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Superfund Program .
Implementation Manual Pl
Fiscal Year 2025
Guidance for OSRTI, OSRE, FFRRO, FFEO, and OEM
(Headquarters and Regional Offices)
Program Goals and Planning Requirements
Program Implementation Procedures
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XI
United States
Environmental Protection Agency
Office of Land and
Emergency Management
OLEM Directive 9200.3-158
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OLEM Directive 9200.3-158
Superfund Program Implementation Manual FY 2$
Table of Contents
Acronyms List Acronyms-1
Chapter 1: Introduction
l.A Purpose 1-1
l.B Introduction 1-2
l.B.l Superfund Legislative Background 1-2
1.B.2 Description of Superfund Response and Enforcement Programs 1-3
1.C Superfund Enterprise Management System (SEMS) 1-5
Chapter 2: Performance Measures, Planning and Reporting Requirements
2. A Introduction 2-1
2.B Performance Goals and Measures 2-1
2.B.1 Removal Program Measures 2-3
2.B.2 Remedial and Federal Facilities Program Measures 2-4
2.B.3 Enforcement Program Measures 2-6
2.C Annual Performance Report and Budget Development Cycle 2-7
2.C.1 Outyear 2-7
2.C.2 Planning Year 2-8
2.C.3 Current Year 2-8
2.D Planning and Reporting Cycle 2-11
2.D.1 Third Quarter 2-11
2.D.2 Fourth Quarter 2-12
2.D.3 First Quarter (of the subsequent year) 2-12
2.E Planning, Target, and Accomplishment Reports 2-13
2.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 2-13
2.E.2 OSRE Management Reports 2-14
2.E.3 FFRRO Management Reports 2-15
Chapter 3: Financial Management
3. A Introduction 3-1
3.B Financial Management Roles and Responsibilities 3-1
3.B.1 Regional Organization Financial Roles and Responsibilities 3-1
3.B.2 Regional Staff Financial Roles and Responsibilities 3-3
3.B.3 Headquarters Support Office Financial Roles and Responsibilities 3-4
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OLEM Directive 9200.3-158
3. C Superfund Accounting Information 3-6
3.C.1 Superfund Account Number 3-6
3.D Financial Data Management Tools 3-11
3.D.1 Budget Formulation System (BFS) 3-11
3.D.2 Compass 3-11
3.D.3 Compass Data Warehouse (CDW) 3-11
3.D.4 Compass Business Objects Reporting Tool (CBOR) 3-12
3.D.5 Superfund Enterprise Management System (SEMS) 3-12
3. E Handling Financial Data in the SEMS Environment 3-12
3.F Financial Vehicles 3-13
3.F.1 Contracts 3-13
3.F.2 Interagency Agreements 3-14
3.F.3 Cooperative Agreements 3-14
3.F.4 Grants 3-14
3. G Allocating Superfund Resources Among the Regions 3-15
3.G.1 Managing Site Allowance Resources in SEMS 3-15
3.G.2 Using Prior Year Funds 3-16
3.G.3 Removal Program Resources (PRC000DC6) 3-17
3.G.4 Homeland Security Resources (PRC 000D72) 3-18
3.G.5 Remedial Response Program Resources (PRC000DD2) 3-18
3.G.6 Superfund Federal Facilities Response Program (PRC000DC9) 3-20
3.G.7 Base Realignment and Closure (BRAC) 3-20
3.G.8 Superfund Enforcement Program (PRC 000EC7) 3-20
3.G.9 Federal Facilities Enforcement Program Resources (PRC 000EH2) 3-21
3. H Cost Recovery 3-21
3.H.1 Recoverable Costs 3-22
3.1 Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 3-24
3.1.1 WQ SSID, WQ Action Code, and WQOperable Unit 3-24
3.1.2 ZZ SSID 3-25
3.1.3 00 SSID 3-26
3.1.4 Redistributing Superfund Costs 3-26
3. J Superfund State Contracts (SSC) and Cooperative Agreements 3-26
3.J.1 Cost Share Provisions 3-27
3.J.2 Constraints on Obligating Funds for RA 3-27
3.J.3 Cost Share Payments 3-28
3.J.4 Using Funds from State Cost Share Payments 3-29
3.J.5 Close Out Process for SSCs 3-29
3. K Special Accounts 3-30
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OLEM Directive 9200.3-158
3. L Infrastructure Investment And Jobs Act (iija) 3-31
3.L.1 Beginning Budget Fiscal Year (BBFY) and Fund Codes 3-32
3.L.2 Superfund Remedial Program Project 3-32
3.L.3 Management and Oversight Program Project 3-32
3.L.4 Use of Superfund Remedial BIL Funds for Aircraft 3-33
3.L.5 Spend Plans and Advice of Allowance Memorandums 3-33
3.L.6 Tracking and Use of Deobligated IIJA Funds 3-33
3.L.7 Using Multiple Superfund Fund Codes on the Same Funding Action 3-33
3.L.8 Bulk Funding 3-34
3. M Superfund Tax Receipts 3-34
3.M.1 Superfund Tax Allocation 3-34
3.M.2 Superfund Tax Fund Codes 3-35
3.M.3 Using Multiple Superfund Fund Codes on the Same Funding Action 3-35
3. N Use of Superfund Funds for Aircraft 3-35
3.0 Sites With No Other Sources of Funding 3-35
3.P Using the Fiduciary Reserve to Address Cost Overruns 3-36
Chapter 4: SEMS Data Management and Coding
4. A Introduction 4-1
4.B SEMS Regional/Headquarters Roles and Responsibilities 4-1
4.B.1 Regional Roles 4-2
4.B.2 HQ Roles 4-3
4.C General SEMS Data Entry/Ouality Control Requirements 4-5
4.C.1 Quality and Timeliness of Data Entry 4-5
4.C.2 Setting Targets in SEMS 4-6
4.D Data Validation and Verification 4-7
4.E Performance Lead Codes 4-8
4. F Action Codes Available for Financial Transactions 4-10
4.G Anomalies and Other SEMS Codes 4-15
4.G.1 Takeovers, Phased Indicators and Other Action Code Anomalies 4-15
Chapter 5: Site Information
5. A Introduction 5-1
5.B Site 5-1
5.C Initiating Program 5-2
5.D Identification (ID) Numbers 5-2
5. E Site Name 5-3
5. F Site Location/Geospatial Information 5-3
5. G Geospatial Data Quality 5-7
5.H Alias Name/Location 5-7
5.1 Federal Facility Status 5-7
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5. J Formerly Used Defense Sites (FUDS) 5-8
5. K Site Type Category/Sub-Category 5-8
5. L National Priorities List (NPL) Status 5-9
5. M Non-NPL Status 5-12
5.N Tribal Data 5-13
5.0 Eligible Response Site Exclusion / No Further Federal Action 5-15
5. P Site Inventory Designations 5-16
5. Q Archive Indicator 5-17
5. R Parent/Child Relationships 5-19
5. S Final Assessment Decisions (FAD) 5-20
5. T Operable Unit (OU) 5-21
5. U Site Description 5-22
5. V Site Comments 5-22
Chapter 6: REM EDI A L Site Assessment
6. A Introduction 6-1
6.A.1 Remedial Site Assessment Priorities 6-2
6.A.2 Remedial Site Assessment Backlogs 6-3
6.A.3 Overview of Remedial Site Assessment Targets and Measures 6-4
6.A.4 Data Quality and Data Entry Timeliness Requirement 6-6
6.A.5 Action Qualifiers for Remedial Site Assessment Actions 6-7
6.A.6 Remedial Site Assessment Critical Indicators 6-13
6.A.7 Coordination with State and Tribal Partners at Non-Federal Sites 6-13
6.A.8 Remedial Site Assessment Actions 6-14
6.A.9 Cleanup Alternatives 6-38
Chapter 7: Removal Program
7.A Protect Human Health and the Environment 7-1
7.A.1 Overview of Removal Actions Target and Measures 7-1
7.A.2 Removal Program Performance Action Leads 7-1
7.A.3 Data Entry Timeliness 7-2
7.A.4 Removal Initiation 7-2
7.A.5 Action Memo 7-2
7.A.6 Removal Action 7-3
Chapter 8: Remedial Program
8.A Remedial Program Targets and Measures 8-1
8.B Remedial Program Performance Leads 8-2
8.C Data Entry Timeliness 8-3
8. D Remedial Program Definitions 8-3
8.D.1 Remedy Selection 8-3
8.D.2 Remedial Implementation 8-9
8.D.3 Post Construction Completion 8-16
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OLEM Directive 9200.3-158
8.D.4 Environmental Indicators 8-28
8.D.5 Support Activities 8-33
Chapter 9: Federal Facility Program
9. A Federal Facility Superfund Goals and Priorities 9-1
9.A.1 Overview 9-1
9.A.2 EPA's Federal Facility Superfund Cleanup Principles 9-4
9.A.3 Federal Facility Docket and Site Discovery/Site Assessment 9-7
9.A.4 BRAC Budget and Financial Guidance 9-12
9.A.5 Cleanup Privatization at BRAC NPL Sites 9-13
9.A.6 Military Munitions Response Program 9-13
9.A.7 Stakeholder Involvement 9-14
9.A.8 Land Use Controls (LUCs) 9-15
9.A.9 Special Interest Sites and Operable Units for Flagging in SEMS 9-17
9. B Federal Facility Program Targets and Measures 9-17
9.B.1 Overview of Federal Facility Targets and Measures 9-17
9.B.2 Data Entry Timeliness, Overall Data Quality Management and Targeting 9-18
9.B.3 Federal Facilities Site Discovery/Site Assessment Definitions 9-19
9.B.4 Federal Facilities Accomplishment Definitions 9-23
9.B.5 Community Involvement Definitions 9-42
Chapter 10: Enforcement
10. A Enforcement 10-1
10.A.1 Promoting the Superfund Enforcement Program 10-1
10.A.2 Overview of Enforcement Program Targets and Measures 10-2
10.A.3 Superfund Alternative Approach (SAA) Sites 10-4
10.A.4 Enforcement Program Performance Leads 10-6
10.A.5 Data Entry Timeliness 10-6
10.A.6 Releasability of Enforcement Planning Data 10-6
10.A.7 Enforcement Program Definitions 10-6
10.A.8 Agreements at SWRAU Sites 10-38
Chapter 11: Community Involvement
11. A Introduction 11-1
11.A.1 Roles and Responsibilities 11-1
11.A.2 National Approach for Applying SEMS EJ Flag 11-2
ll.B National Program Requirements 11-2
ll.B.l Program Goals and Objectives 11-2
ll.B.2 Regulatory and Policy Requirements 11-3
ll.B.3 Data Entry Timeliness 11-3
ll.C Community Involvement Activities 11-3
ll.C.l Overview of Community Involvement Activities 11-3
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Chapter 12: Information Systems
12. A Information Systems 12-1
12.A.1 Overview of SEMS 12-1
12.A.2 SEMS System Components 12-5
12.A.3 Reporting Superfund Information 12-6
12.A.4 SEMS Information on the Internet 12-6
12.A.5 Data Owners/Sponsorship 12-9
Chapter 13: Superfund Records Management
13.A Records Management Compliance 13-1
13.A.1 Regulatory and Policy Requirements 13-1
13. B Managing Superfund Records 13-1
13.B.1 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM) 13-1
13.B.2 Roles and Responsibilities 13-3
13.C Capturing Superfund Records 13-5
13.C.1 How Records Get Added to SEMS- RM 13-5
13. D Purpose of Records for Superfund 13-5
13.D.1 Action Records in SEMS 13-5
13.D.2 Action Records Goals and Objectives 13-7
13. E Reporting and Disclosure 13-7
13.E.1 SEMS Records Reports 13-7
13.E.2 Disclosure 13-8
Appendix A: Regional and Headquarters Contacts
A-A Headquarters (HQ) Subject Matter Experts/Data sponsors A-l
A-B OSRTI Regional Coordinators (Pre Remedial) A-2
A-C OSRTI Regional Coordinators (Remedy Selection) A-3
A-D OSRTI Regional Coordinators (Construction and Post Construction) A-3
A-E FFRRO Regional Coordinators A-4
A-F OSRE Regional Analysts/Coordinators A-4
A-G Regional Information Management Coordinators A-5
A-H Regional Budget Coordinators A-5
A-l HQ Superfund Cost Recovery Contacts A-6
A-J Regional Cost Recovery Contacts A-6
A-K Regional Superfund Records Managers A-7
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Superfund Program Implementation Manual
FY 25
Acronyms
FY 25 SPIM
Final September 2024
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OLEM Directive 9200.3-158
ACRONYMS LIST
A&E Architecture and Engineering
A/T Arranger/Transporter
ACS Annual Commitment System
AD Alternate Dispute Resolution
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
BFPPA Bona Fide Prospective Purchaser Agreement
BFS Budget Formulation System
BFY Budget Fiscal Year
BOC Budget Object Class
BPEB Budget Planning and Evaluation Branch
BRAC Base Realignment and Closure
CA Consent Agreement
CA Cooperative Agreement
CAG Community Advisory Group
CBD Commerce Business Daily
CBOR Compass Business Objects Reporting Tool
CC Construction Completion
CCDS Case Conclusion Data Sheet
CD Consent Decree
CDW Compass Data Warehouse
CERCLA Comprehensive Environmental Response, Compensation, and Liability
Act
CERCLIS Comprehensive Environmental Response, Compensation, and Liability
Information System
CERFA Community Environmental Response Facilitation Act
CFC Cincinnati Finance Center
CFR Code of Federal Regulations
CIC Community Involvement Coordinator
CIP Community Involvement Plan
CI PI B Community Involvement and Program Initiatives Branch
CLP Contract Laboratory Program
CMD Corrective Measure Design
FY 25 SPIM
Acronyms -1
Final September 2024
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OLEM Directive 9200.3-158
CMI
Corrective Measure Implementation
CMS
Corrective Measure Study
CN
Commitment Notices
CO
Contracting Officer
COR
Contracting Officer's Representative
CPO
Contiguous Property Owner
CPOA
Contiguous Property Owner Agreement
CPRM
Cross Program Revitalization Measure
CPS
Contract Payment System
CR
Continuing Resolutions
CRP
Community Relations Plan
CUI
Controlled Unclassified Information
DCN
Document Control Number
DERP
Defense Environmental Restoration Program
DES
Design and Engineering Services
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
ECMS
Enterprise Content Management System
EE/CA
Engineering Evaluation/Cost Analysis
El
Environmental Indicator
EJ
Environmental Justice
EJ SCREEN
Environmental Justice Screening and Mapping Tool
ENFR
Enforcement Program's SEMS Reporting Prefix
EO
Executive Order
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
FY 25 SPIM
Acronyms - 2
Final September 2024
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OLEM Directive 9200.3-158
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
FR Federal Register
FRS Facility Registration Service
FS Feasibility Study
FTE Full-Time Equivalent
FUDS Formerly Used Defense Sites
FWS Fish and Wildlife Service
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
GMID Insufficient Data to Determine Migration of Contaminated
Groundwater
GMNA Migration of Contaminated Groundwater Not Applicable
GMNC Migration of Contaminated Groundwater Not Under Control
GMUC Groundwater Migration Under Control
GNL General Notice Letter
GOVT Government
GPAS Grants Payment Allocation System
GPRA Government Performance and Results Act
GPS Global Positioning System
GSA General Services Administration
HE Human Exposure
FY 25 SPIM
Acronyms - 3
Final September 2024
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OLEM Directive 9200.3-158
HEID Insufficient Data to Determine Human Exposure Control
HENC Human Exposure Not Under Control
HEPR Human Exposure Under Control and Protective Remedies in Place
HEUC Human Exposure Under Control
HHPA Human Exposure Under Control & Long-Term Human Health Protection
Achieved
HLS Homeland Security
HQ Headquarters
HRS Hazard Ranking System
IA Interagency Agreement
IAG Interagency Agreement
ICIS Integrated Compliance Information System
ID Identification
IDIQ Indefinite Delivery Indefinite Quantity
IDOJ In SNC - Referred To DOJ
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
MAC Informal Action Taken and Compliance Accomplished
MAC In SNC - Informal Action Taken and Compliance Accomplished
NAP Informal Action Planned
NAP In SNC - Informal Action Planned
NAT 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
JTI Job Training Initiative
LGR Local Government Reimbursement
LTRA Long Term Response Action
LUC Land Use Control
LUST Leaking Underground Storage Tank
LVFC Las Vegas Finance Center
MC Munitions Constituents
MEC Munitions and Explosives of Concern
MMRP Military Munitions Response Program
FY 25 SPIM
Acronyms - 4
Final September 2024
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OLEM Directive 9200.3-158
MOA Memorandum of Agreement
MOU Memorandum of Understanding
MP Mineral Processing
MRS Munitions Response Sites
MS Mega-Site
NAI Native American Interest
NARA National Archives and Records Administration
NCP National Contingency Plan
NFFA No Further Federal Action
NFRAP No Further Remedial Action Planned
NGGS Next Generation Grants System
NN Navajo Nation
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
NRMP National Records Management Program
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
OAS Office of Acquisition Solutions
OB Office of Budget
OB/OD Open 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
OFA Other Federal Agency
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
OMS Office of Mission Support
OMS Office of Mission Support
OPS Operating Properly and Successfully
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Acronyms - 5
Final September 2024
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OLEM Directive 9200.3-158
ORD
Office of Research and Development
OS
Oversight
OSC
On-Scene Coordinator
OSRE
Office of Site Remediation Enforcement
OSRTI
Office of Superfund Remediation and Technology Innovation
OSWER
Office of Solid Waste and Emergency Response
OU
Operable Unit
PA
Preliminary Assessment
PAM
Superfund Pipeline Site Allowance Allocation Model
PAR
Performance and Accountability Report
PAT
Performance Assessment Tool
PCOR
Preliminary Close-Out Report
PCS
Pre-CERCLA Screening
PDF
Portable Document Format
PECB
Program Evaluation and Coordination Branch
PFAS
Per- and Polyfluoroalkyl Substances
PFP
People Under Current Conditions
PGMT
Program Management SEMS Reporting Prefix
Pll
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
ORG
Quick Reference Guide
RA
Remedial Action
RAB
Restoration Advisory Board
RAC
Remedial Acquisition Contract
RAF
Remedial Acquisition Framework
RAGS
Risk Assessment Guidance for Superfund
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
FY 25 SPIM
Acronyms - 6
Final September 2024
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OLEM Directive 9200.3-158
RFI
RCRA Facility Investigation
RFO
Regional Finance Office
RFP
Request For Proposals
Rl
Esi/Remedial Investigation
RI/FS
Remedial Investigation/Feasibility Study
RMA
Records Management Software Application
RMD
Resources Management Division
RMDS
Resources Management Directive System
ROD
Record of Decision
RPIO
Responsible Program Implementation Office
RPM
Remedial Project Manager
RPO
Regional Program Office
RSAC
Remedial Site Assessment Completion
RTI
Records Transfer Interface
RTP
Research Triangle Park
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
SEGS
Shared Enterprise Geodata and Services
SEMS
Superfund Enterprise Management System
SEMS-RM
SEMS Records Management Module
SEMS-SM
SEMS Site Management Module
SI
Site Inspection
SME
Subject Matter Expert
SMOA
Superfund Memorandum of Agreement
SNC
Substantial Noncompliance
SNL
Special Notice Letter
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
SSAB
Site-Specific Advisory Board
SSC
Superfund State Contract
SSID
Site/Spill Identification Code
START
Superfund Technical Assistance and Response Team
SWRAU
Sitewide Ready for Anticipated Use
FY 25 SPIM
Acronyms - 7
Final September 2024
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OLEM Directive 9200.3-158
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
WBS
Work Breakdown Structure
WEBOS
Web Order System
WL
Windfall Lien Resolution
FY 25 SPIM
Acronyms - 8
Final September 2024
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OLEM Directive 9200.3-158
Superfund Program Implementation Manual
FY 25
Chapter 1: Introduction
FY 25 SPIM
Final September 2024
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OLEM Directive 9200.3-158
CHAPTER 1: Introduction
Table of Contents
1.A Purpose 1
l.B Introduction 2
l.B.l Superfund Legislative Background 2
l.B.2 Description of Superfund Response and Enforcement Programs 3
a. Superfund Remedial (000DD2) 3
b. Superfund Emergency Response and Removal (000DC6) 3
c. Federal Facilities Response (000DC9) 4
d. Superfund Enforcement (000EC7) 4
e. Base Realignment and Closure (000D41 and 000D41B4) 4
f Federal Facilities Enforcement (000EH2) 5
l.C Superfund Enterprise Management System (SEMS) 5
FY 25 SPIM 1- i Final September 2024
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CHAPTER 1: INTRODUCTION
l.A 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 1 offers an introduction of
Superfund along with descriptions of each of the Superfund programs and the Superfund
Enterprise Management System (SEMS). Chapter 2 describes the Superfund program measures,
budget and program planning, and reporting requirements. Chapter 3 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 4 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 5 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 generally outline the
management expectations for the removal, remedial, enforcement, and Federal Facility
programs. The chapters are given in the following order: Chapter 6: Remedial Site Assessment,
Chapter 7: Removal Program, Chapter 8: Remedial Program, Chapter 9: Federal Facility Program,
Chapter 10: Enforcement, and Chapter 11: Community Involvement.
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The last two chapters of the SPIM are Chapter 12: Information Systems and Chapter 13:
Records and Information Management. Chapter 12 describes the various modules of SEMS.
Chapter 13 describes the process of documenting records and information in the SEMS Records
Management (SEMS-RM) module.
In addition, there is an appendix and an attachment that provide supplemental
information to the SPIM. Appendix A includes subject matter expert and data sponsor contact
information for both Headquarters (HQ) and regional offices. Attachment 1 provides a sortable
and filterable format for the Program Required and Program Recommended documents as
described by Chapter 13.
l.B INTRODUCTION
l.B.l Superfund Legislative Background
Congress passed the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA)in 1980, establishingthe statutory authority for the Superfund program. 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 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 (DoD) 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
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.
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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 modified
provisions of section 120, particularly those related to transfer of contaminated properties.
On January 11, 2002, President Bush signed into lawthe 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.
1.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 (000DD2)
The Superfund remedial program implements numerous processes including 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.
b. Superfund Emergency Response and Removal (000DC6)
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
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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 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 (000DC9)
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 (000EC7)
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 the
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 (000D41 and 000D41B4)
Base Realignment and Closure (BRAC) was an EPA/DoD-supported reimbursable program
carrying out accelerated cleanup at selected BRAC sites with the 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 (000EH2)
The Federal Facilities Enforcement Office as well as the Federal Facilities regional
programs ensure that federal agencies who own sites currently listed on the NPL have an
Interagency Agreement (IA) in place to ensure clean up and compliance with federal
environmental statutes and regulations. IAs are also referred to as Federal Facilities
Agreements (FFAs). Activities include 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,assessing stipulated penalties, and using supplemental environmental projects
when appropriate.
l.C SUPERFUND ENTERPRISE MANAGEMENT SYSTEM (SEMS)
SEMS system currently supports data and record management and publication efforts
related to cleanup activities for Sites whose characteristics fall under the umbrella of the Office
of Land and Emergency Management (OLEM). The primary business functions supported by
SEMS deal with High-Level site information such as planning and project management, including
future planned obligations. SEMS also supports Superfund performance measure tracking in
support of the GPRA and Superfund records management and information. SEMS also continues
to serve as the Superfund program's official repository of electronic records and has business
reporting and analytics capabilities.
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Superfund Program Implementation Manual
FY 25
Chapter 2: Performance Measures, Planning and Reporting
Requirements
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CHAPTER 2: Performance Measures, Planning and Reporting
Requirements
Table of Contents
2. A Introduction 1
2.B Performance Goals and Measures 1
2.B.1 Removal Program Measures 3
a. Removal Actions Completed 3
2.B.2 Remedial and Federal Facilities Program Measures 4
a. Number of Superfund Remedial Site Assessments Completed (Site Assessments).. 4
b. Number of Remedial Action Project Completions at Superfund NPL sites (Remedial
Action Projects) 4
c. Annual Number of Superfund Sites with Remedy Construction Completed 4
d. Number of Superfund Sites with Human Exposure Under Control 4
e. Number of Superfund Sites with Contaminated Groundwater Migration Under
Control 5
/. Number of Superfund Sites Ready for Anticipated Use Sitewide 5
g. Number of National Priorities List Deletions and Partial Deletions 5
h. Number of Superfund Cleanup Projects Completed That Address Lead (PB) As a
Contaminant 6
i. Advancing Site Assessment in Communities with Potential Environmental Justice
Concerns 6
2.B.3 Enforcement Program Measures 6
a. Total Response Commitments 6
b. Total Cost Recovery Settlements 6
c. Value of PRP Oversight 7
d. RD/RA Negotiation Completions Within 365 Days 7
e. RD/RA Negotiation Completions Over 365 Days 7
2.C Annual Performance Report and Budget Development Cycle 7
2.C.1 Outyear 7
2.C.2 Planning Year 8
2.C.3 Current Year 8
2. D Planning and Reporting Cycle 11
2.D.1 Third Quarter 11
a. Current Year Performance Tracking 11
b. Planning for the Upcoming Year 11
2.D.2 Fourth Quarter 12
a. Planning for the Upcoming Year 12
b. End of Year Performance Tracking 12
2.D.3 First Quarter (of the subsequent year) 12
a. Planning for the Current Year 12
b. Prior Year Performance Tracking 13
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2.E Planning, Target, and Accomplishment Reports 13
2.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment
Reporting 13
2.E.2 OSRE Management Reports 14
2.E.3 FFRRO Management Reports 15
List of Exhibits
Exhibit 2.1. Superfund Budget Measures 2
Exhibit 2.2. Budget Planning Timeline 9
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CHAPTER 2: PERFORMANCE MEASURES, PLANNING AND REPORTING
REQUIREMENTS
2.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.
