI/RI report;
Site Decision Form 9100-3, or an equivalent document signed by appropriate regional official
HRS
EPA, State, Tribe,
EPA In-house
Start: Letter, form or memo reauesting site specific development of a HRS Package.
Finish: Site Decision Form 9100-3, or an eauivalent document signed bv appropriate regional official
FY 18 SPIM
C-l
July 31, 2017
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OLEM Directive 9200.3-153
C.A Site Assessment Activities/Milestones
\\ (irk Package
Acli\ ilWMilcslono
Pt'iTorniiincc l.o:i(l
Ac(i\ilt/Milcsloiii* Dale Ke(|iiiremenls
Other Cleanup Activity (OCA)
State, Tribe, State
Oversight, FF
Start: EPA refers the site to a state, tribal, or federal environmental c lea hud proeram or acknowledges the site is beins
cleaned up by a non-EPA party.
Finish: Date EPA receives information that remedial-tvpe work has been or will not be completed.
State Deferral
State
Start: Document deferring the site to the state. Sisned bv reeional SuDcrfund proeram director and state proeram
director.
Finish: 1) Formal reeional document confirmine that the deferral has been completed successfully, or terminating the
deferral agreement; or 2) state certification that the deferral has been completed.
NPL Listing Proposed
EPA
Proposed Rule proposing the site to the NPL published in the Federal Register.
NPL Listing Removed from
Proposed
Notice of the removal published in the Federal Register.
NPL Listing Final
Final Rule adding the site to the NPL published in the Federal Register.
NPL Listing Withdrawal of
Final
Final Rule withdrawing the site published in the Federal Register.
C. B Removal Program Activities/Milestones
\\ (irk Package
Ac(i\ i(\/Miks((iiK'
PcrloniiiiniT l.ead
Aeli\ ilWMileslone Dale Ke(|iiiremenls
GOVT Signs Action Memo
EPA, Tribe, State,
PRP
Start/Finish: Action Memo sisned bv the appropriate reeional official
GOVT Removal
EPA, Tribe, State
Start: Initial Pollution Rcoort (POLREP) documenting date of mobilization to the site for the start of removal work
specified in the Action Memo
Finish: Final POLREP documenting the completion date when all work specified in the Action Memo has been
completed and the OSC deems that no further mobilization to the site is anticipated.
PRP Removal with
Enforcement Instrument
EPA Oversight
Start: Initial POLREP documentine date of mobilization to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: For actions where the final POLREP occurred prior to FY18. the date of Notice of Completion document to the
PRPs will be the milestone date. Otherwise, final POLREP documenting the completion date where the OSC deems
oversight has been completed.
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C. B Removal Program Activities/Milestones
\\ (irk Packaiio
Ao(i\ ilWMiloshino
Porl'oriiuinoo l end
Ao(i\ il\/\lilosl(ino Diilo Ro(|iiiromoiils
EPA Oversight
(Special Account
Financed)
Start: Initial POLREP documenting date of mobilization to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: For actions where the final POLREP occurred orior to FY18. the date of Notice of Completion document to the
PRPs will be the milestone date. Otherwise, final POLREP documenting the completion date where the OSC deems
oversight has been completed.
State Oversight, Tribe
Oversight
Start: Initial POLREP documentins date of mobilization to the site for the start of removal work specified in the
Action Memo or enforceable document
Finish: Final POLREP documenting the completion date and the date that the state certified that the PRPs have fullv
met the terms of the enforcement instrument and have completed all work specified in the Action Memo
PRP Emergency Removal with
no Enforcement Instrument
EPA Oversight
Start: Initial POLREP documentins EPA's role in conducting oversight of the PRP-lead action and date that the PRPs
mobilized to the site to start the removal work
Finish: Final POLREP documenting the date that EPA along with the Unified Command / Incident Command have
determined that the emergency has been stabilized (completion date)
C. C Remedial Program Activities/Milestones
\\ (irk Packaiio
Ao(i\ ilt/MiloMono
Poiidriiiiiiioo l.oiid
Acli\ilW.Miloshino Dalo Koqiiiromonls
Site must ho mi NPl.orSAA silo
Government RI; Government
FS; Government Combined
RI/FS
EPA, Tribe, State
Start: Contract modification or work assignment/task order signed bv EPA contracting officer (CO): or
an Inter-Agency Agreement signed by other federal agency; or
Cooperative Agreement signed by Regional Administrator or designee.
Finish: RI onlv - RI Report signed bv appropriate regional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD amendment, ESD) signed by appropriate official
EPA in-house
Start: Date Memo to file documenting initial scoping meeting signed bv appropriate regional official:
Finish: RI onlv - RI Report signed bv appropriate regional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD amendment, ESD) signed by appropriate regional
official
PRP RI;
PRP FS;
PRP Combined RI/FS
EPA oversight
Start: Administrative Order on Consent (AOC); or Notice of intent to complv with Unilateral Administrative Order
(UAO); or Memo transmitting Consent Decree (CD) to the Department of Justice (DOJ) or HQ - signed by Regional
Administrator or designee
FY 18 SPIM
C-3
July 31, 2017
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OLEM Directive 9200.3-153
C. C Remedial Program Activities/Milestones
\\ (irk
Ao(i\ i(\/Milos(ono
Porforniiinco l end
Acli\ilWMiloslono l);ilo Ko(|iiiromonls
Finish: RI onlv - RI Rcoort sisned bv aoorooriatc resional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD amendment, ESD) signed by appropriate regional
official
State Oversight, Tribe
Oversight
Start: State enforcement Cooperative Agreement: or SuDcrfund Memorandum of Agreement (SMOA); Tribal
Memorandum of Agreement (TMOA) or other state/tribal/EPA agreement - signed by the appropriate state and
regional officials; or
Memo transmitting CD to HQ or DOJ signed by the appropriate regional official.
Finish: RI onlv - RI Rcoort sisned bv aoorooriatc resional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD amendment, ESD) signed by appropriate regional
official
Silo iniisl ho ;iii MM. or SAA silo
Perform Treatability Study
(Optional)
EPA, Tribe, State,
EPA In-house
Start: Aroroval of Treatability Studv Work Plan
Finish: Aroroval of Treatability Studv Rcoort
Government Proposed Plan
Comment Period
EPA
Start/Finish:
Signature date of the appropriate regional official on the letter transmitting RI/FS reports and the proposed plan to the
site repository for public review; or
The date the public comment period starts as listed on the first page of the approved proposed plan.