2.B PERFORMANCE GOALS AND MEASURES
The Government Performance and Results Act (GPRA) of 1993 provides a general
framework for government accountability using 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 2022 - 2026 EPA Strategic Plan is the foundation of the Agency's planning and
budgeting process. The Strategic Plan is a five-year plan outlining the Agency's mission that
establishes quantifiable goals and objectives, including GPRA Performance Measures, and
describes the means and strategies that EPA programs employ to accomplish environmental
results over a multi-year period. The Agency must update the Strategic Plan every three years or
more often when there is significant policy, programmatic, or another type of change to the
current plan.
EPA's Annual Performance Report defines the Agency's annual budget goals and
objectives in greater detail by linking the annual budget to the Strategic Plan. Historically, the
Annual Performance Report contains Annual Performance Report Commitments (Annual
Commitments) for meeting the GPRA Performance Measures in the Strategic Plan as well as
additional agency performance measures. Historically, 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.
Historically, 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. All of the above documents referenced and additional
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information on EPA's planning, budget, and annual performance is available at the Planning.
Budget and Results webpage.
EPA's senior leadership tracks some performance measures in Bowling Charts. The
Bowling Charts do not include all performance measures, rather, they focus on the metrics senior
leadership is closely monitoring. In 2018, the EPA launched a new performance measure system,
the Budget Formulation System (BFS) to replace the Budget Automation System (BAS)/Annual
Commitment System (ACS). As such, ACS measures will now be referred to as National Program
Management (NPM) measures.
In addition, EPA maintains Strategic Goals 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 Superfund program has two Strategic Goals:
• By September 30, 2026, bring human exposures under control at an additional 60
Superfund sites.
• By September 30, 2026, complete 225 Superfund cleanup projects that address lead
as a contaminant.
Exhibit 2.1 identifies the Superfund performance measures that are included in the
President's budget and identifies which Superfund programs are responsible. A description of
each measure is in the next section. This list is not exhaustive; additional performance measures
are tracked internally and defined in the following sections.
EXHIBIT 2.1. SUPERFUND BUDGET MEASURES
Measure Name4
Annual Performance
Report Commitments
Responsible Superfund
Program
Removal actions completed annually
X
Removal
Number of Remedial Action project completions at Superfund
National Priorities List (NPL) sites (RAPC)
X
Remedial, Federal Facilities
Number of Superfund sites with human exposure under control
(HEUC)*
x
Remedial, Federal Facilities
Number of Superfund sites ready for anticipated use sitewide
(SWRAU)*
X
Remedial, Federal Facilities
Number of Superfund cleanup projects completed that address
Lead (Pb) as a contaminant (Lead Cleanups)
X
Remedial, Removal, Federal
Facilities
Total Response Commitments
X
Enforcement
Total Cost Recovery Settlements
X
Enforcement
Value of PRP Oversight
X
Enforcement
'"Beginning in FY 2014, performance measure results include non-NPL sites with Superfund Alternative Approach
(SAA) agreements
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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
NPM 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 BFS. 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 BFS.
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 that 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). VCMA is one of several
national OECA measures to support cleaning up communities and advancing sustainable
development. The VCMA measure counts commitments to clean up contaminated soil and
groundwater media as a result of concluded Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA) and Resource Conservation and Recovery Act (RCRA)
corrective action enforcement cases. 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 the end-of-year certification process led by the Office of Compliance in coordination with
the Office of Site Remediation Enforcement.
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 OLEM, the Office of Enforcement and Compliance Assurance (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.
2.B.1 Removal Program Measures
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
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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
CERCLA.
2.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 if 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. 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 6, titled 'Remedial Site Assessment.'
b. Number of Remedial Action Project Completions at Superfund NPL sites
(Remedial Action 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 Priorities List Sites, OSWER
9320.2-22, May 2011). More information about the RA Projects measure can be found in
Chapter 8, titled 'Remedial Program.'
c. Annual Number of Superfund Sites with Remedy Construction Completed
Construction completion (CC) means physical construction of all cleanup actions is
finished at a site, including actions to address all immediate threats and to bring all long-
term threats under control. This measure tells the public that a site has generally entered
a phase of long-term, routine operation and maintenance. Construction completion is
documented in a Preliminary Close Out Report (Close Out Procedures for National
Priorities List Sites, OSWER 9320.2-22, May 2011), and requires Headquarter's (HQ)
concurrence. More information about the CC measure can be found in Chapter 8, 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. An environmental indicator
baseline is established at the beginning of each fiscal year for measuring HEUC
accomplishments, for sites on or deleted from the NPL or sites with Superfund Alternative
Approach (SAA) agreements in place. Sites listed on the NPL or added as an SAA site during
the current fiscal year are added to the baseline in the subsequent fiscal year. Information
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about the HEUC indicator is available on EPA's Superfund Remedial Performance
Measures website. More information about the HEUC indicator can be found in Chapter
8, titled 'Remedial Program.'
e. Number of 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. An environmental indicator
baseline is established at the beginning of each fiscal year for measuring GMUC
accomplishments for sites on or deleted from the NPL or sites with Superfund Alternative
Approach (SAA) agreements in place. Sites listed on the NPL or added as an SAA site during
the current fiscal year are added to the baseline in the subsequent fiscal year. Information
about the GMUC indicator is available on EPA's Superfund Remedial Performance
Measures website. More information about the GMUC indicator can be found in Chapter
8, titled 'Remedial Program.'
f. Number of Superfund Sites Ready for Anticipated Use Sitewide
The Sitewide Ready for Anticipated Use (SWRAU) measure counts construction complete
Final and Deleted NPL and SAA sites for which, for the entire site, it is currently and
accurately documented that: the site as a Human Exposure status of current human
exposures under control and all protective remedy(ies) in place or long-term human
health protection achieved; for media, the impact current and future land uses, all
cleanup goals in the Record of Decision (ROD) or other remedy decision document(s) must
be met so that there are no unacceptable risks; and all controls required for achieving
protectiveness (engineered as well as institutional) are identified as part of the selected
remedy in the ROD(s) or other remedy decision document(s), such as an Explanation of
Significant Differences (ESD) or ROD Amendment, and are in place. SWRAU is an internal
performance measure and is not a reporting of site-specific risk. It is based on information
at the time the determination is made. It may change if the site's conditions change or if
new information is discovered. While the SWRAU measure supports EPA's longstanding
commitment to making land ready for reuse by communities, it is not a measure of actual
reuse nor is it a requirement for use, reuse, or redevelopment. A Superfund site
designated as SWRAU may or may not be in reuse and may not be available for reuse for
a variety of reasons. Information about the SWRAU measure is available on EPA's
Superfund Remedial Performance Measures website. More information about the
SWRAU measure can be found in Chapter 8, titled 'Remedial Program.'
g. Number of National Priorities List Deletions and Partial Deletions
EPA may delete a final NPL site if it determines that no further response is required to
protect human health or the environment. Sites that have been deleted from the NPL
remain eligible for further Superfund-financed remedial action in the unlikely event that
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conditions in the future warrant such action. Partial deletions can also be conducted at
final NPL sites. Specific guidance regarding the criteria and process for deletions is
contained in the Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22,
May 2011). More information about deletions can be found in Chapter 8, titled 'Remedial
Program.'
h. Number of Superfund Cleanup Projects Completed That Address Lead (PB) As a
Contaminant
Accomplishments for this measure are the number of cleanup actions that address lead
as a contaminant as reported by EPA regional offices in SEMS during the fiscal year. The
PB Cleanups performance measure is a subset measure of OSRTI's RAPCs and OEM's
Removals Completed performance measures. Data includes Federal Facilities, PRP, and
SAA sites. This is a five-year long-term performance goal supporting the FY 2022 - 2026
EPA Strategic Plan.
i. Advancing Site Assessment in Communities with Potential Environmental Justice
Concerns
Accomplishments for this measure are the number of sites starting or completing
assessments in locations having seven or more of the 13 Environmental Justice (EJ)
Screening and Mapping Tool (EJScreen) indexes at or above the 80th percentile. Annual
regional goals are established at 20 percent of the region's total number of non-Federal
sites needing assessment that are located in these communities. Progress is tracked
using the SEMS Site Assessment EJ Measure dashboard (SA-D009).
2.B.3 Enforcement Program Measures
a. Total Response Commitments
Total Response Commitments is the total universe of CERCLA enforcement instruments
(Consent Decrees [CDs], Unilateral Administrative Orders [UAOs]), AOCs, Consent
Agreements (CAs), Bankruptcy Settlements, Amendments and Judicial/Civil Judgments
[JGs]) where private and federal 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 response work and/or payments (cash
out) made by parties towards future investigation and cleanup at a site. See Chapter 10,
titled 'Enforcement,' for further discussion on the measure.
b. Total Cost Recovery Settlements
Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost
recovery settlements (CDs, AOCs, 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. See Chapter 10, titled 'Enforcement,' for further
discussion on the measure.
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c. Value of PRP Oversight
The Value of PRP Oversight is the total amount billed to parties for PRP-lead actions where
a settlement document is in place with EPA that provides for payment of federal oversight
costs. See Chapter 10, titled 'Enforcement/ for further discussion on the measure.
d. RD/RA Negotiation Completions Within 365 Days
Each fiscal year, the Superfund Enforcement program counts the number of Remedial
Design/Remedial Action (RD/RA), RD, and RA-only negotiations completed within 365
days of the start of the negotiations. See Chapter 10, titled 'Enforcement,' for further
discussion on the measure.
e. RD/RA Negotiation Completions Over 365 Days
Each fiscal year, the Superfund Enforcement program counts the number of RD/RA, RD,
and RA-only negotiations completed more than 365 days of the start of the negotiations.
See Chapter 10, titled 'Enforcement,' for further discussion on the measure.
2. C ANNUAL PERFORMANCE REPORT AND BUDGET DEVELOPMENT CYCLE
The Agency's budget and the Annual Performance Report 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.
2.C.1 Outyear
Outyear preparation of the Annual Performance Report and budget formulation process
typically 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
Report, agency initiatives, and other emerging priorities. The Annual Performance Report
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.
Historically, 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. Historically, 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 Report
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and Congressional Justification) to Congress by the first Monday in February for the new FY
beginning on October 1.
2.C.2 Planning Year
Historically, 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 forthe new FY. During
Phase I of operating plan development, OCFO sets preliminary targets, based on the President's
budget request, for the national programs to use for developing initial resource allocations for
regional budgets by budget object class (BOC) and other categories so that the financial system
will be ready to make funds available once an appropriation (or continuing resolution) is passed.
OCFO pre-calculates the regional targets for some of these categories, such as budgets for non-
site travel, working capital fund, workforce support, and payroll. The Superfund national program
offices determine resource allocations for the regions for the other BOC categories, including
contracts and interagency agreements, grants and cooperative agreements, and site travel, but
are not required to distinguish the allocations among these BOCs. 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 3, titled 'Financial Management.'
2.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 BFS 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.
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In some years, an appropriation is not enacted by the start of the FY, and Congress passes
one or more continuing resolutions (CR) to fund the government until a final appropriation is
enacted. Under a CR, only a portion of the annual appropriation is made available for the
Agency's use. OCFO issues special guidance to address funding issues under the CR, and any
increases, reductions or mandated redirections are reflected in the Agency's final operating plan.
Under short term CRs, the program offices work very closely with the regions to determine the
funding needs on a monthly (or weekly) basis to ensure that the limited available resources are
allocated where needed.
Superfund HQ program offices expect regions to work within the annual regional
Superfund budgets allocated to them. Agency-wide policy allows regions and HQ offices to shift
resources among programs (e.g., Superfund remedial and Superfund enforcement) on a limited
basis throughout the year as long as they are consistent with specific program office and OCFO
policies regarding those shifts. Within a specific program (e.g., Superfund remedial), regional
Superfund program offices may shift appropriated funds among site allowances (e.g., Pipeline
Operations and Remedial Action), but only with prior HQ program office approval. Historically,
HQ program offices may also use a mid-year 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 2.2 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 2.2. BUDGET PLANNING TIMELINE
Month
Outyear Budget
(FY 2)
Planning Year Budget
(FY1)
Current Year Budget
(FYO)
October
(From September Outyear Budget
FY)
(From September Plan Budget FY)
Congress provides resources to the
Agency in the form of an annual
appropriation or continuing
resolution.
OCFO loads resources into Compass
enabling spending, and once the
appropriation is enacted, EPA
submits the Agency's Operating
Plan to Congress to finalize the
enacted budget. OLEM develops
preliminary ongoing construction
funding plan and issues first quarter
RA and Pipeline Operations Site
Allowance resources to regions.
OECA approve allocation of the
initial technical Enforcement Site
Allowance and the Full Year Site
Allowance for the legal case budget
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Month
Outyear Budget
(FY 2)
Planning Year Budget
(FY1)
Current Year Budget
(FYO)
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 call memo for
remaining 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 1 operating plan development
data are entered into BFS.
OECA develops allocation of
Enforcement Site Allowance for
Phase 1 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).
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2.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.
2.D.1 Third Quarter
a. Current Year Performance Tracking
On the sixth working day of April, OSRTI pulls second quarter planning and
accomplishment data forthe current FY from SEMS. Generally, OSRE pulls second-quarter
enforcement accomplishments data from SEMS and other systems on the eleventh
working day of April.
Historically, shortly after the sixth working day of April, OSRTI transfers mid-year annual
Performance Measures data into BFS.
Historically, in the April/May timeframe, HQ and the regions may 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. Special Accounts are discussed further in section
3.K of Chapter 3, titled 'Financial Management.'
b. Planning for the Upcoming Year
Each year, OSRTI issues a Superfund Remedial Data Call memorandum with guidance for
preparing program plans. The data call memorandum includes the schedule, scope, and
areas of emphasis for developing the priorities, targets, and budgets for the upcoming
three years.
In spring/summer, OSRE issues a separate Work Planning memorandum that provides
planning guidance and instructions for developing the upcoming year's priorities, targets
and budgets for the Superfund enforcement program. The memo informs regions of what
to expect during the Work Planning process such as data requirements, meeting
requirements and focus areas.
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 are determined on an annual basis.
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Work planning sessions allow both HQ program offices and the regions to communicate
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.
2.D.2 Fourth Quarter
a. Planning for the Upcoming Year
HQ staff holds work planning meetings with each region once a year. Pursuant to the
guidance in the Superfund Remedial Work Planning memorandum, 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 Remedial
Acquisition Framework (RAF) task order plans for Fiscal Years 2019-2028. 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 RAF into project
planning, more strategically manage Special Accounts, and improve overall program
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 Report
commitments and ensure that the accomplishment data are entered into SEMS, BFS, and
ICIS in a timely manner.
2.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.
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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 BFS 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 BFS. Historically, HQ will publicly report these accomplishments in late
October through mid-November. This schedule allows regions the 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,
OSRE also 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 as well. OECA's
accomplishments reporting schedule differs from Superfund's. Each year, OECA issues the
current FY's reporting plan. The 'Reporting Plan' describes the enforcement and
compliance reporting requirements for regional and OECA offices, including key dates for
second-quarter and end-of-year data entry and reporting as well as data certification
deadlines. Typically, the annual 'Reporting Plan' is distributed to the regions in April.
2.E 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 and
dashboards 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, work planning, performance on
annual commitments and other internal program measures and provide a comprehensive picture
of program activity.
2.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 with 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.
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• SCAP-004: The Financial Report will display aggregate dollars by program area and
provide both site-specific and non-site-specific backup from SEMS. There will be various
options available to run the report by specific program areas.
• SCAP-013: The Site Assessment Report is used for reporting site assessment plans and
accomplishments. This report tracks a wide range of site assessment activities and
complements the remedial site assessment completion data included in 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-D014: Site Assessment Accomplishments dashboard is used to report the results of
assessments completed during the fiscal year and the number of sites needing remedial
assessment.
• SA-D009: Site Assessment EJ Measure dashboard is used to report progress on the
Advancing Site Assessment in Communities with Potential EJ Concerns measure
2.E.2 OSRE Management Reports
• ENFR-003: The Settlement Master Report is OSRE's official accomplishments report. The
report displays the total universe of CERCLA enforcement instruments where parties have
agreed to conduct cleanup work and/or make cash payments toward future site cleanup
as well as reimburse EPA for past costs spent at their sites. The report displays and
summarizes all settlements and orders completed during the user-selected time frame
including the Value of Past Costs and Cashout settlements, and the Estimated Value of
PRP Response.
• ENFR-007: The De Minimis Settlement Report displays administrative and judicial
settlements with PRPs qualified as de minimis parties. The report provides the associated
number of parties as well as the total number of de minimis settlements and the number
of sites at which de minimis settlements were signed.
• ENFR-011: The Ongoing 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 for 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 displays completed
RODs and ROD Amendments and corresponding RD/RA negotiations where they exist.
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The report is categorized into RD/RA negotiations started from signed ROD and No RD/RA
negotiations started from signed ROD. The report calculates the duration of the ROD to
the RD/RA Negotiation start and the duration of the ongoing RD/RA Negotiation.
• 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. Unlike the ENFR-
03 report however, the ENFR-025 report displays UAOs where Notice of Intent to Comply
have not been received.
• ENFR-023 a. b and ENFR-024 a. b. c: Compliance Monitoring reports are a suite of reports
used to track compliance with active CERCLA enforcement instruments that include work
obligations.
• ENFR-067f: Financial Assurance Audit report is used to track open work settlements
where financial assurance is required and to identify where SEMS financial assurance data
is incomplete and/or where financial assurance is not adequate.
• SCAP 14G: Superfund Accomplishments report, sorts government performed pipeline
activities into two categories: those funded with Special Account and /or mixed source
financing and those without. The report allows OSRE to easily identify government-
performed activities that are financed through responsible party contributions.
• ENFR-004: PRP Party Listing report displays the user-selected PRP names and all sites
where the PRPs are either a party to an enforcement instrument and/or has been noticed
as a potential party at a site. The site name, party name and enforcement instrument(s)
are listed on the report.
• ENFR-036: RD/RA Negotiations Ongoing and Accomplishments report displays by
duration categories (e.g., between 60 and 120 days) all ongoing RD/RA, RD-only, and RA-
only negotiations and accomplishments for the user selected fiscal year.
• ENFR-062: Measure 2 Issuance of Comfort Status Letters report displays all sites where
comfort status letters have been issued during the user selected fiscal year.
• ENFR-006: Litigation Master report provides a site-specific breakdown of litigation
referrals and their associated milestone, remedy, and financial information.
2.E.3 FFRRO Management Reports
• FFRRO developed the Federal Facilities Work Planning module as a supplement to some
of the retired FF SEMS Reports. Regions can access the work planning module. Regions
should reach out to FFRRO's data coordinator for access. The Federal Facility
Accomplishments Report is a subset of the SCAP-014 report (see 'report option'
dropdown in SCAP-014). 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 the Federal Facility data issues detected
in SEMS for the selected FY.
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• 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 25
Chapter 3: Financial Management
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CHAPTER 3: Financial Management
Table of Contents
3.A Introduction 1
3.B Financial Management Roles and Responsibilities 1
3.B.1 Regional Organization Financial Roles and Responsibilities 1
a. Regional Administrator (unless delegated) 1
b. Regional Finance Office (RFO) 2
c. Regional Program Office (RPO) 2
d. Administrative Support Unit 3
3.B.2 Regional Staff Financial Roles and Responsibilities 3
a. On-Scene Coordinator (OSC) 3
b. Remedial Project Manager (RPM) 3
c. Regional Contracting Officer's Representative (COR) 4
d. Regional Interagency Acquisition Agreement (IAA) and Grants Project Officer
(GPO) 4
3.B.3 Headquarters Support Office Financial Roles and Responsibilities 4
a. Cincinnati Finance Center (CFC), Office of the Controller, OCFO 5
b. Office of Acquisition Solutions (OAS), OMS 5
c. Office of Budget (OB), OCFO 5
d. Office of the Controller, OCFO 5
e. Office of Grants and Debarment (OGD), OMS 6
f Research Triangle Park (RTP) Finance Center, Office of Controller, OCFO 6
3.C Superfund Accounting Information 6
3.C.1 Superfund Account Number 6
3.D Financial Data Management Tools 11
3.D.1 Budget Formulation System (BFS) 11
3.D.2 Compass 11
3.D.3 Compass Data Warehouse (CDW) 11
3.D.4 Compass Business Objects Reporting Tool (CBOR) 12
3.D.5 Superfund Enterprise Management System (SEMS) 12
3.E Handling Financial Data in the SEMS Environment. 12
3.F Financial Vehicles 13
3.F.1 Contracts 13
3.F.2 Interagency Agreements 14
3.F.3 Cooperative Agreements 14
3.F.4 Grants 14
3.G Allocating Superfund Resources Among the Regions 15
3.G.1 Managing Site Allowance Resources in SEMS 15
3.G.2 Using Prior Year Funds 16
a. Carryover 16
b. Deobligations 16
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3.G.3 Removal Program Resources (PRC 000DC6) 17
3.G.4 Homeland Security Resources (PRC 000D72) 18
3.G.5 Remedial Response Program Resources (PRC 000DD2) 18
a. Remedial Action Site Allowance 18
b. Pipeline Operations Site Allowance 19
3.G.6 Superfund Federal Facilities Response Program (PRC 000DC9) 20
3.G.7 Base Realignment and Closure (BRAC) 20
3.G.8 Superfund Enforcement Program (PRC 000EC7) 20
3.G.9 Federal Facilities Enforcement Program Resources (PRC 000EH2) 21
3.H Cost Recovery 21
3.H.1 Recoverable Costs 22
a. Direct Costs 22
b. Contractors' Annual Allocation Costs 23
c. Indirect Costs 23
3.1 Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) 24
3.1.1 WQSSID, WQ Action Code, and WQ Operable Unit 24
a. WQ SSID 24
b. WQ Action Code 25
c. WQ Operable Unit 25
3.1.2 ZZ SSID 25
3.1.3 00 SSID 26
3.1.4 Redistributing Superfund Costs 26
3.J Superfund State Contracts (SSC) and Cooperative Agreements 26
3.J.1 Cost Share Provisions 27
3.J.2 Constraints on Obligating Funds for RA 27
3.J.3 Cost Share Payments 28
3.J.4 Using Funds from State Cost Share Payments 29
3.J.5 Close Out Process for SSCs 29
3.K Special Accounts 30
3.L Infrastructure Investment And Jobs Act (iija) 31
3.L.1 Beginning Budget Fiscal Year (BBFY) and Fund Codes 32
3.L.2 Superfund Remedial Program Project 32
3.L.3 Management and Oversight Program Project 32
3.L.4 Use of Superfund Remedial BIL Funds for Aircraft 33
3.L.5 Spend Plans and Advice of Allowance Memorandums 33
3.L.6 Tracking and Use of Deobligated IIJA Funds 33
3.L.7 Using Multiple Superfund Fund Codes on the Same Funding Action 33
3.L.8 Bulk Funding 34
3.M Superfund Tax Receipts 34
3.M.1 Superfund Tax Allocation 34
3.M.2 Superfund Tax Fund Codes 35
3.M.3 Using Multiple Superfund Fund Codes on the Same Funding Action 35
3.N Use of Superfund Funds for Aircraft 35
3.0 Sites With No Other Sources of Funding 35
3.P Using the Fiduciary Reserve to Address Cost Overruns 36
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List of Exhibits
Exhibit 3.1. Superfund Account Number Structure 7
Exhibit 3.2. Sample Superfund Appropriation Codes (Not Inclusive) 10
Exhibit 3.3. Superfund Program Results Codes and Site Allowance Codes 10
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CHAPTER 3: FINANCIAL MANAGEMENT
3.A INTRODUCTION
This chapter introduces certain financial management components important to the
Superfund program. The following section outlines the 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 various financial data
management systems and tools for tracking Superfund costs; how financial data are handled in
the Superfund Enterprise Management System (SEMS) environment; the 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.
3.B FINANCIAL MANAGEMENT ROLES AND RESPONSIBILITIES
Due to the complexities of the Superfund program, multiple 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.
3.B.1 Regional Organization Financial Roles and Responsibilities
a. Regional Administrator (unless delegated)
• Approves cleanup actions under removal authority.
• Approves consistency exemptions at National Priorities List (NPL) sites where the
removal costs are more than $2 million.