Silo iniisl ho nil MM.. non-MM.orSAA silo
GOVT Engineering
Evaluation/Cost Analysis
(EE/CA)
EPA, Tribe, State,
EPA In-house
Start: Signature date of the EE/CA Aroroval Memorandum sisned bv aDDrooriatc resional official
Finish: Action Memo sisned bv the aDDrooriatc resional official
PRP EE/CA
EPA Oversight, State
or Tribal Oversight
Start: Sisnature date of the EE/CA Aooroval Memorandum sisned bv aDDrooriatc resional official (This memo will
include any enforcement instrument provision for oversight funding)
Finish: Action Memo sisned bv the aDDrooriatc resional official
Non-Time Critical Removal
Action (NTCRA)
EPA
Start/Finish: Sisnature date of the EE/CA Aooroval Memorandum sisned bv aDDrooriatc resional official
Government Decision
Document - (ROD)
EPA
Start/Finish: Aroroved ROD sisned bv desisnated resional official.
Government Decision
Document - ROD Amendment
Start/Finish: Amended ROD sisned bv desisnated resional official
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C. C Remedial Program Activities/Milestones
W (irk Paokaiio
Aoli\ ilt/Miloslono
Performance l end
Acli\ ilW.MilcMonc l);ilo Kc(|iiircmcnls
Government Decision
Document - ESD
Start/Finish: ESD signed bv designated regional official
Government Decision
Document - Memo to file
Start/Finish: Memo to File sisned bv designated reeional official
Co\ornmonl Kl) inn si ho al MM. silos: PKP Kl) m;i\ occur ill MM. or SAA silos
Government Remedial Design
EPA, Tribe, State, or
EPA In-house
Start: Contract modification or work assignment/task order for the RD signed bv the CO; Cooperative Agreement
signed by Regional Administrator or designee or Interagency Agreement (IA) signed by the other federal agency.
Finish: EPA aoDrovcs. in writing, the Final Design submittals.
PRP Remedial Design
EPA oversight
Start: The enforcement document under which the RD is to be conducted becomes effective (e.g.. the AOC. or an
amendment to an existing AOC) signed by Regional Administrator or designee; or the PRP's written notice of intent to
comply with the UAO; or
Memo transmitting the CD to DOJ or EPA HQ signed by the Regional Administrator or designee; or
written notice to proceed with a subsequent phase of the remedial design under an existing enforcement agreement by
EPA to the PRP where multiple RD/RA phases are anticipated.
Finish: EPA concurs in writing with Final Design document.
State Oversight, Tribe
Oversight
Start: State order or other comparable state or tribal enforcement document signed and issued to PRP.
Finish: State or tribe concurs in writing with Final Design document.
(>o\ornmonl KA inusl ho ill M'l. silos: PKP KA m;i\ occur al MM. or SAA silos
Government Remedial Action
EPA, Tribe, State, or
EPA In-house
Start: Remedial Action & Institutional Control Remedial Action: EPA CO signature date of RA contract. RA
contract modification, or task order; or
IA signed by the other federal agency; Superfund State Contract (SSC) or Cooperative Agreement (CA) signed by state
or tribe. Limited Remedial Action: ROD selecting a limited remedial action is signed by the appropriate regional
official
Finish: Remedial Action & Limited Remedial Action: date of RA Reoort signature bv aDDroDriatc regional official
Institutional Control Remedial Action: Documentation confirming that the institutional control instrument designated
in the ROD has been fully implemented
PRP Remedial Action
EPA oversight
Start: Signature date of EPA Regional Administrator or designee atroroving the PRP RD document; or
Memo transmitting the CD to DOJ or HQ; or
The judgment, or written approval from the EPA of the final design document for the RD, or
FY 18 SPIM
C-5
July 31, 2017
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OLEM Directive 9200.3-153
C. C Remedial Program Activities/Milestones
\\ (irk
Acli\ i(\/Miloslono
I'orforniiinco l end
Acli\ ilWMilcslonc l);ilo Kc(|iiircmcnls
PRP's written notice of intent to comply with UAO;
or written notice to proceed issued by EPA to the PRP
Finish: Date of RA Report signature Tor concurrence) bv appropriate regional official
PRP Remedial Action
State Oversight
Start: Date of state written approval of the PRP RD document
Finish: Date of RA Report signature Tor concurrence) bv appropriate reeional official
Sliii'l of Oil-Silo ( oiisiriiclioii RA iniisi he al M'l. silos: I'UI' KA m;i\ occur ill M'l. or SAA silos
GOVT On-Site Constraction
Start
EPA, Tribe, State, or
EPA In-house
Start/Finish: Memo to the site file documenting substantial and continuous phvsical on-site construction has started: or
a copy of a report of start up from the contracting party is acceptable.
PRP RA On-Site Construction
Start
EPA oversight
Start/Finish: Memo to the site file documentins substantial and continuous phvsical on-site construction has started: or
a copy of a report of start up from the contracting party is acceptable.
PRP RA On-Site Construction
Start
State Oversight
Start/Finish: Memo to the site file documenting substantial and continuous phvsical on-site remedial action. A copv of
a report of start up from the contracting party is acceptable.
Note: PRP must also be in compliance with a state enforcement instrument.
Silo iniisi ho iin M'l. or SAA silo.
Operational and Functional
Determination (O&F)
EPA
Start: The constructed remedv's ioint inspection conducted bv EPA and the state (or PRP, if appropriate) normallv
should mark the start of the O&F period. The O&F start should be documented in a letter from EPA to the state (or
PRP, if appropriate). This letter should reference the results of the EPA-State joint inspection and the NCP provisions
describing the O&F period.
Finish: Once EPA and the state have conducted another ioint inspection to determine that the remedv is O&F, or one
year has passed since the O&F start, EPA should send another letter to the state citing the O&F start and O&F
determination (finish) dates.
Silo iniisi ho iin M'l. or SAA silo.
I'mal 1 lisped ion In 1 !l* \
IP \
Siarl/l-'inish: Wriiicn annan al ol'ilic I'mal liisixvlioii Rcnoil signed In llie annioni iale regional official
( oiisiriiclioii Completion: Silo inusl ho an M'l. or SAA silo. |
Prelim Close-Out Report
(PCOR)
EPA
Start/Finish: Signature date of PCOR signed bv appropriate regional official and HO selection of Special Interest code
of CC or SAACC.