• Awards Interagency Agreements (lAs), Cooperative Agreements (CAs), and
Technical Assistance Grants (TAGs).
• Enters into SSCs.
• Initiates response planning activities.
• 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).
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b. Regional Finance Office (RFO)
• Processes Procurement Requests (PRs), Requisitions (REQs), and commitment
notices (CNs).
• Establishes Site/Spill Identifier (SSID) at the request of the Regional Program
Office (RPO).
• Assigns Superfund Account Number, Document Control Number (DCN), and
Cooperative Agreement (CA) identification number to funding documents.
• Controls regional site allowances.
• 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.
• 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.
• Provides updates to Cincinnati Finance Center (CFC) for the SSC quarterly
accrual.
• Enters reprogramming information for recertification of deobligated/reclassified
amounts into Compass.
• Conducts redistribution of costs to various sites as requested by approving
official once invoices are paid.
Note that some of these functions may be performed by the RPO, Office of the Controller
Finance Centers, or other organizational units in some regions.
c. Regional Program Office (RPO)
• Prepares CNs, Requisitions (REQs), and Procurement Requests (PRs).
• Assigns Superfund Account Number as generated in SEMS to funding documents.
• Provides technical support to the Contracting Officer (CO).
• Reviews vouchers and/or financial reports.
• Manages CAs and lAs.
• Requests SSIDs from the Regional Finance Office (RFO).
• Develops SSCs.
• Provides updates to CFC for the SSC quarterly accrual.
• Monitors the transfer of financial data on contracts, lAs, and CAs from Compass
into 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) and of any
reclassified amounts.
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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 (OSCs) and Remedial
Project Managers (RPMs).
• 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, RPO, or other
organizational units in some regions.
3.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 (in coordination with the Regional Contracting Officer's Representative
[COR]) PRs, REQs, Contract Tasks, CAs, lAs.
• Approves site-specific and non-site-specific contractor and IA invoices.
• Establishes and maintains the official site file.
• Reviews and approves cleanup contractors' charges daily.
• Tracks site costs against the established site ceiling.
• Acquires services using a warrant for up to $250,000.
b. Remedial Project Manager (RPM)
• Individual is an EPA employee.
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• 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 and approves 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 lAs (in coordination with the Regional Project
Officer).
• Serves as the COR on contracts.
• Approves site-specific IA invoices.
c. Regional Contracting Officer's Representative (COR)
• 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 (in coordination with the RPM or OSC) REQs, PRs, and site-specific
contracts.
• Prepares Advanced Procurement Plan (APP) or Task Order Package, including
contract Statement of Work and Independent Government Estimate (IGE), for
procurement of Superfund Mission contracts such as Superfund Technical
Assistance and Response Team (START), Design and Engineering Services (DES),
Remediation Environmental Services (RES), Environmental Services and
Operations (ESO), and Emergency and Rapid Response Services (ERRS).
• Identifies regional and site-specific contract requirements.
• Provides general contract management support.
d. Regional Interagency Acquisition Agreement (IAA) and Grants Project Officer
(GPO)
• Individual is an EPA employee.
• Monitors partners' activities.
• Approves site-specific IA invoices.
• Reviews monthly reports and site-specific attachments.
• Initiates Commitment Notices, Funding Recommendations, and Decision
Memorandums for CA and Interagency Acquisition Agreements (IAA).
3.B.3 Headquarters Support Office Financial Roles and Responsibilities
Selected program offices in Headquarters (HQ), particularly within the OCFO and the
Office of Mission Support (OMS), also have Superfund financial management responsibilities.
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With respect to the Office of Land and Emergency Management (OLEM) and the Office of
Enforcement and Compliance Assurance (OECA), the national response and enforcement
program offices can address financial management issues associated with their programs. Refer
to Appendix A to identify the appropriate contacts within each office. Other Superfund financial
management functions provided by EPA's HQ support offices are briefly described below.
a. Cincinnati Finance Center (CFC), Office of the Controller, OCFO
• Provides accounting support for all Superfund lAs.
• Processes disbursement requests from other agencies.
• Issues and processes disbursements for reimbursable activities (e.g., special
accounts).
• Enters IA obligations and disbursements into Compass.
• Enters all reclassification transactions into Compass.
• Records remedial state cost-share credits into Compass.
• Calculates quarterly accruals for SSCs.
• Monitors negative available balances in special accounts on a monthly basis.
• Calculates and applies interest earned to special accounts.
• Processes and approves all travel vouchers.
b. Office of Acquisition Solutions (OAS), OMS
• 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.
c. Office of Budget (OB), 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.
d. Office of the Controller, OCFO
• Collects HQ Superfund cost documentation for cost recovery.
• Develops and issues Superfund indirect cost rates.
• Develops financial policies and procedures.
• Provides general accounting support.
• Manages investments in the Superfund Trust Fund and calculates interest rates.
• Establishes and maintains accounting models in Compass.
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• Receives Superfund tax receipt collection amounts from the Department of
Treasury each quarter.
e. Office of Grants and Debarment (OGD), OMS
• Issues policies, regulations, and guidance for processing, awarding, and
managing financial assistance agreements and lAs.
• Issues identification numbers for all lAs.
• Processes and awards HQ lAs.
f. Research Triangle Park (RTP) Finance Center, Office of Controller, 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 Invoice Processing Platform (IPP).
Completes corrections on contracts and simplified acquisitions.
• Provides support of Grant Payments and financial closeout of Assistance
Agreements for all 11 Grant Award Offices.
• Processes payments under EPA's Local Government Reimbursement (LGR)
program for hazardous substance, pollutant, or contaminant threat response.
• Provides consolidation and certification of EPA's daily grant, vendor, and travel
payments through the Treasury's Secure Payment System.
3. C SUPERFUND A CCOUNTING IN FORMA TION
The Agency's financial account number structure is integral to the Agency's management
of financial resources and is used for processing and tracking financial transactions in Compass,
the Agency's financial management system. All financial transactions entered in Compass use the
first four data element fields described below. 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; two additional data
fields, Project and Cost Org, serve this purpose. Court actions and cost recovery negotiations with
Potentially Responsible Parties (PRPs) require careful documentation of federal costs incurred at
each SSID.
3.C.1 Superfund Account Number
The Superfund account number structure is comprised of six fields of data elements that
identify the specific nature of the expense. These fields are the budget fiscal year; fund (or
appropriation); organization; program results code (PRC); project; and cost organization. Exhibit
3.1. provides an example of an account number and a brief explanation of each field. The sections
after the table provide more detail on each field.
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EXHIBIT 3.1. SUPERFUND ACCOUNT NUMBER STRUCTURE
Budget Fiscal
Year
Fund
Budget
Organization
Program Results Code
Project
Cost/Org
2018
T R 2 A
7 A 0 0 P
0 0 0 D D 2
0723RA01
C 0 0 2
Data Element Field Name
Definition
Sample Entry
Budget Fiscal Year
(eight characters)
The first four positions in this field identify the beginning budget fiscal year
(e.g., '2018'). The last four positions in this field identify the ending budget
fiscal year (for expiring funds), but since Superfund funds are generally
available until expended and do not expire these positions are not generally
used by the Superfund program and should be left blank.
201 8
Fund
(six characters)
The type of appropriation in this field has up to four characters indicating
appropriation accounts and sub-accounts, also known as "fund codes." The
Superfund no-year 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 fund
codes are available for use in the current fiscal year. The most frequently
used codes for obligation of Superfund resources are identified in exhibit 3.2.
TR 2 A
The Budget Organization field includes the Allowance Holder/Responsibility
Center (AHRC) code, the Responsibility Center, and the Superfund site
allowance code.
Budget Organization
(seven characters)
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), and the fourth position
has multiple region or HQ specific uses.
The fifth position represents the Superfund site allowance code (shown in
exhibit 3.3.) within the Response 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 for counter-terrorism response) or to
further identify resources beyond the fund code and PRC (e.g., RSF for
7A00P
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Data Element Field Name
Definition
Sample Entry
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.
Regions may use a combination of characters within the Budget Organization
Field to identify special account numbers for the use of special account
resources. This practice varies across regions. Please contact OSRTI's special
accounts coordinator or CFC for information about use of the Budget Org
field for special account numbers.
Program Results Code (PRC)
(nine characters)
The first six positions identify the PRC. In prior fiscal years, the Agency
financial strategic architecture was designed to reflect the Agency Strategic
Plan and annual commitments made under the Government Performance
and Results Act (GPRA). For example, under EPA's 2014 - 2018 Strategic Plan
resources for Superfund Response programs were found under Goal 3,
Objective 03 (the first three positions of the PRC were "303"), and resources
for the Superfund enforcement and Federal Facilities enforcement programs
were found under Goal 5, Objective 01 (the first three positions of the PRC
were "501"). As of FY 2018, the Agency Strategic Plan goals and objectives
are no longer part of the accounting structure for budget execution, so the
first three positions of the PRC are all filled with zeros.
The next three positions identify the NPM and program/project. The most
common NPMs (fourth position of the PRC) associated with Superfund are
OLEM (D), OECA (E), OCFO (J), and ORD (F). Program/projects (fifth and sixth
positions of the PRC) further distinguish the nature of the work within each
Superfund 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'). Descriptions of
the activities undertaken by each program project can be found in the
Annual Performance Plan and Congressional Justification submitted to
Congress each year, Positions seven through nine are reserved for special
use, such as an RPIO activity code. In FYs 2018 and 2019, the RPIO activity
code XIN was used to differentiate "Infrastructure" funding that was
included in each of those years' appropriations. Other common RPIO activity
codes used for Superfund resources include XRL (regional laboratory
support) and XW2 (workforce support).
Exhibit 3.3. 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 found 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.
000DD2
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Data Element Field Name
Definition
Sample Entry
Project
(eight characters representing
different financial components-
SSID, Action Code, and Operable
Unit)
The first four positions define the SSID (also known as site/spill identifier),
which the Agency uses to account for and to compile Superfund costs by site
(i.e., Superfund format). 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. 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.
Further detail on site-specific and non-site SSIDs is found in section 3.1.
Positions five and six represent the action code, which is a two-character
alpha code, a listing of which can be found in Chapter 4, exhibit 4.3 or the FY
2016 Dictionary of Superfund Action Codes for Compass Financial
Transactions issued by OCFO, OLEM, and OECA.
The Operable Unit number is entered in positions seven and eight (e.g., '01'
for Operable Unit 01). The two-letter state code can be used in the OU
positions for non-site cooperative agreements awarded to states, consistent
with the FY 2016 Dictionarv of Suoerfund Action Codes for Comoass
Financial Transactions.
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 and overwrites the IT-related information
because special account funds can only be spent site-specifically.
07 23RA01
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.
COO 2
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EXHIBIT 3.2. SAMPLE SUPERFUND APPROPRIATION CODES (NOTINCLUSIVE)
Fund
Code
Title
T
Superfund annual congressional appropriations (this fund code is also used for funds obligated in the fiscal year
[FY] prior to current FY and deobligated in current FY (such funds continue to reflect original the budget fiscal year
[BFY)])
TC
Superfund Carryover
TD
Superfund Deobligations (recertified for obligation in current FY)
TR
Superfund Reimbursable - Funds-in Interagency Agreements
TR1
Superfund Reimbursable - SSC (state cost-share funds)
TR2
Non-Federal Special Accounts Future Costs
TR2A
Federal Special Accounts Future and Past costs
TR2B
Non-Federal Special Accounts Past Costs and Interest
TSD
Superfund Remedial Infrastructure Investment and Jobs Act (IIJA) Appropriation
TT
Superfund Tax Receipts
EXHIBIT 3.3. SUPERFUND PROGRAM RESULTS CODES AND SITE ALLOWANCE CODES
Program
Program Results
Code
NPM
Site Allowance Name
Site Allowance Code (BFS Local
Code)
Remedial Program
000DD2
OLEM
Remedial Action
R
Pipeline Operations
P
000FD2
ORD
Pipeline Operations
P
Emergency Response and
Removal
000DC6
OLEM
Removal and Removal
Support
E
000FC6
ORD
Removal and Removal
Support
E
Homeland Security
000D72
OLEM
Homeland Security
C
000F72
ORD
Federal Facility Response
000DC9
OLEM
Federal Facility Response
F
000FC9
ORD
BRAC (non-site)
000D41
OLEM
none
BRAC (site-specific)
000D41B4
OLEM
none
Superfund Enforcement
000EC7
OECA
none
000JC7
OCFO
000FC7
ORD
Federal Facility
Enforcement
000EH2
OECA
none
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3. D FINANCIAL DA TA MAN A GEMENT TOOLS
The following data management systems and tools are used to plan and track the use of
EPA and Superfund resources.
3.D.1 Budget Formulation System (BFS)
Budget Formulation System (BFS) is the central EPA system that contains resource (dollars
and full-time equivalent [FTE]), planning, and performance data used to support budget
formulation, annual planning, and operating plan development. EPA also uses BFS to record and
track regional commitments of performance targets within the agency and project-based
planning/resource allocations within Offices. Reprogrammings that will move congressional
annual appropriated funds between program projects should be entered into BFS.
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 BFS.
3.D.2 Compass
Compass is the comprehensive name for EPA's financial management and reporting
system. Compass contains 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 a number of agency financial
systems, including the Bank Card Payment System, the Fellowship Payment System (FPS), the
Integrated Grants Management System (IGMS), Next Generation Grants System (NGGS), Concur
(the agency's travel service provider), Property Inventory, eBusiness, the Grants Payment
Allocation System (GPAS), BFS, 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 Invoice
Processing Platform (IPP), and PeoplePlus.
Reporting out of Compass may be done through the Compass Business Objects Reporting
Tool or the Compass Data Warehouse.
3.D.3 Compass Data Warehouse (CDW)
The Compass Data Warehouse (CDW) is an official agency reporting tool available only to
EPA users that contains a collection of financial and administrative data pulled from Compass and
other agency systems. 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. The CDW intranet site has 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 did
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not migrate. Neither CDW nor FDW contains certain pre-IFMS financial data, which are stored by
OCFO elsewhere.
3.D.4 Compass Business Objects Reporting Tool (CBOR)
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:
• 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.
3.D.5 Superfund Enterprise Management System (SEMS)
SEMS houses Superfund site- and non-site-specific data, including the financial planning
data used by program managers to monitor resource needs and uses. SEMS contains various
screens and reports that support program planning and performance (see Chapter 2, titled
'Performance Measures, Planning and Reporting Requirements'). Regions enter planned
obligations in SEMS. HQ and regions use 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 or compromise
the acquisition process.
SEMS also imports Compass data on Superfund financial transactions (commitments,
obligations, payments) 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 number used for resource
planning matching the account number associated with the financial transactions in Compass.
Exhibit 3.1. details how SEMS matches Compass data with activities in the site schedule. Compass
financial information in SEMS is used for management purposes only and is not an official
representation of Superfund incurred costs or used for external reporting.
3.E HANDLING FINANCIAL DA TA IN THE SEMS ENVIRONMENT
When regions plan resources in SEMS, the site and non-site obligation planning screens
in SEMS generate Superfund account numbers (i.e., Budget Fiscal Year, Fund Code, Budget
Organization, PRC, Project, Cost Organization, Financial Object Class) that are used as the basis
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for initiating 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 for entry into Compass. For certain
transactions, such as special account financial transactions, the account number generated by
SEMS may need to be altered when entered into Compass (i.e., if the Budget Organization code
is used to identify the special account number, SEMS may not generate the correct Budget
Organization data for that special account transaction). Any Compass financial transaction
transferred to SEMS that does not match up with a SEMS account number will end up on the
SEMS Compass exceptions screen.
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 the account number or other information on the original funding document can
only be corrected by the same process used to create the initial financial record (i.e., by a contract
modification or by amendment to the IA or CA). Unmatched financial transactions may be linked
manually to the associated SEMS action in the SEMS Compass exceptions screen. Some
exceptions are the result of 00 obligations being redistributed to sites; these exceptions are also
addressed by linking the financial transactions to the SEMS action.
3.F FINANCIAL VEHICLES
EPA uses a variety of acquisition vehicles to carry out Superfund response actions. 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.
3.F.1 Contracts
Superfund contracts are awarded through standard procurement procedures as outlined
in the Federal Acquisition Regulations (FAR) and EPA Acquisition Guidelines (EPAAG). The most
common contract vehicles include DES, ESO, RES, START, ERRS, Contract Laboratory Program
(CLP), and Environmental Services Assistance Team (ESAT). There are three basic types of
contracting within Superfund: site-specific, non-site-specific, and mission support contracts. Site-
specific contracts are generally awarded to support work at a single 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. 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 also may 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 3.1. Site Charging Policy.
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The Remedial Acquisition Framework (RAF) includes 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. The Design
and Engineering Services (DES) contract provides architecture and engineering (A&E) services
from investigations through preparing the remedial design. The Remediation Environmental
Services (RES) contract provides remedial action services and construction. The Environmental
Services and Operations (ESO) contract provides oversight and cleanup operations, as needed.
3.F.2 Interagency Agreements
An interagency agreement is a written agreement between federal agencies under which
goods and services are provided. The Superfund program uses Disbursement lAs to request
another federal agency's assistance with site cleanups and associated activities, and to provide
ongoing support or services. HQ manages lAs with other agencies, including but not limited to,
USCG, Department of Justice (DOJ), U.S. Fish and Wildlife Service (FWS), National Oceanic and
Atmospheric Administration (NOAA), and United States Army Corps of Engineers (USACE). Each
IA specifies the services required and identifies the method of payment. The regional program
offices initiate and manage site-specific lAs, as well as some that are awarded for the purpose of
providing technical assistance at multiple sites.
3.F.3 Cooperative Agreements
A Superfund CA is a financial instrument between the federal government and a state,
political subdivision, or Indian tribe (including intertribal consortia) to provide funding for the
design and implementation of Superfund responses. Superfund CAs serve several purposes,
including pre-remedial activities, enforcement, site-specific removal and remedial responses,
support agency functions, and general support for state and tribal Superfund programs. These
CAs have unique provisions that are described in 40 CFR Part 35 Subpart 0, including satisfying
the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
provisions regarding state and tribal involvement and documenting required CERCLA assurances
for remedial actions such as state cost share.
Several offices are involved in the commitment process for a CA. The RPO prepares the
funding recommendation using the standard template in NGGS (new awards), generates the
commitment notice, and obtains the necessary program approvals; the regional finance office
certifies availability of funds, assigns DCN, and enters commitments in Compass; and the Grants
Administration Division assigns the CA identification number. The Regional Administrator (or
designee) must sign the CA before funds may be obligated. The Research Triangle Park Finance
Center processes the obligation in accordance with the Office of Acquisition Management (OAM),
Grants Administration Division (GAD), and Office of Controller requirements and then enters the
obligation into Compass.
3.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
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Reauthorization Act of 1986 (SARA), that was established to provide technical assistance to
eligible communities. TAGs are available at NPL sites and sites proposed to the NPL where
response actions have begun. An initial grant of 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.
3.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, which the national program offices may track using CDW.
Each site allowance represents a national program office's annual allocation of extramural
resources issued to the regions to fund specific program functions. Extramural resources are
typically reprogrammed to regions in three budget object class (BOC) codes; the resources can
subsequently be moved between BOCs as needed. The BOCs:
• BOC 36 = Administrative expenses
• BOC 37 = Contracts and Interagency Agreements
• BOC 41 = Grants and Cooperative Agreements
The national program offices also use 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). Travel resources are not planned in
SEMS. Regions may use their discretion to plan the use of BOC 38 resources, which occasionally
will be allocated from regional site allowances to fund, for example, information technology (IT)
functions or aerial surveys, in SEMS. Other resources, such as those used to pay claims, are also
not generally directly planned in SEMS.
3.G.1 Managing Site Allowance Resources in SEMS
Regions 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 the total funding required for an action within a region (i.e., bulk funding).
Regions should make sure all anticipated programmatic funding needs are reflected in SEMS and
that the appropriate program site allowance is being used.
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 allowances 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.
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3.G.2 Using 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, Superfund appropriated resources remain in Compass available for
obligation for two years. 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. Headquarters and regions should
continue to strive for 100% obligation of funds in the year they are appropriated and
minimize carryover.
At the discretion of the OSRTI Office Director, OSRTI may sweep and redistribute
unallocated funds at the end of a fiscal year. If a region wants to carryforward unobligated
funds, it must provide OSRTI with a justification for carrying funds forward and how the
funds will be obligated in the next fiscal year.
Reimbursable authority for special account and Superfund state cost-share resources is
automatically carried over by OCFO (the funds are typically made available by mid-
October each fiscal year). OCFO monitors the utilization of carried over and requested
reimbursable authority to ensure resources requested are being utilized.
b. Deobligations
For various reasons, a region will find that a portion of the funds obligated to an
acquisition vehicle for performance of an action is no longer necessary on that vehicle;
the unexpended amount is referred to as an unliquidated obligation. Because Superfund
appropriations are no-year funds, under OCFO policy EPA may deobligate funds
appropriated and obligated in a prior year for use in a subsequent year. The deobligation
and reuse of prior year funds is a good fiscal management practice and required to
maintain the program's financial integrity. When obligating funds, deobligated funds
must be used before current year funds. Generally, funds obligated in the current fiscal
year or the fiscal year prior to current fiscal year return directly to the allowance holder
upon deobligation and do not require recertification. However, if a program deobligates
funds that were issued two or more years prior (e.g., BFY 2019 or earlier (if the current
year is BFY 2021)), 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), Office of Emergency Management (OEM), and Federal Facilities
Restoration and Reuse Office (FFRRO), as necessary. Appropriated funds made available
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from special account or SSC reclassifications must also be recertified consistent with the
Recertification Policy.
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
reprogram a portion of the prior year recertified appropriated funds to the national
program office (to a 'National Pool'), who may redistribute these funds to other regional
offices based on national priorities. The region would retain the balance for obligation in
the current fiscal year.
Superfund Remedial Infrastructure Investment and Jobs Act (IIJA) funds will remain in
Beginning Budget Fiscal Year (BBFY) 2022 and retain their TSD fund code until expended.
As a result, deobligated TSD funds in future fiscal years will appear available in the
allowance holder of the original obligation as BBFY 2022 TSD funds and will not need to
be recertified. As outlined in the memo issued on February 21, 2023, "Procedures for
Deobligated Superfund Remedial Bipartisan Infrastructure Law Funds," all deobligated
Superfund Remedial IIJA funds should be reprogrammed by regions 100 percent to the
National Remedial Pool (PRC code 000DD2, budget organization code 9R) as soon as they
become available in the obligating Allowance Holder. Exceptions to this policy for 100%
of deobligated IIJA funds to be reprogrammed to the National Remedial Pool must be
approved by OSRTI and include, but are not limited to: Shifting site-specific resources
from contracts, cooperative agreements, and interagency agreements (lAs) to new
agreements for the same action at the same site, shifting site-specific resources from base
or option periods under the same task order, or shifting ongoing work to new contractors
due to conflict of interest. Regions should notify OSRTI/CPCMB in these situations.
Special account and Superfund state cost share (reimbursable) resources that are
deobligated do not need to be recertified to be made available for use. Those amounts
return automatically to the special account or reimbursable account and are available for
obligation.
3.G.3 Removal Program Resources (PRC 000DC6)
OEM manages the removal response program budget. Removal extramural 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). NOTE: In prior fiscal years, Superfund
Removal resources were also allocated in a site allowance code of "S" that is no longer used for
new obligations. This allowance provides 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 the enactment of the annual appropriations and establishment of the Agency's
operating plan, HQ issues funding to the regions in two or more increments. The first increment
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is distributed during the first quarter of the fiscal year and subsequent increments generally into
the second 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 providing 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).
3.G.4 Homeland Security Resources (PRC 000D72)
OEM manages the Homeland Security program budget. The 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.
3.G.5 Remedial Response Program Resources (PRC 000DD2)
OSRTI manages the Superfund Remedial response program budget. The Superfund
Remedial program addresses many of the worst contaminated areas in the United States by
investigating contamination and implementing long-term cleanup remedies at sites on the
National Priorities List (NPL). The Program also oversees response work conducted by PRPs at
NPL and Superfund Alternative Approach (SAA) sites. Remedial extramural resources are
allocated in two site allowances: Remedial Action (RA) and Pipeline Operations. Each year OSRTI
determines the amount of funding to allocate to these site allowances based on the process for
developing the Agency's annual budget.
Planned obligations for the Pipeline Operations and RA site allowances are reviewed per
the instructions provided in the OSRTI annual data call/work planning memo, which is typically
issued in the summer and focuses on three fiscal years—the year which is being entered into,
plus the two out-years (e.g., if entering FY 2022, then work planning discussions would focus on
FY 2022-2024). The three-year focus supports budget justifications and forecasts, RAF integration
into project planning, managing special accounts, utilization of obligated funds, and overall
program performance. Regions are encouraged to update SEMS to reflect known/likely funding
needs beyond the three years.
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
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obligations site-specifically into SEMS for all actions funded through the RA Site
Allowance.