Final Close-Out Report
(FCOR)
EPA
Start/Finish: Signature date of FCOR signed bv appropriate regional official and HO selection of Special Interest code
of CC or SAACC
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C. C Remedial Program Activities/Milestones
\\ (irk Packaiio
Aoli\ ilWMiloslono
Performance l.oiid
Acli\ ilW.Milcslonc l);ilo Uc(|iiircmcnls
MM. Silo ( omplolions
Final Close-out Report (FCOR)
EPA
Start/Finish: Final Close-out Rcoort sisned bv aoorooriatc resional official
Cjo\orniiionl I.IRA iniisl ho al MM. silos: PUP I.U m;i\ occur ill MM. or S.\.\ silos
Government Long Term
Response Action (LTRA)
EPA, Tribe, State,
EPA In-house
Start: Letter documentins O&F completion sisned bv the designated resional official.
Finish: Rcoort containing valid monitorins data that demonstrate cleaniiD soals have been achieved sisned bv the
appropriate regional official; or
Letter to the state confirming LTRA transfer to O&M signed by the appropriate regional official if cleanup levels have
not been achieved within the 10-year period.
PRPLR
EPA Oversight, State
Oversight
Start: Letter documentins O&F completion sisned bv the desisnated resional official: or
Date of RA Report Signature (or concurrence) by the designated regional official.
Finish: Valid monitorins data (e.s.. routine O&M rcoort) document that cleanup soals have been achieved
Silo iniisl ho iin MM.orSAA silo.
Operations and Maintenance
EPA Oversight,
State Oversight
Start: Containment Remedies - A letter to the state declarins O&F. sisnifvins that the state has assumed responsibility
for all activities necessary to operate and/or maintain the long-term effectiveness or integrity of the actions selected in
the ROD
Groundwater or Surface Water Restoration Remedies -
Letter to the state confirming LTRA transfer signed by the designated regional official (Note: date should be no more
than 10 years after LTRA Start)
Finish: If applicable, documentatioa sisned bv the appropriate resional official, statins the remedial action objectives
and cleanup levels selected in the ROD and documented in the Superfund State Contract (SSC), Cooperative
Agreement or consent decree have been met Note: If O&M will be conducted indefinitely, do not enter an Actual flag
on the finish date
PRP Operations & Maintenance
EPA Oversight, State
Oversight
Start: Letter documentins O&F completion sisned bv the desisnated resional official: or
Date of RA Report signature (or concurrence) by the designated regional official.
Finish: Valid monitorins data (e.s.. routine O&M report) document that cleanup soals have been achieved
Silo iniisl ho iin M'l.orSAA silo.
Cleanup Goals Achieved
EPA
Start/Finish: Report containins valid monitorins data that demonstrate cleanup soals achieved
Silo ma\ ho ;i non-MM.. M'l. or S.\.\ silo.
FY 18 SPIM
C-7
July 31, 2017
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OLEM Directive 9200.3-153
C. C Remedial Program Activities/Milestones
\\ (irk
Acli\ ilWMik'slonc
Performance l end
Ac(i\ilWMik'slonc Dale Ko(|iiiiviiH'ii(s
Groundwater Monitoring (Post-
ROD)
EPA, Tribe, State,
EPA Oversight
Start: ROD signature date
Finish: Memo documentine completine of the oost-ROD eroundwater monitorine activity.
State Oversight
Start: ROD signature date
Finish: Memo documentins completine of the oost-ROD eroundwater monitorine activity.
GOVT Five Year Review
EPA, Tribe, State
Start: Memo to file or work plan documentine tasks approved bv desienated reeional official
Finish: Five Year Review report siened bv desienated reeional official or siened concurrence memo for state or tribal
lead FYRs.
GOVT Five-Year Review
Addendum (Option)
EPA, Tribe, State
Start/Finish: Five Year Review Addendum reoort siened bv desienated reeional official or siened concurrence memo
for a state or tribal lead FYR addendum.
Notice of Intent to Partially
Delete
EPA
Start: Notice of Intent to Partiallv Delete or Direct Final Action Notice published in the Federal Register
Finish: Date the Notice of Intent to Partiallv Delete public comment period is closed in the Federal Register
Partial NPL Deletion
EPA
Start/Finish: The effective date of the Partial Deletion or Direct Final Action as specified in the Federal Register
Notice of Intent to Delete
EPA
Start: Notice of Intent to Delete or Direct Final Action Notice published in the Federal Register
Finish: Date the Notice of Intent to Partiallv Delete or Direct Final Action Notice public comment period is closed in
the Federal Register
NPL Deletion
EPA
Start/Finish: The effective date of the Notice of Deletion or Direct Final Action as specified in the Federal Register
PFP/RAU Evaluation Checklist
EPA In-House
Start/Finish: Checklist siened bv reeional division director or desienee
State Support Agency
Cooperative Agreement
EPA
Start: Cooperative Aereement Siened bv Reeional Administrator or his desienee
Finish: Expiration or termination of the assistance aereement
Technical Assistance
EPA, EPA In-House,
State, Tribe, EPA
Oversight, State
Oversight
Start: Oblieation of Funds for technical assistance siened bv the Contractine Officer
Finish: Completion of response activities for the staee at which technical assistance was recinested: or
Closeout of the task order or contract under which the technical assistance was performed
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C.D Federal Facility Program Activities/Milestones
Work Package
Acli\ i(\/\lilcs(onc
Performance l.ciiri
Acli\ ilWMilcslonc Diilc Kc(|iiircmcnls
Remedial Site Initiation
(Discovery)
EPA, EPA In-House,
Tribe, State, FF
Start/Finish: After the resion determines the Federal Facility is a valid CERCLA site, the site discovery date for
Federal Facilities is the date of publication in the Federal Register formally adding the site to the Federal Agency
Hazardous Waste Compliance Docket.
FF Preliminary Assessment
Review
EPA, EPA In-House
Start: EPA starts an in-house review of the Federal Facility PA or PA-eauivalent reoort. or sends a letter, form, or
memo to the EPA contractor requesting review of the Federal Facility PA or PA-equivalent report.
Finish: Letter, form or memo atrorovine the PA reoort is sisned bv the aDDroDriatc resional official. The Site Decision
Form 9100-3 or equivalent decision document must be printed, signed by the appropriate regional official, and placed
in the file.
FF Site Inspection Review
EPA, EPA In-House
Start: EPA starts an in-house review of the Federal Facility SI or Sl-eauivalent.
Finish: Letter, form or memo aDDrovins the SI reoort is sisned bv the aDDroDriatc reeional official. The Site Decision
Form 9100-3 or equivalent decision document must be printed, signed by the appropriate regional official, and placed
in the file.
FF Expanded Site Inspection
Review
EPA, EPA In-House
Start: EPA starts an in-house review of the Federal Facility ESI or ESI-eauivalent.
Finish: Letter, form or memo aDDrovins the ESI reoort is sisned bv the aoo rood ate reeional official. The Site Decision
Form 9100-3 or equivalent decision document must be printed, signed by the appropriate regional official, and placed
in the file.
Base Closure Decision Kc(|iiircmcnls
FF Finding of Suitability to
Transfer (FOST)
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
EPA In-House
Start: EPA receives a document that identifies a facility or a oared as a candidate to be transferred bv deed or lease
(e.g., Environmental Baseline Survey [EBS] submitted); or EPA receives a clean parcel determination for concurrence
as required by CERFA; or EPA receives a written request submitted by the other federal agency for concurrence on
suitability to transfer or lease; or EPA receives a written request for EPA concurrence that a 120(h)(3) remedy is
operating properly and successfully.
Finish: Letter, form, or memo statins that EPA has completed its review and provided comments or concurrence on the
FOST or FOSL signed by the appropriate regional official; or letter, form, or memo stating that EPA has completed its
review of the demonstration that a remedy is operating properly and successfully for purposes of CERCLA section
120(h)(3) signed by the appropriate regional official; or letter concurring on a clean parcel identified under CERFA
signed by the appropriate regional official.
Noii-ISKAC Propcrlt Action Kc(|iiircmcnls
FF Finding of Suitability to
Transfer (FOST)
EPA In-House
Start: EPA receives a written reauest submitted bv the other federal asencv for EPA concurrence on suitability to
transfer, including early transfers, or lease; or EPA receives a clean parcel determination for concurrence as required by
FY 18 SPIM
C-9
July 31, 2017
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OLEM Directive 9200.3-153
C.D Federal Facility Program Activities/Milestones
Work Package
Acli\ ilWMilcslonc
Perform;!nee l.cail
Ac(i\ ilWMik'sloni* Dale Kc(|iiircmcnls
FF Finding of Suitability to
Early Transfer (FOSET)
FF Finding of Suitability to
Lease (FOSL)
CERFA; or EPA receives a written request for EPA concurrence that a 120(h)(3) remedy is operating properly and
successfully.
Finish: Letter, form, or memo statins that EPA has completed its review and orovided comments or concurrence on the
transfer or leasing document(s) is signed by the appropriate regional official; or Letter, form, or memo stating that EPA
has completed its review of the demonstration that a remedy is operating properly and successfully for purposes of
CERCLA section 120(h)(3) is signed by the appropriate regional official; or Letter concurring on a clean parcel
identified under CERFA is signed by the appropriate regional official.
FFA/IA Negotiation
EPA In-House
Start: Notice letter is sent bv EPA to the Federal Facility.
Finish: FFA/IA is sisned bv the federal asencv. EPA. and/or state.
Alternative Dispute Resolution
EPA In-House
Start: Letter from anv rartv of the FFA/IA to the other Dailies notilvins them as to the issue in dispute.
Finish: Document resolvins the issue is sisned bv the aDDroDriatc resional official (e.s.. letter of asreement. asreement
document).
FF Removal
RCRA Interim/Stabilization
Measure
FF
Start: Federal asencv besins actual on-site removal work, or Action Memorandum sisned bv the aDDroDriatc resional
official, or the lead federal agency provides notice to EPA, or other decision document signed/approved by the
appropriate regional official
Finish: Federal asencv notifies EPA of demobilized, comoletins the scodc of work delineated in the Action
Memorandum or other decision document
FF RI/FS
FFRI
RCRA Facility Investigation
FF
If there has been no Previous RI/FS or RFI work or RI/FS or RFI work started prior to the FFA/IA effective date and
there has been substantial EPA or state involvement (EPA or the state has reviewed and commented,
approved/concurred, or accepted the work plan)
Start: RI/FS or RFI draft work olan received bv EPA or state
If RI/FS or RFI work starts prior to the FFA/IA effective date and there has been limited EPA or state involvement:
Start: FFA/IA sisned bv EPA or the state and the other asencv
Finish: Decision document sisned bv aDDroDriatc resional official
Decision Document Kc(|iiircmcnls
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF
Start/Finish: Decision document sisned bv the Resional Administrator or delesate, or the date of EPA
concurrence/approval on the clean-up decision document pursuant to FFA/IA or other enforceable decision document,
or the date of EPA's letter of concurrence.
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C.D Federal Facility Program Activities/Milestones
Work Package
Acli\ ilWMiloslono
Pci'loi'iiiiinci* Lead
Acli\ilWMik'slonc l);ik' Ko(|iiiivnionls
FF GOVT Remedy Decision
Change
Final KoiiU'dv Sok'ciod Ki-(|iiimiK-nls
FF Record of Decision,
RCRA Statement of
Basis/Response to Comments,
Removal Action Decision -
Approve EE/CA/Action
Memorandum,
FF GOVT Remedy Decision
Change (ROD Amendment
Only)
FF
Start/Finish: Decision document sisned bv the Resional Administrator or delesate when no planned ROD. ROD
Amendment, Removal Action Memorandum, RI/FS, or EE/CA exist at the site.
ROD Amendment
FF
Start/Finish: ROD Amendment sisned bv the Reeional Administrator or delesate. or the date of EPA
concurrence/approval on the cleanup decision document pursuant to FFA/IA or other enforceable decision document,
or the date of EPA's letter of concurrence
Explanation of Significant
Differences
FF
Start/Finish: ESD sisned bv the Resional Administrator or delesate. or the date of EPA concurrcncc/addroya 1 on the
cleanup decision document pursuant to FFA/IA or other enforceable decision document, or the date of EPA's letter of
concurrence
FF Remedial Design/RCRA
Corrective Action Design
FF
Start: Post ROD - RD or CMD work plan or other appropriate documents or statement of work submitted
Pre-ROD - ROD signed by the Regional Administrator or delegate or RD or CMD work plan or other major
deliverable submitted
Finish: Letter approvins the entire final RD or CMD packase is sisned or Commerce Business Dailv (CBD) or other
appropriate publication requesting bids on the final RD or CMD package is published.