Throughout the year, OSRTI works with the regions to develop funding plans for the
upcoming year with regard to ongoing construction projects, including long-term
response actions and five-year reviews. 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 plans 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 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, as well as additional funding
needs. OSRTI will continually monitor regional obligation rates and usage of the RA Site
Allowance resources in light of regional adjustments to plans throughout the fiscal year.
Based on this monitoring and regular regional reviews, 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 recertifications to the
national pool). 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
The Pipeline Operations Site Allowance (fifth position of the Budget Organization site
allowance code is P) is used to allocate appropriated resources for pre-construction site
activities (e.g., site assessment, remedial investigation, remedial design, etc.) and non-
site extramural activities such as records management. On an annual basis, HQ will
determine the amount of funding to include in the Pipeline Operations Site Allowance
based on available appropriation funds. 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 and approved obligations in SEMS. Guidance on
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entering planned and approved obligations is issued ahead of each fiscal year in the data
call memo.
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.
3.G.6 Superfund Federal Facilities Response Program (PRC 000DC9)
Regional Superfund Federal Facilities response budgets (fifth position of the Budget
Organization code is site allowance code F) are determined during the annual work planning
sessions. If the Agency has an enacted budget, each region will receive 50% of its portion of the
approved budget during the first quarter and will receive the remainder during the third quarter.
If a region has a low obligation/utilization rate, discussions will be held prior to third-quarter
distribution as to what the need is for the remainder of the funds. To request additional funds, a
region should contact Federal Facilities Restoration and Reuse Office (FFRRO) and provide a
description of the amount needed and a justification for the funds. Funds may not be moved out
of the Federal Facilities Site Allowance without the FFRRO office director's prior approval.
3.G.7 Base Realignment and Closure (BRAC)
The EPA/DoD BRAC MOU expired in September 2016 and EPA will no longer participate
at non-NPL BRAC sites. EPA's annual budget request does not include additional support for BRAC
I - IV-related services to DoD at non-NPL facilities. 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. If EPA services are required at BRAC I - IV non-
NPL installations or at levels above its base for non-NPL BRAC V-related installations, EPA would
seek reimbursement from DoD.
3.G.8 Superfund Enforcement Program (PRC 000EC7)
OSRE manages the Superfund enforcement program budget. Superfund legal and
technical enforcement resources are distributed under the program code 000EC7 (program code
000JC7 are Superfund enforcement financial management resources that are managed by OCFO
and program code 000FC7 are Superfund enforcement financial management resources that are
managed by ORD). The resources for this program are not assigned a site allowance code; they
are identified in financial management databases by program/project.
The initial operating budgets 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. The initial allocation may be reduced for a given region if the planned needs as
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reported in the SCAP 4 report are less than the formulated amount. Each region should plan out
Superfund enforcement resource needs and enter planned obligations and accomplishments into
SEMS and ensure all needs reflected on the SCAP 4 report as valid. The 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 will
use the planned obligations as shown on the SCAP 4 report as the basis for preparing the
allocation. OSRE will issue a call to the regions to review those needs and identify any additional
requests for funding. Emphasis is placed on funding program priorities as outlined in the call
memo. The call considers all sources of unallocated funding, including the remaining new
obligating authority, unobligated funds from the previous year, projected reprogrammings,
reclassifications, deobligations, and recertifications as available to fund program needs. The third
quarter allocation will be adjusted accordingly. In addition, unliquidated obligations older than
two years will be considered as available to be deobligated. Regions should review their
unliquidated obligations and determine if reasons exist that would prevent those obligations
from being deobligated and provide that information along with their funding request.
3.G.9 Federal Facilities Enforcement Program Resources (PRC 000EH2)
The Federal Facilities enforcement program budget consists of two components: an
Environmental Programs and Management (EPM) appropriation and a Superfund appropriation,
which are both managed by the Federal Facilities Enforcement Office (FFEO). At the beginning of
the fiscal year, Regions are asked to submit their FFEO funding requests through their Federal
Facility Enforcement Enhancement plans. The Plans outline the region's planned Federal Facility
enforcement and compliance plans for the coming fiscal year, and the regions are requested to
prioritize these funding requests. The resources consist of New Obligating Authority (NOA), and
carryover of prior year funds. The funds are disbursed by project and monitored by HQ. The
resources for this program have not been assigned a site allowance code and are identified in
financial management databases by program/project. Funds may not move into or out of the
enforcement function without Congressional approval. Funds may be redirected within the
Federal Facility Enforcement Site Allowance and to other regions or HQ offices.
3.H COST RECOVERY
CERCLA allows the federal government, states, and some private parties to recover
Superfund response costs from PRPs. EPA is permitted to recover all costs of response that are
found to be not inconsistent with the National Contingency Plan (NCP).
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.
EPA's cost recovery process involves documenting the costs for work at a site (or relating
to a site), evaluating the factors for pursuing recovery of those costs, notifying parties of the costs
along with a demand for payment, and negotiating a payment agreement. The Agency must
document all its cleanup costs so they can be recovered later (see the next section on
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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 incurred and paid for by the government. Costs incurred by EPA are recorded
in Compass via the use of the SSID and are paired and presented alongside images of supporting
cost and technical documentation in the eRecovery system (formerly the Superfund Cost
Recovery Package and Image On-Line System (SCORPIOS)) to yield a complete cost recovery
package.
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 settlement agreements into special accounts
within the Superfund Trust Fund (see section 3.K) to pay for cleanup activities at the site for which
it received the money if future work remains to be performed at the site.
3.H.1 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:
• Direct costs associated with 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 (prior to October 1, 2021).
a. Direct Costs
Direct costs are those expenses directly traced to a particular action at a particular site.
These costs can include, but are not limited to, the following expenses incurred by EPA
and the cleanup contractor:
• Time spent on a cleanup-related action.
• Travel to and from the site.
• Contractor costs at the site.
• Equipment used at the site.
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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.
Prior to October 1, 2021, on an annual basis contractors in certain classes were 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 were computed site-specifically in SCORPIOS for inclusion in a cost recovery demand
or negotiations. Beginning October 1, 2021, the Agency's Superfund indirect cost pool
contains non-site costs incurred under Superfund contracts in the annual indirect cost
rate calculation and contractors are no longer required to submit an annual allocation
report to EPA. Charges prior to October 1, 2021 still have annual allocation rates for costs
incurred and will be handled in cost packages under old procedures. If annual allocation
costs appear in cost packages for costs incurred on or after October 1, 2021, they should
be removed.
More information can be found in RMDS 2550D Chapter 12, Superfund Cost
Documentation and Cost Recovery (2550D-12-P1).
c. Indirect Costs
Indirect costs are EPA's expenses for managing the Agency. These costs are not directly
traceable to any site-specific action and include, but are not limited to, the following
expenses:
• Superfund program support.
• Agency support activities that benefit Superfund program.
• Non-site portion of personnel compensation and benefits.
• Office rent, utility, communication, and supply costs.
Indirect costs are computed site-specifically in eRecovery for inclusion in a cost recovery
demand or negotiation. On an annual basis, OCFO issues actual regional indirect rates,
with that rate used as a provisional rate for subsequent fiscal years. More information on
the methodology can be found on the Superfund - Indirect Cost Rates site. OCFO
Superfund Indirect Cost Rate policies RMDS 2550D-13, Comptroller Policy 00-005, and
RMDS 2550D-13-T1 can be found on the OCFO Financial Policies page.
More information about indirect rates and methodology can also be found on EPA's
Superfund Cost Recovery webpage.
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3.1 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 track 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 3.C.) of this chapter.
All costs directly associated with cleanup/response actions at or for a 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.
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.
Regions and HQ offices should make every effort to obligate funds site-specifically to
reduce the burden of redistributing funds to specific sites after expenditure. EPA does use SSID
codes ZZ or 00 when it is impossible or impractical to charge certain Superfund costs to a specific
site. These 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 for Superfund activities.
Refer in OCFO's Resource Management Directive System (RMDS) and available on OCFO's
Resources Management Directive System on the intranet.
3.1.1 WQ SSID, WQ Action Code, and WQ Operable Unit
'WQ' represents a generic code used to obligate funds when the precise amount to be
charged to a site, non-site action, or OU is not known at the time of obligation. Regions and HQ
offices should make every effort to minimize use of the WQ code to reduce the burden of
redistributing funds after expenditure. The WQ code may be applied to the SSID, to the action
code, and/or to the OU 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 lAs,
cooperative agreements, grants, and contracts when the precise amount to be charged
to specific sites or non-site actions is unknown at the time of obligation. Use of the WQ
SSID is called 'bulk funding'.
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, September 18, 2018 on EPA's intranetj. Payroll
and travel may not be charged 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. A WQ or non-site
SSID may not be used for these funds.
b. WQ Action Code
The WQ action code is a generic action code (described in Chapter 4, 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 charged 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.
c. WQ Operable Unit
The WQ code may be used in the OU field (7th & 8th positions of the project field) in
association with obligating appropriated or special account funds. Use of the WQ code in
the OU field will allow regions flexibility to obligate funds at sites with multiple operable
units. Just like the WQ SSID and the WQ action code, once WQ OU obligations are
expended, these costs must be redistributed from the WQ OU to the appropriate site-
specific OU. Payroll and travel may not be charged to the WQ OU.
3.1.2 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 extramural disbursements from the ZZ SSID to the site-
specific SSID. Generally, readjustments should be conducted during the first billing cycle afterthe
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
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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.
3.1.3 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
preparing a response to a site-specific Freedom of Information Act request for information about
a site are charged to the 00 SSID.
3.1.4 Redistributing Superfund Costs
Funds originally obligated non-site specifically may need to be redistributed as site-
specific expenditures (see above). In addition, if the WQ code is used in the action code and/or
OU field, those expenditures will need to be redistributed to the correct action code and/or OU
field. If the Cost Organization field is used for non-site specific or WQ obligations, that field may
also need to be redistributed to reflect the correct Cost Organization/financial activity sequence
in association with the SSID, action code, and/or OU field the costs are redistributed to.
3.J SUPERFUND STATE CONTRACTS (SSC) AND COOPERATIVE AGREEMENTS
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 the implementation of response activities at a site. The SSC does
not obligate funds but is used to describe the state 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-financed RA. The region must provide the
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-financed RA, a remedial
response CA, which transfers resources, is used to document the statutory assurances if
applicable, and other requirements. 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 §35.6800, when a Superfund State Contract is required). The political subdivision
may also be a signatory to the Superfund State Contract. See Section 3. F. 3 for more information
about Cooperative Agreements.
Greater detail is provided below and in Subpart O of 40 CFR Part 35. and in the following OCFO
Resource Management Directive, State Cost Share Provisions for Superfund State Contracts and
Remedial Cooperative Agreements, 2550D-09-P1, March 17.
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3.J.1 Cost Share Provisions
A signed SSC or remedial response 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 site. Tribes are exempt from this requirement and do not have to provide
the assurances for Fund-financed remedial actions. The following provisions address some of the
basic components of the cost share assurance requirements.
• 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
• Fifty percent or more (herein after referred to as 50%): Where a facility was operated by
a state or political subdivision either directly or through a contractual relationship or
otherwise, at the time of any disposal of hazardous substances at the facility, the state
must provide at least 50% of the cost of removal, remedial planning, and remedial action
if the remedial action is CERCLA-funded (CERCLA 104(c)(3)(C)(ii)); and
• 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, forthe expected life of each
such action.
Typically, a state's 10% cost share will be calculated by using specific action codes to
identify extramural costs associated with the remedial action (action code RA) and long-term
response action (action code LR). Costs associated with five-year reviews (action code FE) or FYR
Addendums (action code WV) are not subject to state cost share. If the 50% or more cost-share
requirement applies, other or additional action codes (for removal, investigations and 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.
3.J.2 Constraints on Obligating Funds for RA
EPA may not obligate funds for Fund-financed RA without having a signed SSC or remedial
CA in place. Regions are to use the Superfund State Contract Model Provisions. January 2022.
When EPA conducts an EPA-performed, Fund-financed RA, it will most commonly 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
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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 Stgte Contmct Model Provisions.
OSWER 9242.3-18, November 2015 and Ensuring the Adegugcy of Cost Shgre Provisions in
Superfund Stgte Contrgcts, OERR 9375.7-01, Mgrch 1993).
3.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 0, sections 35.6285 and 35.6815 (for more details see
RD/RA Resources: Superfund Stgte Contrgcts).
• 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.
• In-kind Services: This form of payment must be documented in 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 2 CFR §200.306. In-kind services cannot be reimbursed to the state nor used
to satisfy cost-share requirements at another site.
• 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.
Credits are established on a site-specific basis and only a state may claim credit.
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).
Expenditures of non-federal funds for removal actions, as defined in CERCLA section
101(23), are not eligible for credit.
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.
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3.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. Unused reimbursable authority for Superfund
state cost-share resources is carried over by OCFO at the end of each fiscal year. OCFO continues
to monitorthe utilization of requested reimbursable authority. 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 site to determine whether these
resources may be used in lieu of T funds. Generally, obligations of TR1 funds, relative to T
obligations for remedial action, should roughly match the proportions specified in the cost-share
contract (e.g., TR1 obligations would equal 10% of the value of total remedial action
appropriation obligations). Since resource use is a dynamic process, such estimates will
necessarily be rough, and the precise calculation of cost-share amounts will occur during periodic
and final financial SSC reconciliation.
The amount of funds available from state cost share collections can be found in the
Compass Business Objects Report (CBOR) "SSC Available Balance Report" available in the
following path in CBOR: Public Folders/Compass/Super Fund. The available balance of state cost
share collections can also be found in the National SSC Management Dashboard available in Qlik.
3.J.5 Close Out Process for SSCs
In order for a SSC to be closed, 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 or the Qlik
National SSC Management Dashboard). Information about how to conduct a reclassification
using TR1 funds can be found in Technical Interpretation - Superfund Cooperative Agreements
and Superfund State Contracts, 2550D-09-P1-T1, August 2012).
The SSC can be Administratively Closed when: (1) the response activities under the SSC
have been satisfactorily completed; (2) the final reconciliation described above has been
completed; (3) the State has accepted transfer of any Federal interest in real property (as
applicable); and (4)the State has assumed responsibility forallfuture operation and maintenance
(O&M). The Administrative Closure is documented with an SSC amendment.
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Final SSC Conclusion occurs when O&M is 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.
Regions should regularly monitor sites with closed SSCs to ensure all available TR1 funds
have been reclassified, disbursed, moved to another site, and/or returned to the state.
3.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 other available Superfund resources (i.e., congressional annual
appropriations, supplemental appropriations, Superfund tax receipts) for sites without viable
PRPs. Use of special account resources directly supports EPA's "enforcement first" policy and
helps to achieve more cleanup across the Superfund program without relying solely on EPA's
other available Superfund resources, which are typically limited and not sufficient to fund all
work across the Superfund program in a given fiscal year.
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. EPA manages special accounts to:
• Ensure available special account funds are needed for future site cleanup work and are
being used as expeditiously as possible;
• Ensure special account funds rather than other available Superfund resources are used
for response work as appropriate;
• 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 site;
• 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,
• Continue special accounts data collection to effectively monitor the planned and actual
uses for these funds.
The SEMS Special Accounts Management screen enables regions to enter planning data
for the use of available special account funds for individual sites. Regions are expected to plan
the use of available funds in each special account consistent with guidance. Special account
financial data are transferred into SEMS from Compass on a nightly basis; data are frozen in
October (for work planning) and April (for mid-year) to allow regions to update static data for the
planned use of available special account resources. 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
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ensure SEMS planning is consistent with guidance and special account funds are being used
expeditiously to further cleanup work at sites. The 'Data Monitoring Plan for Special Accounts'
(updated June 14, 2021) provides an overview of the special account financial and planning data
that are 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 reporting platforms are available to determine special account available
balances and special account financial transactions.
• Compass Business Objects Reporting (CBOR). There is a Special Accounts folder with
existing standard special account reports and a Special Accounts universe with special
account financial information for users to create ad hoc reports.
• Special Accounts Interest Database Query. A reporting tool that can be queried for
special account balances. It also has an inquiry specific to special account receipts.
• Compass Data Warehouse (CDW). Has standard queries used to display special account
collections, commitments, obligations, and disbursements, as well as reimbursable
authority available. There are no special account-specific queries, but fund codes can be
used in queries to identify special account financial transactions.
• Special Account Financial Data Qlik Dashboard. Special account available-balance
information from CBOR reports in a Qlik dashboard, as well as historical net receipts and
interest and net obligations and disbursements by fiscal year.
• SEMS Reports Dashboard. Provides planning and audit reports based on the special
account information in SEMS.
Several guidance documents are available to assist the planning and use of special account
funds for response actions in the special accounts category in the Superfund Enforcement
Policy and Guidance documents database site. Additional information about special accounts
can be found on the Special Accounts intranet page maintained by OSRE, and in the Superfund
Special Accounts Microsoft Team.
3.L INFRASTRUCTURE INVESTMENT AND JOBS ACT {HIA)
The IIJA of 2021 (also referred to as the Bipartisan Infrastructure Law (BIL)) invested $3.5
billion in environmental remediation at Superfund National Priorities List sites and reinstated the
Superfund chemical taxes, making it one of the largest investments in American history to
address the legacy pollution that harms the public health of communities and neighborhoods.
IIJA also waived the state cost share requirements under CERCLA 104(c)(3) for the $3.5 billion in
funding provided by IIJA.
EPA prioritized use of IIJA funds for remedial action and long-term response action
projects at non-federal NPL sites to maximize the opportunity to waive state cost share and more
efficiently fund construction work that is typically the costliest portion of the Superfund remedial
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cleanup process. IIJA funds must be utilized consistent with CERCLA and IIJA. The IIJA states the
$3.5 billion is for "all costs associated with Superfund: Remedial activities."
All Superfund Remedial program IIJA funds available for extramural site work are
expected to be allocated for site projects by the end of FY 2024. Deobligations of IIJA funds should
be reprogrammed to Headquarters to be allocated for existing IIJA projects that may need
additional funds due to change orders or expanded scopes of work.
The following describes how Superfund Remedial IIJA funds are allocated and managed
in EPA's financial systems. OCFO's IIJA Resource Guidance SharePoint site is a resource for all IIJA
guidance across the agency.
3.L.1 Beginning Budget Fiscal Year (BBFY) and Fund Codes
OCFO created fund code "TSD" for the obligation and expenditure of Superfund Remedial
IIJA funds. This fund code will allow IIJA funds to be tracked separately from other Superfund
funding sources.
Superfund Remedial IIJA funds were appropriated and apportioned to EPA in a lump sum
in Beginning Budget Fiscal Year (BBFY) 2022. As a result, these funds will remain as BBFY 2022
TSD funds in the financial system until expended (i.e., the BBFY and fund code will not change
regardless of fiscal year the funds are obligated).
3.L.2 Superfund Remedial Program Project
Similar to annual congressional appropriations, Superfund Remedial IIJA funds for
program activities will be allocated in the Superfund Remedial program project ("D2").
OLEM/OSRTI will be responsible for the management and use of extramural IIJA funds in the
Superfund Remedial D2 program project and the allocation of IIJA D2 FTE.
3.L.3 Management and Oversight Program Project
The administration of IIJA funds requires mission support functions across programs, such
as human resources, grants administration, financial management, and legal advice.1 The agency
established a Management and Oversight (M&O) program project (code "MM") to clearly track,
execute, and report on enabling support funds. All IIJA resources and FTE for OMS, OCFO, Office
of the Administrator (OA) and Office of General Counsel (OGC) will operate entirely from the
M&O program project in the Superfund IIJA appropriation. M&O funds may be used for: payroll,
travel, working capital fund, and extramural needs.
1 Annual Superfund appropriations (extramural and FTE/intramural) are allocated to OMS, OCFO, and OGC in the following
program projects to track their support for implementation of EPA's Superfund program and appropriations: Acquisition
Management, Human Resources Management, Financial Assistance Grants/IAG Management, Legal Advice, Central Planning,
Budgeting, and Finance, as well as other program projects for information management and facilities. One program project was
established for IIJA funds to track mission support activities.
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3.L.4 Use of Superfund Remedial BIL Funds for Aircraft
Per Office of General Counsel, Superfund Remedial IIJA funds are allowed to be used for
aircraft, including unmanned aircraft systems (UAS).
3.L.5 Spend Plans and Advice of Allowance Memorandums
OCFO will develop and provide IIJA operating plans, also called "Spend Plans," to Congress
for the use of IIJA funds in the upcoming fiscal year. OCFO will also issue an Advice of Allowance
memorandum each fiscal year about the allocation and use of IIJA funds.
3.L.6 Tracking and Use of Deobligated IIJA Funds
Superfund Remedial IIJA funds will remain in Beginning Budget Fiscal Year (BBFY) 2022
and retain their TSD fund code until expended. As a result, deobligated TSD funds in future fiscal
years will appear available in the allowance holder of the original obligation as BBFY 2022 TSD
funds and will not need to be recertified.
As outlined in the memo issued on February 21, 2023, "Procedures for Deobligated
Superfund Remedial Bipartisan Infrastructure Law Funds," all deobligated Superfund Remedial
IIJA funds should be reprogrammed by regions 100 percent to the National Remedial Pool (PRC
code 000DD2, budget organization code 9R) as soon as they become available in the obligating
Allowance Holder.
Exceptions to this policy for 100 percent of deobligated IIJA funds to be reprogrammed
to the National Remedial Pool must be approved by OSRTI and include, but are not limited to,
shifting site-specific resources from contracts, cooperative agreements, and interagency
agreements to new agreements for the same site, shifting site-specific resources from base or
option periods under the same task order, or shifting ongoing work to new contractors due to
conflict of interest.
A standard report in the Budget Execution folder of Compass Business Objects Reporting
(CBOR) can be used to identify deobligations of IIJA funds. OSRTI runs this report monthly to
monitor deobligations of IIJA funds. Regions should reach out to staff in the Budget Planning and
Evaluation Branch (BPEB) if they would like a copy of the CBOR report to be provided to them.
3.L.7 Using Multiple Superfund Fund Codes on the Same Funding Action
Superfund Remedial IIJA funds can be placed on cooperative agreements, interagency
agreements, and contracts with any other available Superfund funds for site work with no
additional approvals required. Superfund Remedial IIJA funds are available for the same purpose
as all other Superfund funding sources available to the Superfund Remedial program (e.g., annual
appropriations, special account funds, state cost share funds, etc.). As a result, using multiple
Superfund fund codes on one financial document does not present a multiple appropriation
issue.
Class waivers for Superfund Remedial IIJA funds and Superfund tax receipts were
provided by the OGD specifically for cooperative agreements and interagency agreements in June
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2022. Resource Management Directive 2520-T1, "Split-Funding with Multiple Appropriations,"
issued on July 22, 2022, explicitly allows the use of Superfund Remedial IIJA funds along with
other Superfund funding sources on contracts without the need for a waiver.
3.L.8 Bulk Funding
Superfund Remedial IIJA funds are being allocated to regions for specific projects at
Superfund sites. As a result, the Superfund Remedial program will not bulk fund (i.e., use the
"WQ" code in the SSID, action code, or OU field of the Site Project field) Superfund Remedial IIJA
funds on cooperative agreements, interagency agreements, or contracts.
3. M SUPERFUND TAX RECEIPTS
On November 15, 2021, the IIJA (P.L. 117-58) reinstated and modified the taxes on listed
chemicals and imported substances that use those listed chemicals as a feedstock ("Superfund
chemical taxes"). The Superfund chemical taxes went into effect beginning July 1, 2022, and
expire on December 31, 2031.
On August 16, 2022, the Inflation Reduction Act (IRA) (P.L. 117-169) reinstated and
modified the taxes on oil and petroleum products ("Superfund petroleum taxes"). The Superfund
petroleum taxes went into effect on January 1, 2023, and do not have an expiration date.
On December 29, 2022, the Consolidated Appropriations Act, 2023 (P.L. 117-328)
included legislative language that allows all tax receipts collected in the Superfund Trust Fund
from the prior fiscal year to be available without further congressional appropriation. In
accordance with the legislative language in the Consolidated Appropriations Act, 2023, the
Superfund tax receipts must be used to implement CERCLA.
3.M.1 Superfund Tax Allocation
Superfund tax receipts are potentially available to all NPMs that directly implement or
directly support CERCLA program activities, with annual amounts depending on availability of
funds and prioritization of activities. In FY 2023, the EPA began allocating available Superfund tax
receipts to implement CERCLA. The agency's goal is to create a transparent, equitable, and
accountable process that will ensure the efficient, effective, and appropriate use of Superfund
tax receipts. A Superfund Tax Receipts Panel ("Panel") will evaluate NPM requests for use of
available Superfund tax receipts each fiscal year and make recommendations to the Chief
Financial Officer (CFO), OECA's Assistant Administrator (AA), and OLEM's AA, or their respective
designees ("Decision Officials"), who will make the final recommendations on the allocation of
Superfund tax receipts to the Deputy Administrator.
Requests for emergency use of tax receipts will follow a separate process. Emergency
requests for tax receipts must be submitted by an AA (or designee) who implements the CERCLA.
Requests will undergo initial review by the Decision Officials with final decision by the Deputy
Administrator. The emergency request process may occur outside of the annual allocation
process.
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3.M.2 Superfund Tax Fund Codes
Superfund tax receipts will be issued with the "TT" fund code and are considered no-year
funds and available for obligation until expended similar to the Agency's congressional annual
appropriations. OCFO will issue a Superfund Tax Advice of Allowance each fiscal year that
provides information about the use of Superfund tax receipts, recertification of deobligated
Superfund tax funds, carryover of prior year Superfund tax receipts as well as other information.
3.M.3 Using Multiple Superfund Fund Codes on the Same Funding Action
Superfund tax receipt funds are available for the same purpose as all other Superfund
funding sources available to the Superfund program (e.g., annual appropriations, special account
funds, state cost share funds, etc.). As a result, using multiple Superfund fund codes on one
financial document does not present a multiple appropriation issue and no additional approvals
are required. Furthermore, the class waivers provided by the OGD specifically for cooperative
agreements and interagency agreements in June 2022 applied to both Superfund Remedial IIJA
funds as well as Superfund tax receipt funds. Resource Management Directive 2520-T1, "Split-
Funding with Multiple Appropriationsissued on July 22, 2022, explicitly allows the use of
Superfund tax receipt funds along with other Superfund funding sources on contracts without
the need for a waiver.
For more information about the use of Superfund tax receipts, please see the Superfund
Tax Receipts SharePoint site.
3.N USE OF SUPERFUND FUNDS FOR AIRCRAFT
31 U.S.C. 1343(d) says that agencies need specific statutory authority to spend
appropriated funds to purchase, maintain, or operate aircraft. In recent years, section 1343(d)
has been interpreted to include UAS (aka, drones).
In FY 2024, only annually appropriated ("T") and IIJA ("TSD") funds may be used by EPA
contractors to lease, operate and maintain (but not purchase) aircraft, including UAS or drones.
Superfund tax and special account funds are not legally available for that purpose on contracts
or interagency agreements. However, cooperative agreement recipients may use any Superfund
funds provided to purchase, lease, maintain, and operate aircraft so long as is it reasonable,
allocable and allowable under the cooperative agreement.
Please check with OSRTI and OEM for funds that may be used for aircraft in FY 2025 and
beyond, as it is dependent on the language in appropriation bills each fiscal year.
3.0 SITES WITH NO OTHER SOURCES OF FUNDING
At times EPA is asked to calculate the number of "orphan" sites, or sites where the federal
government must pay for and conduct the response work required at the site because there are
no other parties or sources of funding to pay for or conduct that work.
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To do this, the program will calculate those sites where the federal government is the
lead for performance of the cleanup work. Of those sites, there may be some with open special
accounts for which funds are available from PRPs to conduct some or all of the response work.
To calculate the number of sites where there are no other sources of funding for response work,
the program will provide the number of final NPL sites where only the federal government is
performing the response work and there are no open special accounts associated with the site.
There are a range of caveats to be provided with this information, including the federal
government is also performing work at mixed-lead sites, where a PRP may be performing
response work at part of a site and the federal government is performing response work at other
portions of the site. In addition, even if a site has an open special account the funds available in
that account may not be sufficient to cover the full costs at a site or may only be available for
specific portions or work to be performed at the site.
3.P USING THE FIDUCIARY RESERVE TO ADDRESS COST OVERRUNS
EPA has a strong commitment to ensuring that unliquidated obligations are periodically
reviewed, and if appropriate, are deobligated and made available for obligation where needed.
Offices should deobligate any unliquidated obligations with expired project periods, except for
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 (OB), are available and sufficient to cover circumstances where funds were
deobligated but subsequently needed to address unanticipated final expenditures. For
Superfund, the Agency has an enhanced reserve to encourage timely deobligation and to help
maintain the pace of cleanups. The obligating official, payment official, or Contracting Officer
should fund the obligation using 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. Use of the fiduciary reserve will not cause an Anti-
Deficiency Act violation.
Accessing the fiduciary reserve does not require Office of Budget approval, only
notification, if the amount is over $50,000. However, the Director, Office of Budget, 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.
Because the remedial program office may need to replenish the reserve, if the prior year
obligation is over $50,000, the region should consult with OSRTI, Chief of the Budget Planning
and Evaluation Branch (BPEB), before proceeding to fund the obligation.
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 25
Chapter IV: SEMS Data Management and Coding
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CHAPTER 4: SEMS Data Management and Coding
Table of Contents
4. A Introduction 1
4.B SEMS Regional/Headquarters Roles and Responsibilities 1
4.B.1 Regional Roles 2
a. Information Management Coordinators 2
b. Budget Coordinators 3
4.B.2 HQ Roles 3
a. Data Sponsors 3
b. Data Owners 4
c. Office of Superfund Remediation and Technology Innovation (OSRTI) Resource
Management Division - Budget Planning and Evaluation Branch 4
d. OSRTI Resource Management Division - Information Management Branch 4
e. OSRTI Assessment and Remediation Division (ARD) Regional Support 4
f Office of Site Remediation Enforcement (OSRE) Regional Support 5
g. Office of Emergency Management (OEM) Regional Support 5
h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support 5
4.C General SEMS Data Entry/Quality Control Requirements 5
4.C.1 Quality and Timeliness of Data Entry 5
4.C.2 Setting Targets in SEMS 6
a. Remedial Program 6
b. Federal Facilities Program 7
c. Enforcement Program 7
d. Removal Program 7
4.D Data Validation and Verification 7
4.E Performance Lead Codes 8
4.F Action Codes Available for Financial Transactions 10
4.G Anomalies and Other SEMS Codes 15
4.G.1 Takeovers, Phased Indicators and Other Action Code Anomalies 15
a. Takeovers 16
b. SEMS Coding for Takeovers 17
c. Phased Projects 18
d. Other Anomalies 19
e. Mega-Sites 20
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List of Exhibits
Exhibit 4.1. Regional/HQ SEMS Responsibilities 2
Exhibit 4.2. Action Performance and Financial Lead Codes In SEMS 9
Exhibit 4.3. FY2021 Superfund Action Codes For Financial Transactions Sorted By SEMS Action
Name ('Who Pays For What') 10
Exhibit 4.4. SEMS Action Anomaly Reference Table 15
Exhibit 4.5. Takeovers 18
Exhibit 4.6. Phased Projects 19
Exhibit 4.7. Other Anomalies 20
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CHAPTER 4: SEMS DATA MANAGEMENT AND CODING
4.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 includes removal, site assessment, remedial, Federal Facility, and
enforcement programs. SEMS data are reflected in Superfund Comprehensive Accomplishments
Plan (SCAP) and other reports and dashboards which provide summary and detail information on
site progress, target and measure accomplishments, and resource planning. Headquarters (HQ)
uses reports and dashboards, among 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 Budget Formulation System (BFS). Regions
enter initial bids in BFS, which may be re-negotiated with headquarters before annual
commitments for BFS measures are finalized and locked. BFS accomplishment data is updated
monthly and must align 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 they relate 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, i.e., program results codes, action lead codes, budget codes,
special interest codes and qualifiers.
4.B SEMS REGIONAL/HEADQUARTERS ROLES AND RESPONSIBILITIES
HQ and regions have individual and shared responsibilities to ensure that planning and
accomplishment data are kept up to date 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 4.1 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 4.1. REGIONAL/HQ SEMS RESPONSIBILITIES
Regional Responsibilities
HQ Responsibilities
Add sites into SEMS and coordinate with financial
management counterparts to assign Site/Spill Identifier
(SSID)
Coordinate periodic meetings with regions and regularly
communicate national program priorities
Plan and schedule all Superfund site activities and related
extramural budgets in SEMS in a timely manner and in
accordance with national schedules and guidance
Negotiate with regions to set regional targets that support the
national annual target for each key program performance measure
Enter planning, budget, and accomplishment data into
SEMS
Determine extramural program regional funding allocations
Keep all planning, budget, and accomplishment data up to
date in SEMS
Communicate changes in budget, business processes, the Superfund
Program Implementation Manual (SPIM), and provide other
program guidance that affects planning with regions
Prepare and submit data or process change requests, as
appropriate
Maintain SPIM accomplishment definitions, ensuring SEMS
calculation logic for reports and dashboards accurately reflects
definitions
Ensure there is 'objective' evidence to support
accomplishment data in SEMS
Maintain functionality of SEMS and respond to regional requests for
data or process changes through the change requests process
Prepare information to support periodic program
management and planning meetings and reviews
Periodically review SEMS data for quality and timeliness
Review data entered in SEMS for accuracy
Continually assess program performance, provide guidance to, and
solicit input from, regions on opportunities to improve program
performance
4.B.1 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 subject matter
experts (SME)s, data sponsors and data owners.
• Provide liaison to HQ on process and program review issues.
• Provide liaison to regional management and data entry staff, as appropriate.
• Ensure that the quality of SEMS data is such that accomplishments and planning
data can be accurately retrieved from the system.
• Ensure that data is entered in a timely manner, ideally no later than 14 business
days after an action is actually started or completed.
• Coordinate with Remedial Project Managers (RPMs) and Superfund Records
Managers to link processed records to accomplishment data correctly and in a
timely manner.
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• Ensure there is 'objective' evidence1 to support accomplishment data in SEMS.
b. Budget Coordinators
The Budget Coordinator 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.
4.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 for a specific program area.
Where applicable, the roles of the Data Sponsors are to:
• identify data needs;
• oversee the process of entering data into the system;
• use data for reporting purposes;
• conduct periodic audits;
• 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;
• 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; and
• keep the SPIM up to date.
1 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. Data Owners
Both HQ and/or the regions may be Data Owners. The primary responsibilities of Data
Owners are to:
• coordinate with SMEs or Data Sponsors when there are issues or concerns
related to data quality;
• enter and maintain data in SEMS;
• assume responsibility for complete, current, consistent, and accurate data;
• review data for quality;
• conduct periodic audits; and
• ensure there is 'objective' evidence2to support accomplishment data in SEMS.
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 program and portfolio
planning and review efforts, including negotiating regional pipeline action performance
targets, tracking performance progress, 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, mission support, records management and program measurement
functions throughout OSRTI and the Superfund program. 1MB designs, implements, and
maintains SEMS, oversees the Superfund program's nationwide data quality efforts, and
consults with HQ and Regional 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.
2 Ibid., 2.
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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, records, 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.
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.
4.C GENERAL SEMS DATA ENTRY/QUALITY CONTROL REQUIREMENTS
This section addresses several priorities regarding SEMS data entry and data quality of
activities that are reported in SEMS.
4.C.1 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 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. "Live" data from SEMS is used for multiple dashboards used by senior
management to make decisions as well as site profile pages. Additionally, live data feeds from
SEMS are posted on public SEMS-based Search Superfund Site Information website at
https://cumulis.epa.gov/supercpad/cursites/srchsites.cfm.
Data need to be consistent, accurate 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
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possible. During the Remedial Investigation/Feasibility Study (RI/FS), the regions should enter in
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 action occurring unless otherwise noted in the program-
specific chapters of this manual.
HQ only recognizes targets and accomplishments that are reported in SEMS as they
appear in accomplishment reports and dashboards. Although HQ may perform data quality
checks and inform regions of discrepancies, regions are responsible for performing data quality
checks and making corrections to SEMS if the database or reports do not reflect accurate targets
or actual accomplishments. Regions should ensure planning and accomplishment data are
reflected in SEMS within five working days of the end of the quarter in which accomplishments
occurred. In some cases, accomplishments are not tracked until the appropriate administrative
record is associated to the record in SEMS - regions should make every effort to do so in a timely
manner.
4.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, the work planning dashboard as well as multiple reports, is used to review
regional plans and targets during periodic discussions between HQ and the region. The
procedures and schedule for finalizing targets are typically provided in a memo issued
annually by OSRTI and OSRE. For pipeline activities, regions are required to set targets
site-specifically. Within the same category (e.g., government RI/FS starts) a missed target
can be substituted by the accomplishment of another non-targeted action. Target
substitutions are permitted in other categories, except for five-year reviews; because five-
year reviews must be completed by the statutory due date, substitutions are not allowed.
Regions should discuss with HQ any issues that may affect their ability to meet negotiated
targets.
Under the Superfund Pipeline Site Allowance Allocation Model (PAM), each region
receives a score using weighting factors assigned to various pipeline categories. Regional
allocations will be based on current year start targets, ongoing actions, and prior year
completions for the following pipeline categories: government (GOVT) RI/FS, Potentially
Responsible Party (PRP) RI/FS, GOVT Remedial Design (RD), PRP RD, and PRP Remedial
Action (RA). For current year start targets for these activities, regions must set site-specific
targets to receive credit in their allocation. Each regional office is allocated resources
based on its score in relation to the national total.
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In February 2018, the Pipeline Allocation Workgroup presented their recommendations
for changes to the PAM to the Superfund Division Directors. The agreed-to changes to the
PAM were implemented starting in FY 2019:
• Provide a base allocation of $3 million to each region.
• Decrease the holdback percentage from 5% to 2.5%.
• Remove the prior year Start Bonus factor.
• Remove two governors from the model: 1) the guarantee that a percentage of the
allocation be based on the prior allocation, and 2) the mechanism that prevented
a region from receiving 5% less than the prior year.
b. Federal Facilities Program
FFRRO will coordinate closely with the regions prior to End-of-Year work planning sessions
to establish the next fiscal year (FY) targets. Although FFRRO will specifically reach out to
the regions for Decision Document and RA Completion targets, regions are expected to
set targets prior to End-of-Year work planning sessions 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 past costs addressed greater than $500,000 for all
sites with upcoming statute of limitation (SOL) concerns.
Each fiscal year, OSRE targets sites for cost recovery action that have upcoming SOLs
occurring within an 18-month window of the new fiscal year with total unaddressed
Superfund past costs equal to or greater than $500,000. All SOL cases are tracked and
monitored throughout the fiscal year based on their SOL date. A missed target cannot be
substituted by the accomplishment of another non-targeted action, because past costs
must be addressed by the statutory due date. All final targets should be 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 priorfiscal
year, and each region's progress on reaching their target is checked on monthly bowling
chart reporting and business review meetings.
4. D DA TA VALID A TION AND VERIFICA TION
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.
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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 should document 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.
4.E PERFORMANCE 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 response phases (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 reported by these subdivisions. Pre-remedial actions within the Site Evaluation phase,
including EPA reviews of site assessment reports submitted by other Federal agencies uses
various types of GOVT (EPA in-house, EPA [contractors]), State and Tribal performance leads but
no PRP or Federal Facility leads.
'Performance' lead codes allow regions to specify the entity that is conducting the work
and are required for those activities that are recorded in the SCAP 14 Accomplishments report.
Performance lead codes for GOVT activities more specifically identify which organization is
performingthe action 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 are assigned for each action and sub-action included in the
Site Schedule in SEMS.
'Financial' lead codes are used to distinguish the various sources of funding and are
required for those activities with associated financial transactions. 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 source (regions use the
'mixed source financing' code to represent multiple sources of funding for the same action and
do not have to determine whether a specific source provides the majority of funding that action).
Financial lead codes are assigned in the Add New Action/Sub-Action screen for each action
included in the Site Schedule in SEMS.
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Anomaly codes are used to designate leads for actions that are not recognized as
performance accomplishments (i.e., state deferral, state action/oversight without a formal EPA
agreement, state Record of Decision [ROD] without EPA concurrence). These codes are also
entered in the Edit Site Schedule table for each action and sub-action selected through the Site
Schedule in SEMS.
Exhibit 4.2 below identifies the codes and definitions of the performance and financial
lead codes used in SEMS.
EXHIBIT 4.2. ACTION PERFORMANCE AND FINANCIAL LEAD CODES IN SEMS
Performing Leads
Lead
Code
Name
Description
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.
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
Lead
Code
Name
Description
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
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Lead
Code
Name
Description
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 onlvfor historic actions)
Lead
Code
Name
Description
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 Department of Defense (DoD) performed at a Base
Realignment and Closure (BRAC) site by a non-federal party that takes title to
the BRAC property pursuant to Comprehensive Environmental Response,
Compensation, and Liability Act(CERCLA) 120(h)(3)(C) (Historic)
4.F ACTION CODES A VAILABLE FOR FINANCIAL TRANSACTIONS
There are hundreds of action 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
4.3 identifies those action codes that regions may use for planning obligations in SEMS as well as
the appropriate Program Results Codes (PRC), Site Allowance(s) (SA), and SSID types (Site
Designators) associated with them. For most activities, SEMS will assign the correct PRC, SA, and
SSID type to a planned obligation, depending on the action for which resources are planned.
Certain activities allow for choice of SA depending on program, which must be selected in the
Site Obligations or Non-Site Obligations Planning screen in SEMS. Action codes used for
commitments, obligations, and disbursements entered in Compass must be consistent with the
FY 2016 Dictionary of Superfund Action Codes For Compass Financial Transactions issued by
OCFO, OLEM, and OECA, unless otherwise noted below.
EXHIBIT 4.3. FY2021 SUPERFUND ACTION CODES FOR FINANCIAL TRANSACTIONS SORTED BY SEMS ACTION
NAME ('WHO PAYS FOR WHAT')
Action
Code
PRC
SA
Site Des.
000DC6
RV
S
000DC9
FF
s
Administrative Records
AR
000DD2
P
s
000EC7
E
s
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Action
Code
PRC
SA
Site Des.
Aerial Survey (formerly Pre-Remedial/Remedial Survey)
AS
000DC6
000DC9
000DD2
RV
FF
P
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
Alternate Dispute Resolution
AD
000DD2
000EC7
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.
Can be used with special account funds in action and operable
unit (OU) field.
WQ
000DC6
000DC9
000DD2
000EC7
RV
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 [IAs]) use only.
CC
000EC7
000E52
E
E
S
S
Claim in Bankruptcy Proceedings
CB
000EC7
E
S
Combined RI/FS
CO
000DD2
P
S
Community Involvement (non-Federal Facility)
May plan with WQ SSID but must obligate site-specifically if an
SSID has been assigned to the site.
CR
000DC6
000DD2
RV
P
S
S
Compliance Enforcement
UZ
000EC7
E
s
Contract Management
JU
000DC6
000DC9
000DD2
000EC7
RV
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Cost Recovery Negotiation
NE
000EC7
E
S
Design Assistance
DA
000DD2
P
S
Emergency PRP Removal
(Emergency Removals Without an Enforceable Instrument)
PJ
000DC6
000DC6
RV
RV
S
S
Engineering Evaluation/Cost Analysis (EE/CA)
EE
000DC6
000DC9
000DD2
RV
FF
P
S
s
s
Expanded Site Inspection/Remedial Investigation (ESI/RI)
SS
000DD2
P
s
Expanded Site Inspection (ESI)
ES
000DD2
P
s
Feasibility Study
FS
000DD2
P
s
Federal Facility and BRAC General Support and Management
000D41 is for payroll costs only.
TX
000DC9
000D41
FF
FF
00
00
FF Community Involvement
LZ
Not Available-Use FF Oversight
(OX)
FF ESI Review
TZ
Not Available-Use Generic PA/SI
(QB)
FF Five Year Review
VY
Not Available-Use FF Oversight
(OX)
FF Five-Year Review Addendum
WV
Not Available-Use FF Oversight
(OX)
FF FS
Nl
Not Available-Use FF Oversight
(OX)
FF LR
MZ
Not Available-Use FF Oversight
(OX)
FY 25 SPIM
4-11
Final September 2024
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OLEM Directive 9200.3-158
Action
Code
PRC
SA
Site Des.
FF Oversight
FF Oversight (Site-Specific BRAC Costs) - 303D41XB4 is for payroll
and site travel only.
OX
000DC9
000D41XB4
FF
S
S
FF PA Review
RX
Not Available-Use Generic PA/SI
(QB)
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-Use Generic PA/SI
(OB)
FF Operation and Maintenance
OM
Not Available-Use FF Oversight
(OX)
Five-Year Review
May obligate to WQ SSID but must plan/outlay site-specifically.
FE
000DD2
000DD2
P
RA
S, WQ
S, WQ
Five-Year Review Addendum.
May obligate to WQ SSID but must plan/outlay site-specifically
WV
000DD2
000DD2
P
RA
S, WQ
S, WQ
Also see FF Five-Year Review
Addendum
Forward Planning/ Redevelopment/ Reuse
FM
000DD2
P
S
General Support and Management
BM
000DC6
000DD2
RV
P
00
00
General Enforcement
GE
000EC7
000JC7
000EH2
E
FFE
00
00
00
Generic PA/SI
QB
000DD2
P
FF
S, WQ, ZZ
Groundwater Monitoring (Post ROD)
GM
000DD2
000DC9
P
FF
S
S
Hazard Ranking System (HRS) Package
HR
000DD2
P
FF
S
Information Management Support
IJ
000DC6
000DC9
000DD2
000EC7
RV
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Laboratory Support
LA
000DC6
000DC9
000DD2
000EC7
RV
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
FY 25 SPIM
4-12
Final September 2024
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OLEM Directive 9200.3-158
Action
Code
PRC
SA
Site Des.
Legal Review and Analysis - 000DD2 is for payroll and site travel
onlv. This change has not been made in the FY 2016 Action Code
Dictionary.
PS
000EC7
000DD2
E
s, zz
s
Litigation - Generic
LT
000EC7
000JC7
E
s
s
Long-Term Response Action (LTRA)
LR
000DD2
RA
s
Management Assistance
MA
Renamed-See State Support
Agency Cooperative Agreement
(MA)
Multi-Site 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
000EC7
000JC7
000EH2
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
000DD2
P
s
Prospective Purchaser Agreement (PPA) Assessment
QX
000EC7
E
s
Pre-CERCLA Screening
HX
000DD2
P
S, WQ, ZZ
Preliminary Assessment (PA)
PA
000DD2
P
S, WQ, ZZ
Preparation of Cost Documentation
PC
000EC7
000JC7
E
S
s
PRP FS
NK
000DD2
P
s
PRP LR
ME
000DD2
P
s
PRP RA
BF
000DD2
P
s
PRP RD
BE
000DD2
P
s
PRP Removal
Use Pipeline Site Allowance only for Remedial Program Projects.
BB
000DC6
000DD2
RV
P
s
s
PRP Rl
NA
000DD2
P
s
PRP RI/FS
BD
000DD2
P
s
PRP Search
QV
000EC7
E
S, WQ, ZZ
RA Contractor Acquisition
ZB
000DD2
P
s
RD/RA Negotiation
AN
000EC7
E
s
Real Property Acquisition
RL
000DD2
P
s
Records Management
SW
000DC6
000DC9
000DD2
000EC7
000EH2
RV
FF
P
E
FFE
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
FY 25 SPIM
4-13
Final September 2024
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OLEM Directive 9200.3-158
Action
Code
PRC
SA
Site Des.
Remedial Action
RA
000DD2
RA
S
Remedial Design
RD
000DD2
P
S
Remedial Investigation
Rl
000DD2
P
s
Removal - May plan with WQ SSID but must obligate site-
specifically.
Use RA Site Allowance only for Remedial Program Projects.
RV
000DC6
000DD2
RV
RA
s
s
Removal Assessment
RS
000DC6
RV
S, WQ, ZZ
Removal Negotiation
RN
000EC7
E
S
Research and Development
BG
000DD2
P
S, WQ, ZZ
RI/FS Negotiation
FN
000EC7
E
S
RI/FS Scoping
ZA
000DD2
P
S
Risk/Health Assessment
ED
000DC9
000DD2
FF
P
S
S
Section 104(E) Referral Litigation
SF
000EC7
E
S
Section 106 Litigation
SX
000EC7
E
s
Section 106/107 Litigation
CL
000EC7
E
s
Section 107 Litigation
SV
000EC7
E
s
Senior Environmental Employee (SEE) Program - For extramural use
only.
SM
000DC6
000DC9
000DD2
000EC7
RV
FF
P
E
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
S, WQ, ZZ, 00
Site Inspection (SI)
SI
000DD2
P
S, WQ, ZZ
Site Reassessment
OO
000DD2
P
S, WQ, ZZ
Site Security and Maintenance
PD
000DD2
P
S
Site-Specific BRAC Costs
PX
Not Available—Use FF Oversight
(OX)
State Core Program - For extramural use only.
SK
000DD2
P
00
State Support Agency Cooperative Agreement (formerly
Management Assistance) - For extramural use only.
MA
000DC9
000DD2
FF
P
S, WQ, ZZ
S, WQ, ZZ
Technical Assistance
TA
000DC6
000DC9
000DD2
RV
FF
P
S, WQ, ZZ
S, WQ, ZZ
S, WQ, ZZ
Technical Assistance Grant - For extramural use only. May plan
with WQ SSID but must obligate site-specifically.
TG
000DC9
000DD2
FF
P
S
S
Training
TH
000DC6
000DD2
000EC7
RV
P
E
00
00
00
Treatability Study
TS
000DD2
P
S
Tribal Core Program - For extramural use only.
TK
000DD2
P
00
Tribal Support Agency Cooperative Agreement
For extramural use only.