FF RA/RCRA
Corrective Action Construction
FF
Start: Memo or letter to EPA documentins the date on which substantial, continuous, phvsical. on site, remedial
actions began
Finish: RA Report approved in writins bv Branch Chief or delesate or CMI Reportins vehicle documentins the
completion of construction activities signed by the Branch Chief or delegate
Preliminary Close-Out Report
EPA In-House
Start/Finish: Site is Construction Complete with Preliminary Close-Out report sisned bv EPA, and no future ROD,
ROD Amendment, Action Memorandum, RI/FS or EE/CA is planned and no previous ROD, ROD Amendment, or
Action Memorandum exists that constitutes the final decision.
FY 18 SPIM
C-ll
July 31, 2017
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OLEM Directive 9200.3-153
C.D Federal Facility Program Activities/Milestones
Work Package
Acli\ ilWMilcslonc
Perform;!nee l.eail
Acli\ilWMik'slonc Dale Ko(|iiiivnionls
Final Close-Out Report
EPA In-House
Start/Finish: Site is Construction Complete with Final Close-Out report signed bv EPA, and no future ROD, ROD
Amendment, Action Memorandum, RI/FS or EE/CA is planned.
Final Deletion from NPL
EPA In-House
Start/Finish: Notice of Deletion is published in the Federal Register and no future ROD, ROD Amendment, Action
Memorandum, RI/FS or EE/CA is planned and there is no Preliminary Close-Out Report (PCOR) and no previous
ROD, ROD Amendment or Action Memorandum that constitutes the final decision.
FF Operations and Maintenance
FF
Start: Remedial Action Report is approved in writing bv designated EPA regional official (Branch Chief or above, as
determined by the EPA region)
Finish: Where appropriate, the completion of O&M is defined as the date specified in the FFA/IA.
Cleanup Goals Achieved
FF
Start/Finish: Valid monitoring data demonstrating restoration goals have been achieved are documented in the O&M
Report
FF Five Year Review
FF
Start: Five-vear review work plan submitted bv the other federal agencv is approved bv EPA or Federal Facilitv starts
the review or submits the draft document for review, as outlined in the ROD or IA
Finish: The finished date is the date that the designated Regional official signs the final report submitted bv the federal
agency or the concurrence letter or issues an independent assessment of the protectiveness of the remedy before or on
the statutory due date.
FF Five Year Review
Addendum
FF
Start: Five-vear review Addendum work plan submitted bv the other federal agencv is approved bv EPA
Finish: Five-vear review addendum, stating a new protectiveness determination of all remedies that have deferred
protectiveness determinations is signed by the designated regional official
Restoration Advisory Board
(RAB)/Site-Specific Advisory
Board(SSAB FF CI)
FF
Start: Initial RAB/SSAB information meeting establishing the Board
Finish: RAB is adiournedbv DoD or SSAB is terminated bv the Secretary of Energv
Technical Assistance Grant
EPA In-House
Start: Award document signed bv the regional award official
Finish: Award document, one-vear extension document, time period extension document, or other documents, such as
a memo to the file prepared by the TAG coordinator documenting the ending date of the budget and project period.
Cleanup Pi'i\al l$R.\( MM. Silcs Ko(|iiiiviiioiils
Removal Action Decision -
Approve EE/CA/Action
Memorandum
FF
Start/Finish: Action Memo signed bv designated regional official
FF Removal
FF
Start: Pollution Report documenting that Private Partv and their contractor mobilized at the site to perform the removal
action. (Critical Indicator = TC or NTC).
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C.D Federal Facility Program Activities/Milestones
Work Package
Acli\ i(\/\lik's(one
Pi-rloi'inaniT Lead
Ac(i\ ilWMik'sloni* l);ik' Kc(|iiircmcnls
Finish: Final Pollution Report documentins that Private Partv and their contractor have completed actions specified in
the action memo and have demobilized from the site.
FF Engineering
Evaluation/Cost Analysis
FF
Start: EE/CA Approval Memo approved bv EPA.
Finish: EE/CA Action Memo approved bv EPA.
FFRI
FF RI/FS
FF
Start: RI or RI/FS draft work plan received from Private Partv.
Finish: Record of Decision sisned bv designated resional official
Public Comment Period
EPA In-House
Start/Finish: Letter transmitting RI/FS reoorts and the proposed olan to the site repository for Diiblic review, sisned bv
the appropriate regional official or first page of the approved proposed plan is included in the site file.
Record of Decision
FF
Start/Finish: Record of Decision sisned bv desisnated resional official
FF RD
FF
Start: RD draft work olan received from Private Partv.
Finish: RD Reoort approved bv EPA.
FF RA
FF
Start: RA draft work olan received from Private Partv.
Finish: RA Report approved bv EPA.
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ ilWMik'sloni*
Performance Lead
\lik'sloiR'/.Uii\i(\ Dale Ko(|iiiiviiH'ii(s
PRP Search
EPA
Start: The sisnature date of the Contractins Officer or Contractins Office Representative on a work assisnment or
procurement request, or the date EPA develops the PRP search plan; or the date a spill identification number has been
assigned to a site, or the date EPA initiates and documents search activities by some other means.
Finish: Date all applicable activities described in the Asencv's PRP Search Manual have been completed and
documented in the site file that the region has met all reasonable achievable criteria for the PRP search and a PRP
Search outcome report with a list of PRPs has been prepared. The finish date and outcome must be entered in SEMS. If
no PRPs are found, the Qualifier of 'No PRPs Identified' must be entered in SEMS.
Preliminary PRP Search
EPA
Start: The sisnature date of the Contractins Officer or Contractins Office Representative on a work assisnment or
procurement request, or the date EPA develops the PRP search plan; or the date a spill identification number has been
assigned to a site, or the date EPA initiates and documents search activities by some other means.
FY 18 SPIM
C-13
July 31, 2017
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OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ ilWMilcslonc
Perform;!nee l.eail
Mik*Monc/.\cli\ilj Dale Ko(|iiiivnionls
Finish: The date regions have completed and documented in the site file PRP Search tasks A-E in section 1 above as
appropriate and practicable, or the date the region has entered into a settlement with or issued orders to compel the
identified PRPs to perform the initial non-emergency response action at the site.
Section 104(e) Referral
Litigation
EPA
Start: Signature date of the memo from the Regional Administrator transmitting the referral to Headauarters (HO) or
DOJ
Finish: The date a Section 104(e) UAO or Administrative Order on Consent (AOC) is signed bv the Reeional
Administrator or delegate.
Pre-Referral Negotiation (PRN)
Package
EPA
Start/Finish: Date PRN package is submitted to DOJ.