TJ
000DC9
000DD2
FF
P
S, WQ, ZZ
S, WQ, ZZ
FY 25 SPIM
4-14
Final September 2024
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OLEM Directive 9200.3-158
Site (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
Site 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
4. G ANOMALIES AND OTHER SEMS CODES
4.G.1 Takeovers, Phased Indicators and Other Action Code Anomalies
Action anomaly codes (labeled Takeover or Lead Changes/Phased Indicators in SCAP
reports) are used to signify 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 4.4 is a reference table of all action anomaly codes in SEMS.
EXHIBIT 4.4. SEMS ACTION 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
FY 25 SPIM
4-15
Final September 2024
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OLEM Directive 9200.3-158
Code
Description
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 action code;
use in conjunction with S Performance Lead code
a. Takeovers
Overthe course of a cleanup at a site, the lead forthe 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 for
performing 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 action 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 AOC or CD) to
complete an action (e.g., PRP RD) that it started to perform, and a government agency
must perform (take over) the action. In such a case, the original PRP Performed action
should be terminated in SEMS and a new GOVT Performed action started using the
appropriate anomaly codes (see below for takeover coding instructions).
In orderto 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 action, 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 Rl and FS are being done separately.
• After the ROD is signed and prior to beginning the RD or RA.
• 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 an AOC for
performing the work.
FY 25 SPIM
4-16
Final September 2024
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OLEM Directive 9200.3-158
If a PRP is allowed to take over a GOVT-financed response action 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 action 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 action on SCAP planning and accomplishment reports. A
takeover creates a new action but does not create a new OU. In the case where one entity
takes over an action from another, the region must establish a new action with the
appropriate Performance lead code as well as apply the appropriate Action Anomaly
Codes to both the original action and the new action.
The finish date of the original action must be the same as the start date of the new action.
Takeover/Phased Indicators must be entered for both actions. The 'Original Action
Takeover (TO)' indicator is used to flag the original action which has the change in lead,
whereas a 'New Action Resulting from Takeover (TN)' indicator is used to flag the new
action.
On rare occasions, an action that has been taken over requires an additional lead change.
For example, EPA reaches settlement with the PRPs after an EPA performed action (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 decides to take over the PRP-
financed action.
The first three steps below describe the SEMS data entry for a takeover scenario. All five
steps describe the data entry for a takeover and subsequent takeover of a takeover.
Exhibit 4.5 provides examples of the SEMS coding for a takeover and a takeover of a
takeovers.
1. The original GOVT RI/FS action is added to SEMS with the appropriate start date.
The 'F' Performance lead code is selected in the Add Action/Sub-Action screen
for the GOVT RI/FS action 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 Edit Site
Schedule table.
3. A new PRP RI/FS action 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 Edit
Site Schedule table for this action. The 'RP' Performance lead code is selected in
the Add Action/Sub-Action screen to indicate that EPA is overseeing the PRP
response (i.e., rather than the state).
FY 25 SPIM
4-17
Final September 2024
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OLEM Directive 9200.3-158
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 Edit Site Schedule table (this replaces the previously used TN
anomaly code).
5. A new GOVT RI/FS action 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 Edit Site
Schedule table for this action. The 'F' Performance lead code is selected in the
Add Action/Sub-Action screen to indicate that EPA is performing the action.
EXHIBIT 4.5. TAKEOVERS
OU
Action Name
Seq
Perf
Lead
Act Start
Act Comp
Takeover/
Phased
Indicator
Comments
01
GOVT
Combined
RI/FS
001
F
8/1/1997
12/1/1997
TO
Original Action Takeover-no Completion
accomplishment
01
PRP RI/FS
002
RP
12/1/1997
3/1/1998
TN
New Action Resulting from Takeover-no Start
accomplishment
01
GOVT
Combined
RI/FS
001
F
8/1/1997
12/1/1997
TO
Original Action Takeover-no Completion
accomplishment
01
PRP RI/FS
002
RP
12/1/1997
3/1/1998
TT
Takeover of an Action Taken Over—no Start or
Completion accomplishment
01
GOVT
Combined
RI/FS
003
F
3/1/1998
9/1/1999
TN
New Action Resulting from Takeover-no Start
accomplishment
c. Phased Projects
At any stage in the cleanup process, a project may be phased or time-sequenced to
accelerate the cleanup effort. 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 priorto 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 action and the finish of the final action are
recorded as valid accomplishments in SCAP accomplishment reports.
A region will plan in SEMS a separate action under the same OU for each phase of the
action that is to be tracked uniquely. Phases of each response action are shown in SEMS
using the Takeover/Phased Indicators of 'Phased Start (PS)' and 'Phased Complete (PC)'
or 'Phased Start and Completion (PB)'. An example of these Takeover/Phased Indicators
is given in exhibit 4.6 below. 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.
FY 25 SPIM
4-18
Final September 2024
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OLEM Directive 9200.3-158
In cases where HQ makes decisions to fund certain components of a GOVT RA project, HQ
may direct a region to use or not use phased project coding to accurately depict the
funding decision.
EXHIBIT 4.6. PHASED PROJECTS
OU
Action Name
Seq
Perf
Lead
Act Start
Act Comp
Takeover/
Phased
Indicator
Comments
01
GOVT RD
001
F
8/1/1997
12/1/1997
PC
Phase 1 (Phased Completion-no
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 definitions of pipeline activities as
specified in this manual. 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, with
the appropriate anomaly code to signify the action's status. If the region determines that
it is necessary to keep an action open (e.g., financial transactions), then the anomaly code
should be assigned when the determination is made and the finish date should be entered
as soon as it is feasible. This will ensure the project does not appear in reports to be a
valid ongoing action.
An example of a SCAP anomaly occurs when different entities conduct FS work
simultaneously that leads to a single ROD. Since it is inconsistent to report more FS starts
than finishes (the Agency would have to explain why FS work is not leading to a ROD), the
SCAP planning and accomplishment report should identify only one start and finish for
one FS. These projects are coded under the same OU with multiple sequence numbers
and those FSs that should not appear in the SCAP report should be assigned a
Takeover/Phased Indicator of 'Other Start and Completion Anomaly (OA).' More
examples of these Takeover/Phased Indicators as they relate to various performance
leads are given in exhibit 4.7 below.
In addition, certain codes that were identified as lead codes in CERCLIS have become
anomaly codes in 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
FY 25 SPIM
4-19
Final September 2024
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OLEM Directive 9200.3-158
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 4.7. OTHER ANOMALIES
ou
Action Name
Seq
Perf
Lead
Act Start
Act Comp
Takeover/Ph
ased
Indicator
Comments
01
PRP RI/FS
001
RP
8/1/1997
12/1/1997
OS
Other Start-No Start accomplishment
01
PRP FS
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 Completion-No 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
PRP RI/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 action code; use in
conjunction with S Performance Lead
code
e. Mega-Sites
Generally, a site is considered 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 [MOA]) for removal or remedial action
response activities (excluding Long Term Response Action [LTRA]) at the site
exceeds $50 million; OR
FY 25 SPIM
4-20
Final September 2024
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OLEM Directive 9200.3-158
• 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, without double-
counting estimates and/or obligations for the same actual work, 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.
FY 25 SPIM
4-21
Final September 2024
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OLEM Directive 9200.3-158
Superfund Program Implementation Manual
FY 25
Chapter 5: Site Information
FY 25 SPIM
Final September 2024
-------
OLEM Directive 9200.3-158
Chapter 5: Site Information
Table of Contents
5. A Introduction 1
5.B Site 1
5.C Initiating Program 2
5.D Identification (ID) Numbers 2
5.E Site Name 3
5.F Site Location/Geospatial Information 3
5.G Geospatial data quality 7
5.H Alias name/location 7
5.1 Federal Facility Status 7
5.J Formerly Used Defense Sites (FUDS) 8
5.K Site Type Category/Sub-Category 8
5.L National Priorities List (NPL) Status 9
5.M Non-NPL Status 12
5.N Tribal Data 13
5.0 Eligible response site exclusion / no further federal action 15
5.P Site Inventory Designations 16
5.Q Archive Indicator 17
5. R Parent/Child Relationships 19
5.S Final Assessment Decisions (FAD) 20
5.T Operable Unit (OU) 21
5.U Site Description 22
5. V Site Comments 22
List of Exhibits
Exhibit 5.1. NPL Listing Requirements 11
Exhibit 5.2. Non-NPL Status Codes Based on Initiating Program 12
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CHAPTER 5: SITE INFORMATION
5. A INTRODUCTION
The Superfund program tracks site information data with the goal of compiling both basic
identifying data that portray the physical location and characteristics of a site, as well as more
detailed data that can be utilized as a progress indicator of where a site falls in the assessment
and cleanup pipeline. This chapter describes the site-level information that is tracked by the
Superfund program and the corresponding data entry requirements in the Superfund Enterprise
Management System (SEMS).
5.B SITE
The term "site" is not defined in Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) but is generally synonymous with "facility" which is defined under
CERCLA 101(9) as: (A) any building, structure, installation, equipment, pipe or pipeline (including
any pipe into a sewer or publicly owned treatment works), well, pit, pond, lagoon, impoundment,
ditch, landfill, storage container, motor vehicle, rolling stock, or aircraft, or (B) any site or area
where a hazardous substance has been deposited, stored, disposed of, or placed, or otherwise
come to be located; but does not include any consumer product in consumer use or any vessel.
For Superfund tracking purposes, a "Site" record is created in SEMS to track response
activities associated with the facility, as defined in CERCLA (and in the National Oil and Hazardous
Substances Pollution Contingency Plan (NCP) in 40 CFR §300.5), including a confirmed or
potential hazardous waste release or an unanticipated removal (incident) or other event. This
record can be created in SEMS upon determination that involvement of the Superfund program
is or may be required.
Although uncommon, a site record can be deleted from SEMS if the site was added by
mistake and site has no action with an actual start or complete date and no financial data
associated with it (e.g., duplicate of an existing site, unintentional/accidental creation of new
site). A site should not be deleted if site action or financial data is associated to it. If a site with
this information is determined to be a duplicate of an existing site, use the parent/child
relationship in Superfund Enterprise Management System (SEMS) to track both sites (all
subsequent information should be tracked at the parent site). There may be cases where a site
has no existing or planned activities nor financial data but has other interest and should remain
in SEMS.
NOTE: SEMS accommodates tracking CERCLA and non-CERCLA sites. CERCLA sites include
sites that have been, are being, or are expected to be addressed using or based on CERCLA
authorities. Sites subject to other authorities (e.g., Resource Conservation and Recovery Act
[RCRA]) may be tracked in SEMS as non-CERCLA sites for program management efficiency
purposes and to allow for non-CERCLA site records to be captured in SEMS-RM. Sites handled
under multiple authorities may have CERCLA and non-CERCLA site records. SEMS includes a
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Related Sites feature in Site Management to match CERCLA to non-CERCLA sites. More
information on entering CERCLA and non-CERCLA sites into SEMS is available in the SEMS Add
and Delete CERCLA/Non-CERCLA Sites User Guide. The remainder of this chapter focuses on site
information associated with CERCLA sites entered into SEMS.
5.C INITIATING PROGRAM
Following notification of a potential site needing federal Superfund program attention, a
search for the site in the SEMS Active, Archive and Non-site inventories using the SEMS Site
Search Dashboard or other reliable data source(s) should be completed prior to creating a new
CERCLA site record in SEMS. Users should also refer to the Facility Registry Service (FRS) and the
EPA Envirofacts website1 to help determine if the site exists in another EPA cleanup program
before adding it to SEMS. If the site is not already in SEMS, the site can be added to the SEMS
database via the Add CERCLA 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.
When a site is added to SEMS, the system generates an initial schedule based on the
combined settings of the Federal Facility (FF) field, the Removal Site Initiation checkbox, and the
Remedial Site Initiation checkbox on the Add Site Information screen. 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.
Additional information on adding a site to SEMS and the initial schedules generated in the
system is available in Add and Delete CERCLA/Non-CERCLA Sites User Guide.
5.D IDENTIFICATION (ID) NUMBERS
SEMS tracks several different types of site identification (ID) 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. For new sites, the system automatically generates an
EPA ID in the Add CERCLA Site Information screen. A user should change the system-
generated EPA ID if needed (i.e., to match the RCRA handler/facility identification
number 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.
1 The Envirofacts Multisystem Search integrates information from a variety of databases and includes latitude and longitude
information. Each of these databases contains information about facilities that are required to report activity to a state or
federal system. Using this form, you can retrieve information about hazardous waste (including the Biennial Report), toxic and
air releases, Superfund sites, and water discharge permits. Facility information and a map of its location is provided. See also:
Enviro Facts Overview
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Except for 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'.
• 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 Compass Financials. A removal site is required to
have an SSID before planning work. The second digit of the SSID represents the EPA
region in which the site is tracked. The identifier must be unique and the system
ensures that duplicate SSIDs 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 5.S in this chapter for more information on
tracking parent and child site identification numbers.
5.E 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 Alias Name/Location section 5.H).
For sites that get proposed to the National Priorities List (NPL), EPA confers with the
region before including the site name in the proposed and final rulemaking published in the
Federal Register. The Site Name published in the Federal Register is tracked as the Federal
Register Site Name in SEMS and is also used to overwrite the primary Site Name. For sites placed
on the NPL, primary site names can be changed as necessary, although the NPL deletion notice
will need to reflect the Site Name as it appears in Appendix B of the NCP which contains the list
of sites placed on the NPL. If/when necessary, Site Names listed in Appendix B can be revised by
publishing a proposed rule in the Federal Register. If no adverse comments are received,
Headquarters (HQ) will process the primary Site Name change in SEMS.
In general, regions can make minor changes to Site Names at a site proposed to or on the
NPL (e.g., spelling out abbreviation, minor edits). Regions should check in with the HQ NPL Team
for further instructions before making a more substantive change to the Sie Name.
5.F SITE LOCATION/GEOSPATIAL INFORMATION
SEMS requires the entry of general site locational information including street address,
city, state, zip code, and county. Congressional district is required for NPL sites. Site location data
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is entered using the Add Site module when a new site is added to SEMS. This information can be
updated in the Location section of the Edit Site Summary screen within the Site Management
module in SEMS. Geospatial data entered or updated in SEMS should comply with requirements
specified in EPA's Geospatial Superfund Site Data Definitions and Recommended Practices, OLEM
Directive 9200.2-191, November 2017 and any additional requirements described in this section.
SEMS applies the requirements defined in the National Geospatial Data Procedure.
August 2023 which details standards for collecting and managing geospatial data used by federal
environmental programs and projects within the jurisdiction of EPA.
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-
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.
At a minimum, geospatial data should be collected when a site reaches certain cleanup
process milestones. Recommended practices for generation of geospatial data include:
Highest Priority:
• Primary Site Location Data should be recorded and entered in SEMS. Point data may
be improved, refined or corrected as data become available.
• Total Site Polygons may represent the sum of the Operable Units (OUs) or the
extent of the Federal Facilities Agreement, and their entry into SEMS is
recommended to be done concurrently with a Record of Decision's (ROD's) (or
Action Memorandum's) publication. Regions are encouraged to submit total site
polygons early in the Superfund process, and update them as they change, but a
preliminary site polygon should be captured no later than the completion of the
first ROD (or Action Memorandum) associated with a site.
• Operable Unit Polygons should be entered into SEMS when EPA issues a ROD (or
Action Memorandum) to address a corresponding OU, but regions are encouraged to
enter them earlier in the Superfund lifecycle.
Additional information, in order of priority for collection, when available:
• Institutional Controls location data should be captured when Institutional Controls
(ICs) are implemented.
• Extent of Contamination polygons, while sometimes difficult to define and subject
to revision, are valuable information, which regions are encouraged to share when
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possible. Typically, these data would be defined during the Remedial Investigation
(Rl) and would be entered into SEMS after the Rl (or the Engineering Evaluation/Cost
Analysis(EE/CA)) is approved.
• Engineering Controls (ECs) location data may be captured when ECs are
implemented.
• Continued Use/Reuse Polygons may be entered into SEMS concurrently with the
identification of continued use and/or determination of acres ready for reuse.
To ease collection and submission of geospatial data, regions are encouraged to require
electronic submission of geospatial data as part of enforcement agreements with potentially
responsible parties and in statements of work (SOWs) for site-specific contract work. Please see
the joint Office of Superfund Remediation and Technology Innovation (OSRTI) and Office of
Enforcement and Compliance Assurance (OSRE) memorandum Transmittal of Model Geospatial
Data and Electronic Submission of Deliverables Language for Inclusion in CERCLA Statements of
Work, September 2014 for appropriate model language for enforcement documents and
contracts.
The guidelines for storage and access to Superfund geospatial information are as follows:
• Regions will be responsible for creating and maintaining regional geodatabases,
following a standardized schema; a starter kit is available and can be obtained by
emailing the the Office of Land and Emergency Management (OLEM) OSRTI
Information Management Branch (1MB) internal address list.
• The SEMS team has developed web services to allow joining of attributes and data
synchronization between the regional geodatabases and SEMS.
• The Shared Enterprise Geodata and Services (SEGS) team has completed the script(s)
for auto-harvesting data from the Regions, archiving data changes over time, and
merging regional data into national data layers. A preliminary web service has been
created, but further discussion and a decision at the national level is required to
determine the details of how best to serve these data out to the public and the rest
of EPA. Contact GEOservices@epa.gov when your Region is ready to have Superfund
data auto-harvested.
• The SEGS team has created national geospatial web services from the data layers
residing on an EPA enterprise geospatial framework that can be used by other EPA
data systems and applications such as the EPA GeoPlatform Online, the Environmental
Dataset Gateway, FRS and Cleanups in My Community.
Multiple latitude/longitude coordinates may get tracked at a site. Additional attributes
are available in SEMS to differentiate coordinate records. The following coordinate data is
required for all sites in the SEMS active site inventory:
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• 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 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 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.
• Primary Flag: Indicates the primary latitude and longitude coordinates for the site. The
Primary Flag must be assigned to one coordinate record at each site in the Active site
inventory (each coordinate record consists of a single latitude and longitude
coordinate). The coordinate record with the Primary flag must be located less than
1,000 meters (< Tier 6) of the site address. Tier 6 and other Tiers are defined in EPA's
National Geospatial Data Policy. The coordinate record with the Primary flag will be
used for public reporting purposes.
• Collection Date: The date that a point latitude/longitude measurement is collected.
• Collection Method: The method used to obtain latitude/longitude coordinates e.g.
Global Positioning System device, census block centroid etc.
• Reference Point: A description of the location where geographic coordinates were
taken, e.g., entrance to a facility, center of a facility, etc.
The following coordinate metadata is also required for all NPL and Superfund Alternative
Approach (SAA) sites:
• NPL Coordinate Flag: Applies only to NPL sites. Identifies coordinates that were
documented in the Federal Register in a proposed or final NPL rule. Once assigned,
this flag and corresponding coordinates should not be changed in order to preserve
this data at the time of listing.
• Verification Method: The process in which a latitude/longitude measurement has
been verified by EPA staff, grantees or contractors.
• Reference Datum: A code identifying the reference datum of a latitude and longitude.
WGS84 should be used for NPL and SAA site coordinates assigned the Primary flag in
SEMS.
• Source Map Scale: A number that represents the proportional distance on the ground
for one unit of measure on the map or photo.
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SEMS can also be used to track the following non-required coordinate metadata:
• Source: The party responsible for providing the latitude/longitude coordinates.
• 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.
• Geometry Type (Point/Line/Area): The geometric entity represented by one point or
sequence of latitude and longitude points.
• 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.
5.G GEOSPATIAL DATA QUALITY
The General Sites Latitude and Longitude Data Quality Report PGMT-GS-D004 (PGMT-
060) is available in SEMS and can be used to review and improve the accuracy of coordinate data.
This report identifies potential coordinate issues for sites in the SEMS active site inventory.
Regions should review this report on an annual or more frequent basis to ensure coordinate data
being released to the public is complete and accurate.
5.H ALIAS NAME/LOCATION
Site aliases are alternate names or addresses associated with a site. When the name of
an existing site is changed, the new name is entered as the Site Name in SEMS. The former name
should generally be added as an Alias site name to enable concordance with historical
documents.
For NPL site name changes published in the Federal Register, 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.
5.1 FEDERAL FACILITY ST A TUS
The distinction between 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 a 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 a tribe.
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• 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.
5.J 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 identified in 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 lnformation>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.
5.K SITE TYPE CATEGORY/SUB-CATEGORY
Site Type Category and Site Type Sub-Category data are assigned in SEMS at the time of
site initiation and are used to 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.
Regions should confirm the Site Type category and sub-category when sites are submitted
for proposal to the NPL.
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5.L NATIONAL PRIORITIES LIST (NPL) STATUS
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 the following conditions
are met:
• The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S. Public
Health Service has issued a health advisory that recommends dissociation of
individuals from the release; and
EPA determines that the release poses a significant threat to public health; and
EPA anticipates that it will be more cost-effective to use its remedial authority
than to use its removal authority to respond to the release.
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 (also known as de-proposal) 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, November 2002 or
may be based on a documented deferral or referral to another cleanup authority. Sites
proposed to the NPL that have an SAA agreement in place are generally expected to
meet the criteria for deletion from the NPL.
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Regions interested in pursuing de-proposal to the NPL should review the de-proposal
guidance and consult with the HQ NPL Coordinator assigned to the region. Superfund Program
Implementation Manual (SPIM) section 6.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. Following de-proposal of a site, regions should determine
when to discontinue publishing a Superfund Progress Profile webpage on a site-specific basis.
• 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 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. 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.
EPA's Superfund: National Priorities List (NPL) website contains current information sites
proposed to, placed on, or deleted from the NPL.
Several NPL Status codes have a corresponding action that needs to be added to the site
schedule when the NPL Status code is updated. Exhibit 5.1. NPL Listing Requirements includes
these actions and associated date requirements:
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EXHIBIT 5.1. NPL LISTING REQUIREMENTS
Action
Performance Lead
Action Date Requirements
NPL Listing
Proposed
EPA Performed
A Proposed Rule proposing the site to the NPL is published in
the Federal Register.
NPL Listing
Removed from
Proposed
EPA Performed
A Proposed Rule announcing removal of the site from
proposal to the NPL is published in the Federal Register.
NPL Listing Final
EPA Performed
A Final Rule adding the site to the NPL is published in the
Federal Register.
NPL Listing
Withdrawal of Final
EPA Performed
A Final Rule withdrawing the site is published in the Federal
Register.
Partial NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Notice of Partial Deletion final rule published in the Federal
Register or The effective date of the Partial Deletion as
specified in the Federal Register
NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Notice of Deletion final rule published in the Federal Register
or The effective date of the Notice of Deletion as specified in
the Federal Register
Special Planning/Reporting Requirements:
HQ will update the following SEMS data when 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, Partial Deletion and Deletion from NPL.
• Federal Register (FR) Citation - FR volume and page number in the following format
'##-FR-ppppppp'.
• FR Publication date.
• Effective Date.
• NPL Status of 'Proposed for NPL (P)', 'Removed from proposed NPL (R)', 'Currently on
Final NPL (F)', 'Withdrawn from NPL (W)', or "Deleted from the Final NPL (D)'.
In addition, for each site listed in the published rule, HQ will review and update the
following data (if needed):
• 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.
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The following additional data will be updated by the system when a site is proposed to
the NPL:
• The Final Assessment Decision (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.
• Location data updates include latitude/longitude, street address, city, county and zip
code.
NOTE: Further information on Deletion and Partial Deletion from the NPL can be found in
Chapter 8, titled 'Remedial Program.' NPL Listing is a program measure.
5.M 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.
When a site is added to the SEMS active site inventory, the Non-NPL Status should
generally be based on the initiating program as follows:
EXHIBIT 5.2. NON-NPL STATUS CODES BASED ON INITIATING PROGRAM
Initiating Program
Non-NPL Status
Federal Facility Remedial Site Assessment
Fed Fac Preliminary Assessment Review Start
Needed
Non-Federal Remedial Site Assessment Only
PA Start Needed
Non-Federal Removal Only
Removal Only Site (No Site Assessment Work
Needed)
Combination of Non-Federal Removal and Non-
Federal Remedial Site Assessment
Integrated Removal Assessment Preliminary
Assessment Start Needed
The Non-NPL Status field in SEMS displays the current Non-NPL Status for the site. User
may select from the drop down to enter or change the Non-NPL status of the site. The available
Non-NPL status values will be limited based on the NPL Status of the site. Regions should update
the Non-NPL Status field in SEMS as soon as possible following entry of a site assessment action
start and/or finish date. After completing a Site Assessment Decision form, the system will
prompt the user to review and update the Non-NPL status as necessary.
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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.
The Non-NPL Status Date 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.
5.N TRIBAL DATA
SEMS tracks several key data points related to work on sites that impact Native American
entities. For purposes of these data points, "Native American entity" may refer to an American
Indian tribe or Alaska Native entity.
• 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 Information screen for Region 9 and should be marked when adding
the site to SEMS.
• Native American Interest: The Native American Interest (NAI) 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 with potential, current, or former interest from one or more Native American
entities whose members or land are directly or indirectly affected by a potential or
known release. Examples of situations that may lead to a site being of interest to an
affected Native American entity include:
The site lies wholly or partially in Indian Country.
The site lies on territory previously ceded by the Native American entity.
The site overlaps "usual and accustomed" areas or other areas where the Native
American entity retains hunting, fishing, or gathering rights.
The Native American entity is located near the site and is affected by the release.
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The Native American entity holds a Fiduciary Trust over a natural resource that is
or may be affected by the release.
The Native American entity is the lead agency for an action at the site.
The Native American entity enters into a site-specific agreement such as a site
assessment cooperative agreement or receives a site-specific grant such as a
technical assistance grant or performance partnership grant.
A Native American entity indicates to EPA that it is interested in a site that it has
demonstrated a cultural affiliation with or has been affected by.
The site requires tribal consultation because of National Historic Preservation Act
requirements.
The NAI checkbox can be selected when a site is added to SEMS or at any point in the
pipeline. When this checkbox is selected, the "+ Add Site Tribe" prompt appears in SEMS
and users are required to associate at least one Native American entity. Any Native
American entity with interest in a site may be federally recognized or non-federally
recognized.
• NAI Status: "Potential", "Current" or "Former" should be selected for each tribe
associated to a site to reflect the status of their engagement with the site.
• NAI Status Date: NAI Status Date is defined as the date: 1) EPA initially determines a
tribe is interested in the site (default can be the date a tribe is added to the site in
SEMS); or 2) the date EPA learns tribal interest changed (e.g., date of letter or other
communication).
• Associating Site to a Native American Entity: The " Add Tribe" feature in SEMS opens
a searchable picklist of Native American entities available for selecting/associating to
a site. The list of available Native American entities consists of the official list of
federally recognized tribes in the Office of Mission Support - Environmental
Information (OMS-EI) Tribal Entity Mapping spreadsheet and a small number of non-
federally recognized tribes reported by regional EPA Superfund offices. At least one
Native American entity must be associated to a site when the Native American
Interest checkbox is selected. Additional entities can be associated to a site at any
time. Regions should notify the OSRTI tribal coordinator(s) if a new non-federally
recognized tribe needs to be added to the picklist in SEMS. Sites with an associated
federally recognized tribe are subject to applicable tribal consultation requirements
(although the region should also coordinate with non-federally recognized tribes
where they are interested in a site).
• Site On Tribal Land: The Site On Tribal Land field is used to indicate whether the
release of hazardous materials is or was in Indian country and any other land owned
by the selected Native American entity. For more information on the definition of
Indian Country, please visit the EPA website, or see your Regional Superfund Tribal
Coordinator.
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• Tribal Data Quality: Regions are responsible for maintaining accurate tribal data in
SEMS, including keeping the NAI flag, NAI Status, NAI Status Date, On Tribal Land flag
and associated tribe(s) up to date for each site. It is recommended to update tribal
data as needed, but to support data quality OSRTI provides an annual dissemination
of SEMS tribal data to Superfund regional tribal coordinators for quality
assurance/quality control review. SEMS report " PGMT-GS-D005 (PGMT-061) Sites
with Native American Interest" can be used to display current SEMS site-level data at
sites with the Native American Interest flag checked in SEMS. Various filters are
available to customize selection of sites and/or tribes. The report includes three
sections: sites sorted by tribe name, sites sorted by site name, and sites without an
associated tribe selected in SEMS. Additionally, EPA staff can access the Qlik Sense
SEMS Tribal Data Quality Dashboard here. This dashboard displays potential issues
with the accuracy of SEMS tribal indicators at NPL and SAA sites, and includes maps
with tribal boundaries and NPL/SAA site locations.
5.0 ELIGIBLE RESPONSE SITE EXCLUSION/ NO FURTHER FEDERAL ACTION
SEMS includes indicators to track Eligible Response Site (ERS) Exclusion and No Further
Federal Action (NFFA) Designations.
• 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), gs Added By the Smgll
Business Ligbility Relief gnd Brownfields Revitglizgtion Act, OSWER 9230.0-107, Mgrch
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
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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 and
sites with SAA agreements are not eligible to receive the NFFA designation. In
addition, if a site has any planned or ongoing enforcement, cost recovery or removal
activities, the user will not be allowed to make an NFFA determination.
SEMS will not allow the NFFA indicator to be selected if the ERS Exclusion indicator is
currently selected at a site.
For more information regarding NFFA decisions, please refer to the Regional
Determinations Regarding Which Sites are Not "Eligible Response Sites" under CERCLA
Section 101(41)(C)(i), gs Added By the Smgll Business Ligbility Relief gnd Brownfields
Revitglizgtion Act, OSWER 9230.0-107, Mgrch 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.
5.P 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.
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5.Q ARCHIVE INDICATOR
The Archive Indicator field in SEMS is used as a filter on Superfund reports and data sets
to delineate whether a site is still in, or has been removed from, the SEMS Active Site inventory.
The Archive designation represents a site-wide decision that no further interest exists at the site
under the federal Superfund program based on available information. It is a comprehensive
decision indicating there are no further Superfund site assessment, remedial, removal,
enforcement, cost recovery, or oversight activities being planned or conducted at the site.
Regions may perform re-evaluation work at a site while it is archived if site conditions change
and/or new information becomes available. Sites re-evaluated and determined to need
substantial site characterization and/or cleanup work under the federal Superfund program must
be returned to the SEMS active inventory. Regions may also record general enforcement-related
activities (e.g. issuance of comfort letter) at archived sites.
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
Indicator and Archive Date field as appropriate in a timely fashion. These categories are as
follows:
• 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.
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• 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.
• Other sites with no further federal Superfund interest based on currently available
information, including low priority NPL eligible sites where a state, tribal, or other
Federally managed cleanup program exists and the state, tribe, or other Federal
agency agrees NPL listing is not warranted based on available information.
• Sites assigned an NFFA designation as described in section 5.P, Eligible Response Site
Exclusion / No Further Federal Action, 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 action, and does not take into account any other
Superfund programmatic action 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. 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 action-related data such as start/finish dates, leads, qualifiers, etc.,
at existing actions.
A site cannot be archived if there are any planned or ongoing archive prohibited actions
at the site. SEMS will also prevent the archival of sites proposed to on (Final), or deleted from the
NPL).
Indicating that a site has been archived will result in a pop-up message asking the user if
they would like to make an NFFA determination at this time. If the user 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
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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 to
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.
• Archive Date: This date is system generated with the current date when the Archive
Indicator is updated. This field is editable and should reflect the date the site was last
archived or unarchived.
5.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/Rls, 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 action 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.
• 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 action, 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:
FY 25 SPIM
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• Upon completion of the site assessment action 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.
If the parent site is an NPL site (proposed, final or deleted), the child site(s) must have an
NPL Status of Site is Part of NPL site.
If the Parent is a Non-NPL site (not proposed, final or deleted), then the child site(s) must
have an NPL Status of Not on the NPL and a Non-NPL Status of Addressed as Part of Another Non-
NPL Site.
5.S FINAL ASSESSMENT DECISIONS (FAD)
The FAD field in SEMS is used as an indicator to track 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
action and date if any of the following conditions are met:
• The site or its parent site has been proposed to or placed on the NPL;
• The site has been removed from proposal to the NPL and no further remedial
assessment is needed;
• The decision made at the last completed remedial assessment at the site is either:
- NFRAP;
Referred to Removal-NFRAP;
Deferred to RCRA or 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 pursuant to an SAA agreement;
• Other Cleanup Activity (OCA) sites where no further site assessment work is
anticipated beyond reviewing cleanup or closeout reports and related information
(see section 6.A.8.k for more information on OCAs);
FY 25 SPIM
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• 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 FAD 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). HQ will select the FAD checkbox and enter the FAD date when a site is proposed to
the NPL.
• Final Assessment Decision Date: This date is system generated with the current date
when the checkbox is checked. This field is editable and should reflect the date the
final assessment decision was made.
5. T OPERABLE UNIT (OU)
An operable unit (OU) 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. OUs are used to break up the site into more manageable parts to perform
cleanup.
OU '00' is generally used to track site-wide activities such as remedial site assessment and
site-wide removal activities as well as some enforcement activities (e.g., Potentially Responsible
Party (PRP) Search, Liens, etc.). OUs 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 OUs 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], action code, OU in the project field; cost org
field/financial activity sequence number).
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5.U SITE DESCRIPTION
The Site Description field in SEMS is used to describe a site or incident such as history of
the land use, state of operations of the facility, etc. The Site Description is made available to the
public and therefore should not contain Personally Identifiable Information (PII).
5.1/ 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 25
Chapter 6: Remedial Site Assessment
FY 25 SPIM
Final September 2024
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CHAPTER i: Remedial Site Assessment
Table of Contents
6. A Introduction 1
6.A.1 Remedial Site Assessment Priorities 2
6.A.2 Remedial Site Assessment Backlogs 3
6.A.3 Overview of Remedial Site Assessment Targets and Measures 4
6.A.4 Data Quality and Data Entry Timeliness Requirement 6
a. Data Quality 6
b. Data Entry Timeliness Requirement 7
6.A.5 Action Qualifiers for Remedial Site Assessment Actions 7
a. No Further Remedial Action Planned (NFRAP) 8
b. Higher Priority/ Lower Priority 8
c. Refer to Removal 8
d. Site Addressed as Part of Another NPL or Non-NPL site 9
e. Referred From RCRA 10
f Deferred to RCRA 10
g. Deferred to NRC 10
h. Assessment Complete - Decision Needed 11
6.A.6 Remedial Site Assessment Critical Indicators 13
6.A.7 Coordination with State and Tribal Partners at Non-Federal Sites 13
6.A.8 Remedial Site Assessment Actions 14
a. 105d Petition for Preliminary Assessment (PA) 15
b. Pre-CERCLA Screening (PCS) 16
c. Remedial Site Initiation (Discovery) 20
d. Remedial Site Initiation (Discovery) versus Removal Site Initiation: 21
e. Preliminary Assessments (PA) at Non-Federal Sites 21
f Site Inspections (SI) at Non-Federal Sites 23
g. Site Reassessments at Non-Federal Sites 25
h. Expanded Site Inspections (ESI) at Non-Federal Sites 27
i. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites 28
j. Hazard Ranking System (HRS) Packages 30
k. Other Cleanup Activity (OCA) 32
I. Formal State Deferral 37
6.A.9 Cleanup Alternatives 38
a. Referral to EPA Removal 39
b. Deferral to RCRA 40
c. Deferral to Nuclear Regulatory Commission (NRC) 40
d. Other Cleanup Activity 41
e. Formal State Deferral 42
f Superfund Alternative Approach (SAA) 43
g. NPL Listing 45
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List of Exhibits
Exhibit 6.1 Superfund Remedial Site Assessment Process 2
Exhibit 6.2 Remedial Site Assessment Measures 6
Exhibit 6.3 Remedial Site Assessment Action Qualifiers 12
Exhibit 6.4 SEMS Action Template for Site Evaluation: SITE ASSESSMENT ACTIONS 15
Exhibit 6.5 105D Petition For Preliminary Assessment (PA) Requirements 16
Exhibit 6.6 Pre-CERCLA Screening Requirements 19
Exhibit 6.7. Remedial Site Initiation (Discovery) Requirements 20
Exhibit 6.8. Preliminary Assessment Requirements 23
Exhibit 6.9. Site Inspection Requirements 24
Exhibit 6.10. Site Reassesment Requirements 26
Exhibit 6.11. Expanded Site Inspection Requirements 28
Exhibit 6.12. ESI/RI Requirements 30
Exhibit 6.13. HRS Package Requirements 32
Exhibit 6.14. Other Cleanup Activity Requirements 35
Exhibit 6.15. State Deferral Requirements 38
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CHAPTER 6: REMEDIAL SITE ASSESSMENT
6.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. See exhibit 6.1 for a chart of this process. 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 (PCS). 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 (Executive Order 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 9, titled 'Federal Facility
Program.', Federal Facility Program.
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 No Further Remedial Action Planned
(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.
FY 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
Sites that do warrant further removal- or remedial-type study are referred to appropriate
cleanup authorities, programs or approaches for further work, including EPA removal; RCRA;
Nuclear Regulatory Commission (NRC); state, tribal, municipal or other federal cleanup programs;
the Superfund Alternative Approach (SAA); and the NPL.
EXHIBIT 6.1 SUPERFUND REMEDIAL SITE ASSESSMENT PROCESS
Site Assessment Process Under CERCLA
Pre-CERCLA
Screening
Discovery/Add
to Active Site
Inventory
1
Refer to Removal Program as necessary
Sites that do nut pass Pre-CERCLA Screening a re tracked in
the- SEMS Non-site i nventory as "Not a Va lid 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)*
HRS Package
*Process may also include
Expanded Site Inspection (ESI)
and/or Site Reassess me nt(SR)
Placement on the NPL
(NPL Listing Process)
6.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. The regions should include information from the EPA's Environmental Justice
Screening and Mapping Tool (EJScreen) and the Council of Environmental Quality's Climate and
Economic Justice Screening Tool (CEJST) during development of Pre-CERCLA Screening reports to
improve the Agency's awareness and understanding of environmental justice (EJ) concerns
associated with nearby communities at the beginning of the Superfund site assessment process.
FY 25 SPIM 6-2 Final September 2024
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OLEM Directive 9200.3-158
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, 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 tribal communities.
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 Superfund directive Guidance on Setting Priorities for NPL Candidate Sites,
OSWER 9203.1-06, October 1992 provides 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 of this chapter (section 6.A.9).
6.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 monitor regional progress on the numbers of non-federal sites needing
a PA or a listing decision using the SEMS SA-D012 and SA-D013 dashboards. 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.
FY 25 SPIM
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OLEM Directive 9200.3-158
6.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 6.2 displays the full list of remedial site assessment
actions defined in this chapter and the associated reporting hierarchy.
The primary measure for Superfund remedial assessment work is 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. Numeric regional RSAC targets are developed
annually and tracked in SEMS. RSAC accomplishment credit is given upon successfully recording
the completion of the following site assessment reports in SEMS:
• Pre-CERCLA Screening (PCS).
• PA.
• Federal Facility PA Review.
• Site Inspection (SI).
• Federal Facility SI Review.
• Expanded Site Inspection (ESI).
• Federal Facility ESI Review.
• Site Reassessment.
• Federal Facility Site Reassessment Review.
• ESI/Remedial Investigation (Rl).
• HRS Package.
Credit for completing a site assessment action is based on entry of specific data in SEMS
as described in section 6.A.8 of this chapter. In general, all site assessment actions must have site
coordinates tracked in SEMS to receive credit. Except for PCS actions, sites must have a
completed Remedial Site Initiation (Discovery) action recorded in SEMS to get accomplishment
credit for a Superfund remedial site assessment. In addition, entry of a Non-NPL Status value is
required to receive credit for a PCS at an invalid site. Only remedial assessments with a finish
date falling in the current 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 action will get captured in cumulative accomplishment (inception-
to-date) reporting. The overall program priority of assessing worst sites first shall be a valid factor
to consider when evaluating regional progress.
The annual and cumulative number of Superfund remedial site assessments completed
along with site and action detail will be captured on the Superfund Comprehensive
Accomplishments Plan (SCAP)-15 report and RSACs SA-D007 dashboard in SEMS and will be
included in EPA's Annual Report. RSAC data will also be included on the SCAP-13 report in SEMS.
FY 25 SPIM
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OLEM Directive 9200.3-158
The following 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 Superfund remedial
site assessments that result in:
a. A NFRAP decision
b. A decision the site is ineligible for entry into the Active site inventory (applies to
Pre-CERCLA screening)
c. Merging the site into another existing site
d. Placing the site in the Archive site inventory
2. # Remedial Site Assessments Completed: Remedial Study/Cleanup Needed - this measure
will capture the portion of 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, no further remedial assessment
d. Remedial activities under EPA enforcement, including sites addressed using an
SAA agreement
e. Other Cleanup Activity
f. Assessment Complete - Decision Needed
g. Referred to removal, needs further remedial assessment
3. # Remedial Site Assessments Completed: Further Site Assessment Needed - this measure
will capture the portion of 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. Needs a remedial preliminary assessment based on completion of a Pre-CERCLA
screening report
f. No decision entered or decision not included in previous two categories,
including Status Not Specified
The SEMS Site Assessment Inventory Status dashboard (SA-D014) is used to report the
results of assessments completed during the fiscal year and the number of sites needing remedial
assessment.
A new Site Assessment Environmental Justice Measure was initiated in FY2024 to advance
assessment work at sites located in communities with potential EJ concerns. The measure sets a
goal to perform assessment work at 20 percent of non-Federal sites in the SEMS Active Site
Inventory with locations relating to seven (7) or more EJScreen indexes at or above the 80th
percentile and where the site Non-NPL Status is one of the following:
FY 25 SPIM
6-5
Final September 2024
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OLEM Directive 9200.3-158
• Assessment Needed or Ongoing
• HRS Package Completed-Further Evaluation Needed
• Status Unspecified
• Referred to Removal-Further Assessment Needed
The SEMS Site Assessment EJ Measure dashboard (SA-D009) tracks the universe of sites
eligible to receive credit for this measure along with current progress. Each site can only get credit
one time during the measure tracking period. Sites tracked in SEMS as Federal Facilities and/or
as Formerly Used Defense Sites (FUDS) are excluded from the measure universe.
The Site Assessment Data Quality Measure helps ensure site assessment site information
posted on SEMS public webpages is complete, current, consistent and accurate. The Office of
Superfund Remediation and Technology Innovation (OSRTI) will work with regions to identify
SEMS data issues needing research and possible correction, establish regional goals to address
these issues, and monitor progress towards achieving these goals.
Exhibit 6.2. presents a comprehensive list and reporting status of remedial site
assessment measures:
EXHIBIT 6.1 REMEDIAL SITE ASSESSMENT MEASURES
Measure
External Program Reporting
Internal
Program
Reporting
No. of Superfund Remedial Site Assessment Completions (RSACs)
Superfund Annual Remedial
Accomplishment Report
Target
No. of RSACs: NFRAP
Superfund Annual Remedial
Accomplishment Report
Measure
No. of RSACs: Remedial Study/Cleanup Needed
Superfund Annual Remedial
Accomplishment Report
Measure
No. of RSACs: Further Site Assessment Needed
Superfund Annual Remedial
Accomplishment Report
Measure
SEMS Site Assessment Data Quality Measure
Not applicable
Measure
Site Assessment Environmental Justice (EJ) Measure
Not applicable
Measure
Key to Reporting Hierarchy
Measure = SCAP reporting measure but target not required.
6.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. The SEMS Site Assessment DQ Measure dashboard (SA-D008) displays
FY 25 SPIM
6-6
Final September 2024
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OLEM Directive 9200.3-158
information on sites with potential remedial site assessment data errors. Regions are
required to review the data issues on this dashboard prior to the end of each fiscal year
and make data corrections in SEMS as necessary to ensure end of year reporting is
accurate and site assessment information posted on SEMS public webpages is complete,
correct and consistent. This review applies to remedial assessment actions completed in
the current fiscal year. The SEMS RSAC Audit dashboard (SA-D011) can be used to identify
site data tracking issues that are preventing a site assessment action from receiving
accomplishment credit on SEMS progress reports.
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 ensure data are reflected in quarterly reporting, 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.
6.A.5 Action Qualifiers for Remedial Site Assessment Actions
Site screening and assessment decisions are made upon completion of most types of
remedial assessment actions. These decisions are tracked in SEMS as 'qualifiers' for applicable
actions. To achieve accomplishment credit, the following actions must have a qualifier recorded
for them in the SEMS Site Management module (qualifiers are added on the Edit Site Schedule
table):
• PA.
• Federal Facility PA Review.
• SI.
• Federal Facility SI Review.
• ESI.
• Federal Facility ESI Review.
• Site Reassessment.
• Federal Facility Site Reassessment Review.
• ESI/RI.
• HRS Package.
The following actions 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.
• Formal State Deferral.
FY 25 SPIM
6-7
Final September 2024
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OLEM Directive 9200.3-158
SEMS Site Assessment DQ Measure dashboard (SA-D008) includes a 'Missing Qualifier at
Completed Site Assessment Action' line item. Regions should pay particular attention to this data
issue since it may prevent RSAC accomplishment credit and impact 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 6.3. Remedial Site Assessment Action
Qualifiers displays available decisions/qualifiers for each type of remedial site assessment action.
The following provides additional details for select decisions/qualifiers:
a. No Further Remedial Action Planned (NFRAP)
A NFRAP determination indicates the site does not qualify for the NPL based on available
information unless new information warranting further assessment 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 actions or if other Superfund interest still exists, even if a NFRAP decision
was made based on remedial site assessment actions.
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 action, the region may determine that a time-
critical, non-time critical, or other action 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 valuesorother information indicatingthe site
may pose an imminent threat to human health or the environment. See the Office of Land
and Emergency Management (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
action, 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
FY 25 SPIM
6-8
Final September 2024
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OLEM Directive 9200.3-158
remedial assessment will still be needed following completion of work by the removal
program. The two decisions are self-explanatory and include:
• Referred to Removal, Needs Further Remedial Assessment.
• Referred to Removal, No Further Remedial Assessment.
Regions should monitor those sites referred to removal that need further remedial
assessment to ensure additional remedial assessment is not overlooked once removal
work is complete. These sites are included in the "Referred to Removal - Needs Further
Assessment" component of the SEMS Removal and Other Cleanup Activity (OCA) Sites to
Monitor dashboard (SA-D006).
Sites with Removal-Only or Referred to Removal, No Further Remedial Assessment
designations will be excluded from the backlog of sites needing remedial assessments.
d. Site Addressed as Part of Another NPL or Non-NPL site
Upon completion of a remedial site assessment action, 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 action 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.
• Add the parent site to the child site in the Details section of the Site Summary
screen for the child site.
• Add the child site to the parent site in the Details section of the Site Summary
screen 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.
FY 25 SPIM
6-9
Final September 2024
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OLEM Directive 9200.3-158
e. Referred From RCRA
Referred to Superfund from RCRA due to owner inability to finance corrective action
under RCRA. This qualifier only applies to the Remedial Site Initiation (Discovery) action.
f. Deferred to RCRA
Upon completion of a remedial assessment action, 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 and
documentation requirements: Interim Guidance in Response to the OIG Audit "Superfund
Sites Deferred to RCRA". OSWER 9200.1-31P. December 1999 and Memo Regarding
Coordingtion between RCRA Corrective Action Closure gnd CERCLA Site Activities,
September 1996.
Per the 1999 interim guidance referenced above, regional Superfund staff must provide
written notification to RCRA staff when deferring a site from Superfund to RCRA and RCRA
staff must confirm receipt of the deferral. When a deferred site cannot be addressed
under RCRA, OSRTI's expectation is that RCRA staff will notify Superfund in which case
Superfund staff will then need to determine the next step to address the site. RCRA sites
not subject to Subtitle C can continue to be considered for NPL listing. If a site can be
addressed under RCRA but does not qualify for the NPL, the site should be assigned a
NFRAP decision. The 1999 interim guidance also recommends regional Superfund and
RCRA staff maintain regular contact to discuss the status of sites that could potentially be
deferred or that were recently deferred between programs.
SEMS includes a Related Sites feature on the Site Information/Details screen. Once
confirmation of a deferred site to RCRA is received by Superfund, the deferred SEMS site
should be related to the RCRA facility as necessary using the Related Sites feature in SEMS.
Related sites are displayed on the SEMS FOIA-8 CERCLA to RCRA Site Associations report
posted on the public SEMS Data and Reports webpage.
g. Deferred to NRC
Since September 8,1983, EPA has generally deferred listing on the CERCLA NPL those sites
that are subject to NRC's licensing authority, in recognition that NRC's actions are
believed to be consistent with the CERCLA requirement to protect human health and the
environment. However, as EPA indicated in the Federal Register notice announcing the
policy of CERCLA deferral to NRC, if EPA "determines that sites which it has not listed as
a matter of policy are not being properly responded to, the Agency will consider listing
those sites on the NPL" (see 48 FR 40658).
In a Memorandum of Understanding (MOU) signed in 2002 by EPA and NRC, EPA
reaffirmed its previous 1983 deferral policy. EPA expects that any need for EPA CERCLA
FY 25 SPIM
6-10
Final September 2024
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OLEM Directive 9200.3-158
involvement in the decommissioning of NRC licensed sites should continue to occur very
infrequently because EPA expects that the vast majority of facilities decommissioned
under NRC authority will be decommissioned in a manner that is fully protective of human
health and the environment. By this MOU, EPA agreed to a deferral policy regarding NRC
decision-making without the need for consultation except in certain limited
circumstances as specified in paragraphs V.C.2 and V.C.3 of the MOU.
The following documents provide additional details on deferrals to NRC and the EPA/NRC
MOU:
• Amendment to the NCP/NPL (section: Releases of Radioactive Materials), FR 48
40661, September 8. 1983; Memorandum Of Understanding (MOU) between the
U.S. EPA and the U.S. Nuclear Regulatory Commission regarding Consultation and
Finglity on Decommissioning gnd Decontgmingtion of Contgmingted Sites, OSWER
No. 9295.8-06g. October 9. 2002.