General Notice Letters
EPA
Start/Finish: Signature date of General Notice Letter bv appropriate EPA official
Special Notice Letters
EPA
Start/Finish: Signature date of Special Notice Letter bv appropriate EPA official
Demand Letters Issued
EPA
Start/Finish: The date the demand letter is signed bv the appropriate EPA official
Nc^olialion Shirl Ki-(|iiimm-nls
Silo iniisi he iin \PI. oi' S\\ siic
RI/FS Negotiations, Removal
Negotiations, Negotiations
(Generic), or Cost Recovery
Negotiations
EPA
Start: Signature date of first Special Notice Letter bv appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter by appropriate EPA official.
RD/RA Negotiations
EPA
Start: Signature date of the first Special Notice Letter bv appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter by appropriate EPA official with the intent to purse negotiations
without moratorium procedures.
OR
For Subsequent RD/RA Negotiations the start date is the same as the finish date of an existing set of RD/RA
Negotiations from which an interim settlement/order arose.
OR
July 31,2017
FY 18 SPIM
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OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work l\ick;itie
Acli\ ilWMiloslono
Pci'loi'iiiiinci* l.o.ul
Miloslono/.\eli\ilj Dsilo Ko(|iiiromonls
For Concurrent RD/RA Negotiations the start date is the date concurrent negotiations are first documented in meeting
minutes or in a Memorandum for the Record or the date the letter is signed by the appropriate EPA official accepting
the Good Faith Offer.
Completion oi' IVrmiiiiilion olฐ V'tio(i;i(ion Kc(|iiimm'iils
Silo musi he Noii-l\'(k'i-iil MM- non-MM. or S.\.\ silo
ESI/RI/FS Negotiations
RD/RA Negotiations
Removal Negotiations
Cost Recovery Negotiations
Negotiations (Generic)
EPA
Finish: Date a sisned CD and a 10-Doint analysis for RD or RA. groundwater monitorine activities oost-ROD.
institutional controls or a time critical (TC) or non-time critical (NTC) removal is referred by the Regional
Administrator to either DOJ or HQ. The finish date is the date of the signed transmittal memo, which is the CD start
date.
OR
Signature date of the UAO by the Regional Administrator or delegate for RD or RA, groundwater monitoring activities
post ROD, institutional controls, or a TC or NTC removal. UAO credit under Total Response Commitments however is
given when notice of intent to comply is received. The date the UAO is signed is also the UAO finish date.
OR
Signature date of the AOC or Consent Agreement (CA) by the Regional Administrator or delegate for RD only, or
groundwater monitoring activities post-ROD, or institutional controls. Where an AOC or CA for RD only is signed, no
credit will be given for the subsequent RA negotiation start or finish. Credit will; however, be given under Total
Response Commitments for the referral of a CD for RA only. The negotiation finish date is also the AOC or CA finish
date.
OR
Signature date of the AOC or CA by the Regional Administrator or delegate for a TC or NTC removal. The negotiation
finish date is also the AOC or CA finish date.
OR
If Special Notice Letters are issued specifically to initiate RD/RA negotiations and the negotiations result in an
amendment to an existing enforcement instrument to include cleanup activities, or an existing enforcement instrument
is amended to include cleanup actions the finish date is the date the amended enforcement instrument is signed.
OR
The date the AOC or CA_that includes BFPP, CPO, PPA, PLA or windfall lien provisions is signed by the Regional
Administrator or delegate. Credit is only given when the entire remedy is implemented. Enforcement Instrument
Category = Prospective Purchaser Agreement, Bona Fide Prospective Purchaser Agreement, Contiguous Property
Owner Agreement, Prospective Lessee Agreement, or Windfall Lien Resolution Agreement. The negotiation finish
date is also the AOC or CA finish date.
OR
FY 18 SPIM
C-15
July 31, 2017
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OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Pnckajio
Aoli\ ilWMiloslono
PoiTormanco l end
Miloslono/Acli\il\ Diilo Ko(|iiironioiils
The date the injunctive referral to compel the PRP to perform the cleanup (RD or RA) as specified in a UAO is referred
by the Regional Administrator to DOJ or HQ. The negotiations finish date is the date of the Regional Administrator's
transmittal memo which is the litigation start date (Litigation [Generic], Section 106/107 Litigation or Section 106
Litigation).
OR
The date DOJ notifies EPA and the PRPs of the date on which they will proceed to trial under an existing case.
OR
Date funds are obligated through a contract modification or work assignment signed by the Contracting Officer, an
Interagency Agreement (IA) is signed by the other federal agency, or a Cooperative Agreement is signed by the
designated regional official for a Government financed TC or NTC removal, a RD at NPL or SAA sites or an RA at
NPL sites. If funds are not available and the region decides a UAO is not appropriate, the negotiation finish date is the
date of the written documentation of the region's decision not to issue a UAO.
Abili(\ Ki Pa\ ( A l l*) Parl\ Insiiranoo Nouolialion Ko(|iiiromonls
Negotiations (Generic)
EPA
Start: Negotiations start noon EPA's submission of a claim to an insurance comranv. Such initial claims are usually
letters to an insurance company detailing costs that have been, or will be, incurred by EPA and an offer to negotiate a
resolution of the claim on behalf of the ATP party.
Finish: Negotiations conclude either on the date the ATP oartv and its insurer execute a settlement agreement. or the
date of written documentation of the region's decision not to pursue the specific insurer for costs attributable to the
ATP party.
Tolal Response ( cim ill it moiit Ko(|iiiromonls
Silo must ho \ปn-l"odoral l ;icili(> \PI.. non-M'l. or SAA silo
Consent Decree
Finish: Dale ihc CD is cnlcivd b\ ihc coui'L under scclioii loo or scaions luo lu~ for PRPs lo conducl or ixi\ for ihc
response action (ESI/RI, RI, RI/FS, FS, RD, RA, groundwater monitoring activities post-ROD, institutional controls,
time critical or NTC removal). This date is recorded in SEMS as the finish date.
Unilateral Administrative Order
EPA
Finish: Date the UAO is sisned bv the Reeional Administrator or delesate for response work, and at least one of the
PRPs has provided notice of intent to comply unconditionally. Commitment credit is given on the date of the PRPs
written notice of intent to comply with the order. This is reported in SEMS as the finish date of the Notice of Intent to
Comply sub-work package.
July 31,2017
FY 18 SPIM
-------
OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Paokatio
Aoli\ il\/\lilos(ono
Poi'loi'iiiiinoo l.oiiri
Miloslono/.\oli\il\ Diilo Ko(|iiironioiils
Administrative Order on
Consent or Consent Agreement
Finish: The date the AOC or CA is signed bv the Regional Administrator or delegate for PRPs to Dcrform or pav for an
ESI/RI, RI, RI/FS, FS, time critical or NTC removal, RD, monitored natural attenuation, institutional controls, or
groundwater monitoring post-ROD. The date the AOC or CA is signed is reported in SEMS as the finish.
Commitment credit is also given when an AOC or CA is signed that provides protection from potential future liability
to a prospective purchaser that is implementing the remedy. The Enf Instrument Category Selected = Prospective
Purchaser Agreement, Bona Fide Prospective Purchaser Agreement, Contiguous Property Owner Agreement,
Prospective Lessee Agreement, or Windfall Lien Resolution Agreement.
Judicial/Civil Judgment
Finish: The conclusion of a Section 106. or Section 106/107 judicial action bv final iudgment for PRPs to conduct or
pay for the response action. Credit for a Judicial/Civil Judgment is given on the date on which the final judgment is
signed by the judge and entered by the court. This date is recorded in SEMS as the finish date.
Bankruptcy Settlement
Finish: The conclusion of a claim in bankruptcy proceedings bv final iudicial settlement. Credit is given for a
Bankruptcy Settlement to pay for future response work on the date the bankruptcy settlement is entered by the court and
recorded in SEMS as the finish. The allowed settlement amount for future response work should be entered into SEMS.
Enforcement Action
Amendment
Finish: The signature date that an existing enforcement instrument is amended to include additional cleanup activities.
The date the amendment is signed is the finish date and should be recorded in SEMS. Amended enforcement
instruments will count for credit in the current fiscal year as well as in the program-to-date commitment amount.
IK' Minimis Solllomonl Ko(|iiiromonls
Silo musl ho \on-l"odoral l ;icili(> \PI.. iion-M'l. or S.\.\ silo
Administrative Order on
Consent
EPA
Finish: The data the AOC is signed bv the Regional Administrator or delegate. The date the AOC is signed is reported
in SEMS as the finish.
Consent Decree
EPA
Finish: The date the CD signed bv the Regional Administrator and the de minimis parties is transmitted to DOJ or HO.
The date of the transmittal memorandum is reported in SEMS as the CD start date.
Soclion Ilk.. III6/IH"7. 107 ( ;iso Resolution (Including ( laim in liankruplo.t) Ko(|iiiromonls
Silo musl ho Non-l-'odoral l';icili(\ NPI.. non-NPI. or S.\.\ silo
Consent Decree/Bankruptcy
Settlement
EPA
Start/Finish: The date the CD or Bankruptcv Settlement is signed bv the iudge fullv addressing the complaint with all
parties and entered in the court. This is the finish date of the CD or Bankruptcy Settlement and the work package
'Entered By Court' as well as the litigation or bankruptcy finish date in SEMS.
Litigation Outcome: Case
Withdrawn
EPA
Start/Finish: The date the region receives a memo or letter from DOJ withdrawing the case. This is the finish date of
the work package Litigation Outcome: Case Withdrawn and the litigation or bankruptcy finish date in SEMS.
FY 18 SPIM
C-17
July 31, 2017
-------
OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ ilWMilcslonc
Perform;!nee l.cail
.Mik*slonc/Acli\il\ Dale Kc(|iiimm*nls
Litigation Outcome: Case
Dismissed
EPA
Start/Finish: The date a decision document is submitted bv the iudse dismissing the case. This is the finish date of the
work package Litigation Outcome: Case Dismissed and the litigation or bankruptcy finish date in SEMS.
Litigation Outcome: Judgment
EPA
Start/Finish: The date a trial has concluded and a iudsment is rendered and sisned bv the iudse fullv addressing the
complaint. This is the finish date of the Judgment and the work package 'Entered By Court' and the Litigation
Outcome: Judgment as well as the litigation finish date.
Past Costs Addressed >S500.000 Ki-(|iiimm*nls
Administrative Order on
Consent
EPA
Start/Finish: The date the Resional Administrator or delesate sisns the AOC that recovers 100% of EPA expenditures
or settles a claim where the total response costs are less than $500,000. The date the AOC is signed is reported in
SEMS as the finish.
Consent Agreement
EPA
Start/Finish: The date the Reeional Administrator or delesate sisns the CA that recovers 100% of EPA expenditures
or settles a claim where the total response costs are less than $500,000. The date the CA is signed is reported in SEMS
as the finish.
Administrative Voluntary Cost
Recovery
EPA
Start/Finish: The date the resional office or DOJ receives payment from the PRPs in direct response to a demand letter
for voluntary cost recovery. The finish date of the Administrative Voluntary Cost Recovery is also the finish date of the
Payment Received work package that is associated with the Demand Letter Issued work package in SEMS.
Litigation (Generic), or Section
107 Litigation, or Section
106/107 Litigation
EPA
Start/Finish: Credit for addressins past costs is siven on the date of the Resional Administrator's memo transmittins
the referral to DOJ or HQ. This is also the litigation start date in SEMS.
Consent Decree
EPA
Start/Finish: Credit for addressins past costs is siven for CD for RD/RA with a cost recoverv component or CDs for
cost recovery only that were not the result of a prior litigation referral. Credit is given on the date of the Regional
Administrator's memo transmitting the CD to DOJ or HQ. This is also the CD start date in SEMS.
Cost Recovery Decision
Document - No Sue
EPA
Start/Finish: Sisnature date of the decision document. This is also the Cost Recoverv Decision Document - No Sue
finish date in SEMS. The past costs that will not be recovered and the reason the costs were written off should be
reported in SEMS.
10-Point Settlement
EPA
Start/Finish: The decision not to pursue cost recoverv mav be documented in an enforcement instrument 10-point
settlement analysis. This is also the finish date of the 10-Point Settlement work package in SEMS. The past costs that
will not be recovered and the reason the costs were written off should be reported in SEMS.
July 31,2017
FY 18 SPIM
-------
OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ i(\/\liles(one
Performance Lead
MilcMone/Aeli\il\ Dale Kc(|iiircmenls
Claim in Bankraptcy
Proceedings
EPA
Start/Finish: The date the claim in bankruptcy proceedinss is transmitted to DOJ. This is also the Claim in Bankruptcy
Proceedings start date in SEMS. For each claim in bankruptcy, the 'Federal Costs Sought - Past' must be entered into
SEMS.
Tolal ( osl Reco\er\ Selllemenls Ro(|iiiroiiienls
Silc miisl ho \on-l"ederal l ;icili(> \PI.. non-M'l. or SAA silo
Consent Decree
EPA
Finish: The date the CD is entered bv the court for CD settlements for RD/RA with a cost recovery component, or CDs
for cost recovery only. This date is recorded in SEMS as the CD finish date.
For CD settlements that are for cost recovery only and result from a previous litigation referral, regions should not
record a CD start date.
Administrative Voluntary Cost
Recovery
Finish: The date the regional office or DOJ receives payment from the PRPs in direct response to a demand letter for
voluntary cost recovery. The finish date of the Administrative Voluntary Cost Recovery is also the finish date of the
Payment Received work package that is associated with the Demand Letter Issued work package in SEMS.
Administrative Order on
Consent or Consent Agreement
Finish: The date the AOC or CA is sisned bv the Resional Administrator or delesate for cost recovery. The date the
AOC or CA is signed is reported in SEMS as the finish.
Judicial/Civil Judgment
Finish: The conclusion of a Section 106/107 judicial action bv final iudsment with a cost recovery component, or for
cost recovery only. Credit for a Judicial/Civil Judgment is given on the date on which the final judgment is signed by
the judge and entered by the court. This date is recorded in SEMS as the finish.
Bankruptcy Settlement
Finish: The conclusion of a claim in bankruptcy proceedings bv final iudicial settlement. Credit is siven for a
Bankruptcy Settlement where cost recovery had been achieved on the date the bankruptcy settlement is entered by the court.
The date is recorded in SEMS as the finish. The allowed settlement amount for cost recovery should be entered into
SEMS
Ahililt-lo-Pa.t Delerminalion Ke(|iiiremenls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with the abilitv-to-Dav PRPs is sisned bv the Reeional Administrator or delesate.
The date the AOC or CA is signed is reported in SEMS as the finish.
Consent Decree
EPA
Finish: The date the CD is sisned bv the Resional Administrator and the abilitv-to-Dav Darties and transmitted to
DOJ or HQ. The date of the transmittal memorandum is reported in SEMS as the CD start date.
IJI-PP Ajireemenl. PPA. ami PI.A Ke(|iiiremenls
FY 18 SPIM
C-19
July 31, 2017
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OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ ilWMiloslono
PoiToi'niiinoo l.oiid
Miloslono/Aoli\il\ Diilo Kc(|uircmenls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a BFPP. PPA or PLA component is signed bv the Regional Administrator or
delegate. The date the AOC or CA is signed is reported in SEMS as the AOC or CA finish.
Consent Decree
Finish: Date the CD with a BFPP. PPA or PLA component is entered bv the court. The date the CD is entered is
reported in SEMS as the CD finish.
Comfort Status Letter
EPA
Start/Finish: The date the letter is sisned bv the appropriate reeional official.
Contiguous Properly Owner Kc(|iiircmcnls
Silo iniisl ho Non-l-edcral l ;icili(> NPI.. non-NPI. or SAA silo
Administrative Order on
Consent or Consent \mccniciit
EPA
Finish: The date an AOC or CA with a CPO comDonent is sisned bv the Reeional Administrator or delegate. The
dale Ilie \OC oi'C \ is signed is reported in SEMS as die \OC orC \ finish
Windfall 1 .ion Resolution Ke(|iiiremenls
Silo iniisl ho Non-Federal Facilil.t NPI.. non-NPI. or SAA silo
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA with a Windfall Lien comDonent is sisned bv the Reeional Administrator or
delegate. The date the AOC or CA is signed is reported in SEMS as the AOC or CA finish.
PUP 0\cisiiih( Administration Ko(|iiii'oinonls
Silo niusl ho Non-Federal Facility NPI.. non-NPI. or SAA silo
Offer to Discuss EPA
Oversight Expectations w/PRPs
EPA
Start/Finish: The date the offer is made to PRPs to discuss EPA's oversight expectations for upcoming activities.
Issuance of Oversight Bill
EPA
Start/Finish: The date an oversight bill consistent with the enforcement instrument is issued to PRPs.
Solllonionls Designating Funds 1'or Deposit lo Spooiiil Aooounls Ko(|iiironionls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is signed bv the Regional Administrator or delegate that includes a Davment
provision where funds will be placed in a Special Account. The date the AOC or CA is signed is reported in SEMS
as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under section 106. 107. or 106/107 that includes a Davment Drovision
where funds will be placed in a Special Account This date is recorded in SEMS aซ the finish date
Solllonionls Designating Funds lor Dishiii'sonionl from Spooiiil Aooounls lo PKPs Ko(|iiironionls
July 31,2017
FY 18 SPIM
-------
OLEM Directive 9200.3-153
C.E Enforcement Program Activities/Milestones
Work Package
Acli\ ilWMileslone
Performance l.ead
MilcMonc/Acli\ilj Dale Kc(|iiircmcnls
Administrative Order on
Consent or Consent Agreement
EPA
Finish: The date an AOC or CA is signed bv the Regional Administrator or delegate that includes a disbursement
provision. The date the AOC or CA is signed is reported in SEMS as the AOC or CA finish.
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under section 106. 107. or 106/107 that includes a disbursement
provision. This date is recorded in SEMS as the finish date
C. F Community Involvement Activities/Milestones
W ork Package
Acti\ il\/\lilcslone
Performance l.ead
Acli\ ilWMilcMonc Dale Kc(|iiircmcnls
Cuinmuiiih Involvement Plan
EPA In-House
Finish: Finalized Coiiuiiumlv Involvement Plan
Community Advisory Group
EPA In-House
Start: First meaningful (not interest finding) Communitv Advisorv Group Meeting is held
Finish: CAG is completed/closed out bv EPA and CAG
Technical Assistance Grant
EPA In-House
Start: TAG award document is signed bv the regional award official
Finish: Award document, one-vear extension document, time oeriod extension document, or other documents, such as
a memo to the file prepared by the TAG coordinator documenting the ending date of the budget and project period
Technical Assistance Services
for Communities (TASC)
EPA In-House
Start: Regional Task Order Monitor/Contracting Officer's Representative approves technical approach to site specific
project
Finish: Documentatioa such as an evaluation of the TASC oroiect. marks the completion of the oroicct period for the
TASC services
FY 18 SPIM
C-21
July 31, 2017
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