• Distribution of Memorgndum of Understgnding between EPA gnd the Nuclegr
Regulgtory Commission, OSWER NO. 9295.8-06g, October 9, 2002.
h. 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).
When this qualifier is added to an action on the site schedule in SEMS, the site Non-NPL
Status should be changed to "Assessment Complete - Decision Needed" and assigned a
Non-NPL Status Date matching the completion date of the action.
Upon EPA determination of a remedial cleanup program approach at a site with a Non-
NPL Status of Assessment Complete - Decision Needed, the site Non-NPL Status should
be updated to reflect the appropriate cleanup approach (e.g., Other Cleanup Activity,
Remedial Activities Under EPA Enforcement) and assigned a Non-NPL Status Date
reflecting the date the cleanup program approach was selected. The Non-NPL Status
Change Reason field can be used as necessary to add details regarding the cleanup
program selection. The site schedule action with the qualifier of "Assessment Complete -
Decision Needed" should remain unchanged to maintain the audit trail of site assessment
decisions made at the site.
FY 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 6.2 REMEDIAL SITE ASSESSMENT ACTION QUALIFIERS
Available Action Decisions
SITE ASSESSMENT
ACTION NAMES & CODES
Pre-CERCLA Screening
HX
y
y
NOT APPLICABLE
Remedial Site Initiation (Discovery)
DS
y
Preliminary Assessment
PA
V
y
~
~
~
y
y
V
y
y
y
y
Federal Facilty PA Review
RX
~
~
y
V*
~
<~
V
y
y
y
Site Inspection
SI
V
y
~
~
«~
~
y
y
y
y
y
Federal Facility SI Review
TY
y
y
~
~
y
V
~
y
y
y
Site Reassessment
OO
y
V
~
~
y
y
y
y
y
y
y
y
Federal Facility Site Reassessment Review
ZC
y
V
y
V
V*
y
y
y
y
y
Expanded Site Inspections
ES
y
V
y
y
y
y
y
y
~
y
y
y
Federal Facility ESI Review
TZ
~
V
y
y
y
V
y
y
y
y
ESI/RI
SS
y
V
y
y
y
y
V
y
y
y
y
State Deferral
AQ
y
y
HRS Package
HR
y
V
v"
~
y
y
y
y
y
Other Cleanup Activity
VA
y
V
~
y
V
V
~
«~
y
y
y
y
y
y
FY 25 SPIM
6-12
Final September 2024
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OLEM Directive 9200.3-158
6.A.6 Remedial Site Assessment Critical Indicators
Critical Indicators are used in SEMS to further describe the action at the site. Critical
indicators are entered on the Edit Site Schedule table in the SEMS Site Management module. The
critical indicators available for remedial site assessment actions include:
• Abbreviated PA - Available for the following actions:
- PA.
Federal Facility PA Review.
• Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available for
the following actions:
- PA.
Site Inspection.
- ESI.
Site Reassessment.
HRS Package.
Integrated ESI/Remedial Investigation.
Removal Assessment.
6.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 actions, 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;
• communicating site decisions and new and relevant site information to applicable
states and tribes with known interest in a timely manner;
FY 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
• transferring relevant site information in a timely manner and as necessary when
sites are referred to a cleanup program 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.
Additional information on coordinating site assessment with state and tribal partners is
available to EPA staff and presented in EPA's Quick Tips: Superfund Site Assessment Coordination
at Non-Federal Sites, December 2016.
6.A.8 Remedial Site Assessment Actions
Remedial site assessment and NPL listing actions need to be tracked in SEMS. These
actions are captured under several different actions in the Site Evaluation section of the SEMS
Action Template. Exhibit 6.4 displays Site Assessment actions included in the SEMS Action
Template for Site Evaluation. Documents supporting site assessment actions are captured in
SEMS Records Management (SEMS-RM). The SEMS-RM Document Identification number is
associated to the action on the site schedule in SEMS Site Management (SEMS-SM). Chapter XIII,
titled 'Superfund Records Management,' includes a list of documents that must be tracked in
SEMS-RM. This list should be reviewed to determine which site assessment actions require
documents in SEMS-RM and need to be associated with the action in SEMS-SM.
The following SEMS 2.0 User Guides provide information on entering remedial site
assessment and related information into SEMS:
• Navigation User Guide
• Site Search User Guide
• Add and Delete CERCLA and Non-CERCLA Sites User Guide
• Site Summary User Guide
• Site Schedule User Guide
• Action Details Site Evaluation User Guide
These guides can be found in the SEMS 2.0 Communication SharePoint site.
FY 25 SPIM
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OLEM Directive 9200.3-158
EXHIBIT 6.3 SEMS ACTION TEMPLATE FOR SITE EVALUATION: SITE ASSESSMENT ACTIONS
Program/Phase/Action
Site Identification
SITE EVALUATION: Site Assessment Actions
SEMS CODE
Pre-CERCLA Screening Report
HX
105d Petition for PA
ZS
Site Initiation
SITE EVALUATION: Site Assessment Actions
SEMS CODE
Remedial Site Initiation (Discovery)
DS
Pre-Remedial Site Evaluation
SITE EVALUATION: Site Assessment Actions
SEMS CODE
Preliminary Assessment
PA
FF Preliminary Assessment Review
RX
Site Inspection
SI
FF Site Inspection Review
TY
Site Reassessment
00
FF Site Reassessment Review
ZC
Expanded Site Inspection
ES
FF Expanded Site Inspection Review
TZ
Expanded Site Inspection/Remedial Investigation ESI/RI
SS
HRS
HR
Formal State Deferral
AO
Other Cleanup Activity (OCA)
VA
Generic Assessment (used for funding purposes)
QB
a. 105d Petition for Preliminary Assessment (PA)
Action Definition:
This action is used to track receipt of and response to a CERCLA section 105d Petition for
a PA. 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. See SPIM Chapter 9 Federal Facility Program for additional
information on petitions involving Federal Facilities. See exhibit 6.5 for a chart of 105d
petition for PA requirements.
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Accomplishment Definition:
105d Petition for PA Starts: The date EPA receives a valid 105D Petition for a PA from any
person or organization. Valid means the petition contains the minimum information
described in EPA's Preliminary Assessment Petition Fact Sheet. OSWER 9200.5-330FS,
October 2002, including how the petitioner is affected by the release.
105d Petition for PA Completions: The date EPA provides a formal response to the
petitioner describing whether the petition was approved and the reasons for the decision,
regarding the petition.
EXHIBIT 6.4 105D PETITION FOR PRELIMINARY ASSESSMENT (PA) REQUIREMENTS
Action
Performance Lead
Action Date Requirements
105d Petition for PA
EPA Performed In-House
Start: A CERCLA 105d Petition for a Preliminary
Assessment is received by EPA.
Finish: EPA orovides a formal resoonse to the oetitioner.
Special Planning/Reporting Requirements:
EPA must respond to a valid 105D Petition for PA within one year of receipt of the petition.
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 a PCS is performed and the site warrants entry into the Active inventory, or if the region
determines a PCS is unnecessary because a PA is warranted, the PA must be completed
and a copy provided to the petition within one year of receipt of the petition.
b. Pre-CERCLA Screening (PCS)
Action 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 actions 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.
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PCS actions generally apply to non-Federal facility sites. PCS actions 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 actions 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 Global Positioning System (GPS)
coordinates, if available).
• Zip Code (if available).
A search for the site in the SEMS Active, Archive and Non-site inventories using the SEMS
Site Search Dashboard or other reliable data source(s) should be completed prior to
initiating a PCS. PCS actions should not be performed at sites in the SEMS Active or Archive
site inventories. Initial or subsequent PCS actions 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 action. For PCS work conducted by a state or tribe
pursuant to a cooperative agreement with EPA, the site(s) can be added to the SEMS
database after EPA receives the PCS report.
For planning purposes, regions should complete a PCS report within one year after
determining a PCS is warranted. The SEMS Sites Needing a Pre-CERCLA Screening (SA-
D003) report, 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 Chapter 13, titled 'Superfund Records
Management.' At a minimum, a PCS report should contain:
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• a completed Pre-CERCLA Screening Checklist/Decision Form in electronic format
compatible with SEMS data processing requirements (the latest version of the PCS
checklist is posted on EPA's Pre-CERCLA Screening webpage); and
• a site map.
A Remedial Site Initiation (Discovery) action 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 and the Revised Pre-CERCLA
Screening Guidance, December 2016.
Accomplishment Definition:
Pre-CERCLA Screening Start - A Pre-CERCLA screening action is started when: l)the region
begins collecting data and performing othertasks 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 action start date and an
action lead of: EPA; EPA-ln House; State; or Tribe. The Pre-CERCLA screening action start
date can be the same as the action finish date.
Pre-CERCLA Screening Completion - A Pre-CERCLA screening is completed when:
• a PCS checklist 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 action 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 action, 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' in the Site Statuses section of the Site Summary
screen in the SEMS Site Management module.
• A Non-NPL Status of 'PA Start Needed' in the Site Statuses section of the Site
Summary screen.
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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' in the Site Statuses section of the Site Summary
screen in the SEMS Site Management module.
• A Non-NPL Status of 'Integrated Removal Assessment PA Start Needed' in the Site
Statuses section of the Site Summary screen.
Sites that require only removal work:
• A Removal Site Initiation finish date.
• An NPL Status of 'Not on the NPL' in the Site Statuses section of the Site Summary
screen.
• A Non-NPL Status of 'Removal Only' in the Site Statuses section of the Site
Summary screen.
Sites that require no further evaluation beyond the Pre-CERCLA screening:
• An NPL Status of 'Not a Valid Site or Incident' in the Site Statuses section of the
Site Summary 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 6.5 PRE-CERCLA SCREENING REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Pre-CERCLA Screening
Report
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: Date the Technical Direction Document (TDD) is
issued or EPA or state/tribal government staff start
work on the Pre-CERCLA Screening.
Finish: An aoDrooriate EPA regional official aooroves.
signs and dates the Pre-CERCLA Screening report.
Special Planning/Reporting Requirements:
All Pre-CERCLA screening actions should be tracked in SEMS, including actions at sites not
found to be CERCLA-eligible or otherwise eligible for entry into the Active site inventory.
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.
Starting in FY2025, RSAC accomplishment credit will not be given at sites without site
coordinates entered into SEMS. Further, accomplishment credit for a PCS will not be given
if the PCS completion date is after the Site Discovery date.
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SEMS includes/will include an Auto-Populate Pre-CERCLA Screening Data feature in the
Site Management module to facilitate entry of required data on the Pre-CERCLA Screening
checklist. This feature also creates a Portable Document Format (PDF) file of the
completed checklist in SEMS Records Management and associates this record to the site.
A PCS can be performed in lieu of a PA at sites referred to remedial assessment from EPA's
removal program only if the site does not already exist in the Active site inventory. If the
referred site already exists in the Active site inventory, a PA or Combined PA/SI should be
performed.
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
6.A.4 for details.
c. Remedial Site Initiation (Discovery)
Action 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 actions.
All sites moving through the remedial site assessment process must have a Remedial Site
Initiation (Discovery) action 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. See exhibit 6.5 for a chart of discovery
requirements.
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. See SPIM Chapter 9 Federal Facility Program for
additional information on the Site Discovery process at Federal Facilities.
EXHIBIT 6.6. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Remedial Site Initiation
(Discovery)
EPA Performed,
EPA Performed In-House,
Start/Finish: Documentation of the decision that the
site warrants Superfund remedial site assessment.
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Action
Performance Lead
Action Date Requirements
State Performed,
Tribe Performed
Special Planning/Reporting Requirements:
A schedule will automatically be generated when a new site is added to SEMS. SEMS will
assign the same calendar date to 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) actions are not
allowed.
d. Remedial Site Initiation (Discovery) versus Removal Site Initiation:
The Removal Site Initiation action 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 action and a Remedial Site Initiation (Discovery) action.
The Remedial Site Initiation (Discovery) actual start and finish date for a site referred from
removal to remedial assessment orfrom RCRAto remedial assessment should be the date
the referral decision is made.
Referrals from RCRA and accepted by the Superfund remedial site assessment program
should be tracked in in SEMS by adding the "Referred from RCRA" critical indicator to the
"Remedial Site Initiation (Site Discovery) action.
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
6.A.4 for details.
e. Preliminary Assessments (PA) at Non-Federal Sites
Action 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;
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however, limited sampling may be performed as necessary to determine whether further
assessment (e.g., site inspection) is needed. See exhibit 6.6 for a chart of PA requirements.
Regions also have been encouraged to further reduce repetitive site characterization
tasks and costs by combining site assessment and removal evaluation actions where
warranted by site conditions. An integrated removal assessment and remedial
preliminary assessment combines requirements of a both types of assessments into a
single report.
There are instances when an Abbreviated Preliminary Assessment (APA) can be
performed in lieu of a standard PA. An APA is preferred when: 1) available information
indicates the site would not pass the Pre-CERCLA screening step if it was not already in
the SEMS 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.
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-ln House; State; or Tribal. PA start
dates are required and are used by HQ as a program measure.
PA Completions - A PA 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 Remedial Site Assessment Decision
Form in SEMS.
A valid decision must be recorded in SEMS upon completion of the PA. Please refer to
exhibit 6.3 for a list of valid qualifiers for this action and a description of each qualifier.
FY 25 SPIM
6-22
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OLEM Directive 9200.3-158
EXHIBIT 6.7. PRELIMINARY ASSESSMENT REQUIREMENTS
Site must be a non-Federal Facility site
Action
Performance Lead
Action Date Requirements
Preliminary Assessment
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: A letter, memo, or form approving the site-specific
work plan or TDD is signed by the appropriate official or
EPA or state/tribal government start work on the
Preliminary Assessment.
Finish: An appropriate EPA regional official approves, signs
and dates the Preliminary Assessment report and a site
decision form is completed.
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. Starting in FY2025, RSAC accomplishment credit will not be given
at sites without site coordinates entered into SEMS.
Integrated removal assessment and remedial preliminary assessment reports are tracked
in SEMS by entering a PA action and selecting INTEGRATED RV/RMDL as a critical indicator
on the PA in the Edit Site Schedule table in the SEMS Site Management module.
APA reports are tracked in SEMS by entering a PA action and selecting APA as a critical
indicator of the PA in the Edit Schedule table in the SEMS Site Management module.
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
6.A.4 for details.
Please refer to Chapter 9, titled 'Federal Facility Program,' for a description of Federal
Facility PA Review activities performed at Federal Facilities.
f. Site Inspections (SI) at Non-Federal Sites
Action 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 action to determine what steps, if any, need to occur next at the site. Regions
FY 25 SPIM
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should employ Field Analytical Sampling (FAS) techniques wherever practical during
conduct of SI actions. See exhibit 6.7 for a chart of SI requirements.
Regions also have been encouraged to further reduce repetitive site characterization
tasks and costs by combining site assessment and removal evaluation actions where
warranted by site conditions. An integrated removal assessment and remedial site
inspection combines requirements of both types of assessments into a single report.
See section 6.A.8.e., Preliminary Assessments (PA) at Non-Federal Sites, above for a
discussion on combining PA and SI actions 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
1991X for further guidance on defining SI starts) and SEMS contains the actual SI start date
and a performing lead of: EPA; EPA-ln 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.
A valid decision must be recorded in SEMS upon completion of the SI. Please refer to
exhibit 6.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT 6.8. SITE INSPECTION REQUIREMENTS
Site must be a non-Federal Facility site
Action
Performance Lead
Action Date Requirements
Site Inspection
EPA Performed
EPA Performed In-House
State Performed
Tribe Performed
Start: A letter, memo, or form aoorovine the site-soecific
work plan or TDD is signed by the appropriate official or
EPA or state/tribal government start work on the Site
Inspection.
Finish: An aoDrooriate EPA regional official aooroves. signs
and dates the Site Inspection report and a site decision
form is completed.
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OLEM Directive 9200.3-158
Special Planning/Reporting Requirements:
For planning purposes, Sis at non-federal sites are expected to average two years from
start to completion. Starting in FY2025, RSAC accomplishment credit will not be given at
sites without site coordinates entered into SEMS.
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 for the
SI on the Edit Site Schedule table in the SEMS Site Management module.
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
6.A.4 for details.
Please refer to Chapter 9, titled 'Federal Facility Program,' for a description of Federal
Facility SI Review actions performed at Federal Facilities.
g. Site Reassessments at Non-Federal Sites
Action 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 actions (e.g., Preliminary Assessment, Site
Inspection). The scope of work for a Site Reassessment action is flexible but will usually
represent a component of a traditional site assessment action. The intent of the Site
Reassessment action is to document the expenditure of Superfund resources on older
sites where EPA has received new information or learned that site conditions have
changed. A Site Reassessment can also be performed to review substantive new
information at an Other Cleanup Activity site being considered for a NFRAP decision or an
alternative cleanup approach. See additional information on performing site
reassessments at OCA sites in section k. Other Cleanup Activity (OCA) further below in
this chapter. This action is also used to record further assessment decisions made after
reviewing this new site information. A brief summary of work performed as part of the
Site Reassessment action and the related site decision as a result of this work must be
FY 25 SPIM
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documented by completing the https://semspub.epa.gov/work/HQ/100003487.pdf in
SEMS. A Site Reassessment action should not be used for the sole purpose of correcting
a data entry error in SEMS. See exhibit 6.8 for a chart of site reassessment requirements.
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-ln 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.
A valid decision must be recorded in SEMS upon completion of the Site Reassessment.
Please refer to exhibit 6.3 for a list of valid qualifiers for this action and a description of
each qualifier.
EXHIBIT 6.9. SITE REASSESMENT REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Site Reassessment
EPA Performed
EPA Performed In-House
State Performed
Tribe Performed
Start: A letter, memo, or form aoDrovins the site-soecific
work plan or TDD is signed by the appropriate official or
EPA or state/tribal government staff start work on the Site
Reassessment.
Finish: An aoDrooriate EPA regional official aooroves. signs
and dates the Site Reassessment Report and a site
decision form is completed.
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
Reassessment actions. Site Reassessments are reported site-specifically in SEMS. Site
Reassessment completions are program measures for non-Federal Facilities. Starting in
FY2025, RSAC accomplishment credit will not be given at sites without site coordinates
entered into SEMS.
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Integrated removal assessment and remedial Site Reassessment reports are tracked in
SEMS by entering a Site Reassessment action and selecting INTEGRATED RV/RMDL as a
critical indicator in the Edit Site Schedule table in the SEMS Site Management module
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
6.A.4 for details.
Please refer to Chapter 9, titled 'Federal Facility Program/ for a description of Federal
Facility Site Reassessment Review actions as performed at Federal Facilities.
h. Expanded Site Inspections (ESI) at Non-Federal Sites
Action 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. See exhibit 6.9 for a chart of ESI requirements.
Regions also have been encouraged to further reduce repetitive site characterization
tasks and costs by combining site assessment and removal evaluation actions where
warranted by site conditions. An integrated removal assessment and ESI combines
requirements of a both types of assessments into a single report.
See section 6.A.8.e., Preliminary Assessments (PA) at Non-Federal Sites, above for a
discussion on combining PA and SI actions 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 action lead of: EPA; EPA-ln House; State; orTribal.
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
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• the decision is documented by completing the Example Remedial Site Assessment
Decision, Form 9100-3 in SEMS.
A valid decision must be recorded in SEMS upon completion of the ESI. Please refer to
exhibit 6.3 for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT 6.10. EXPANDED SITE INSPECTION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Expanded Site Inspection
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed,
Start: A letter, memo, or form approving the site-
specific work plan or TDD is signed by the
appropriate official or state/tribal government staff
to start work on the Expanded Site Inspection.
Finish: An aoDrooriate EPA regional official
approves, signs and dates the ESI report and a site
decision form is completed.
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. Starting in FY2025, RSAC
accomplishment credit will not be given at sites without site coordinates entered into
SEMS.
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 Edit Site Schedule table 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
6.A.4 for details.
Please referto Chapter9, titled 'Federal Facility Program,' fora description of this Federal
Facility ESI Review actions performed at Federal Facilities.
i. Integrated ESI/Remedial Investigations (ESI/RI) at Non-Federal Sites
Action Definition:
The integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) is an assessment
consisting of an ESI and a Rl. The ESI/RI is used to expedite remedial response by gathering
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site characterization data common to both ESI and Rl actions in one step, thereby
expediting the later collection of data when comprehensive Rl activities are performed.
The goal of ESI/Rls is to save time and costs characterizing sites when compared to the
traditional, sequential ESI-NPL Listing-RI process. ESI/Rls facilitate but do not replace RIs
and may be performed at sites where conditions indicate that the HRS score will be 28.5
or higher and a remedial response will be needed. The Rl portion of an ESI/RI is intended
to be a sitewide action. ESI/RI actions should be entered into SEMS at operable unit 00.
See exhibit 6.10 for a chart of ESI/RI requirements.
ESI/Rls may not always be feasible given known site conditions and actions completed to
date. In some cases, it may be more prudent to conduct a separate ESI and Rl. The
definitions for Remedial Investigation/Feasibility Study (RI/FS) Completion and Rl
Completion (see definitions in Chapter 8, titled 'Remedial Program') are different from
the definition for ESI/RI Completion. The definition of an ESI/RI Completion is the same
as that of an ESI Completion. If an ESI/RI action is recorded in SEMS, a stand-alone ESI
action 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 actions 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 action lead of: EPA; EPA-ln House; State; orTribal.
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 Remedial Site Assessment Decision,
Form 9100-3 in SEMS.
• A valid decision must be recorded in SEMS upon completion of the ESI/RI. Please
refer to exhibit 6.3 for a list of valid qualifiers for this action and a description of
each qualifier.
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EXHIBIT 6.11. ESI/RI REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Expanded Site
Inspection/Remedial
Investigation ESI/RI
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed,
Start: A letter, memo, or form aoDrovins the site-
specific work plan or TDD is signed by the appropriate
official to start work on the Expanded Site Inspection
and Remedial Investigation.
Finish: An appropriate EPA regional official approves,
signs and dates the Integrated Expanded Site
Inspection and Remedial Investigation report and a
site decision form is completed.
Special Planning/Reporting Requirements:
For planning purposes, ESI/Rls are expected to average one year from start to completion.
Actual start and finish dates are required for ESI/Rls. ESI actions 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. Starting in FY2025, RSAC accomplishment
credit will not be given at sites without site coordinates entered into SEMS.
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 Edit Site
Schedule table 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
6.A.4 for details.
j. Hazard Ranking System (HRS) Packages
Action 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
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steps, if any, are appropriate for a site (e.g., NPL listing, NFRAP, etc.). See exhibit 6.11 for
a chart of HRS package requirements.
A full HRS package is required for sites being addressed through the SAA; however, the
HRS package does not have to go through the EPA HQ QA process.
Regions also have been encouraged to further reduce repetitive site characterization
tasks and costs by combining site assessment and removal evaluation actions 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-ln House;
State; orTribal. 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 action 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.
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 6.3 for a list of valid qualifiers for this action and a description of each
qualifier.
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EXHIBIT 6.12. HRS PACKAGE REQUIREMENTS
Action
Performance Lead
Action Date Requirements
HRS
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed,
Start: A letter, memo, or form aoDrovins the site-
specific work plan or TDD is signed by the
appropriate official or state/tribal government staff
to start work on the HRS Package.
Finish: HRS Package has comoleted HQ aualitv
assurance review and HQ and the Region agrees to a
final version, or HRS Package is completed at a site
with a Superfund Alternative Agreement.
Special Planning/Reporting Requirements:
For planning purposes, HRS packages are expected to average one year from start to
completion. Starting in FY2025, RSAC accomplishment credit will not be given at sites
without site coordinates entered into SEMS.
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
Edit Schedule table 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
6.A.4 for details.
k. Other Cleanup Activity (OCA)
Action Definition:
This action is used to document the referral of a non-NPL site to a state, tribal, or federal
environmental cleanup program for remedial-type work without EPA enforcement or
oversight. EPA expects remedial-type work at these sites will be completed under the
laws, regulations and policies applicable to the state, tribe or other Federal agency
managing the cleanup work. 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. See exhibit 6.14 for a chart of other cleanup activity requirements.
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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 review the status at each OCA site at least once every two years to
determine whether the site still meets the definition of an OCA site, and to confirm the
OCA approach is still the optimal cleanup approach based on site-specific circumstances.
Status reviews may include reviewing information provided by the state, tribe, or other
Federal agency such as site listings, online or other readily available information
resources, site summaries, or other relevant content enabling EPA to determine if the
OCA status is still accurate.
The Non-NPL Status and Non-NPL Status Date should be updated to reflect the results of
the status reviews if:
• sufficient progress is being made such that the site is no longer considered a likely
NPL candidate or otherwise no longer meets the definition of an OCA site, the
Non-NPL Status can be changed (e.g., NFRAP) and the Non-NPL Status Date should
be updated to reflect the date of this determination;
• the OCA approach is determined to no longer be the optimal cleanup approach
but the site is still considered a likely NPL candidate, the Non-NPL Status should
be changed (assign Assessment Complete-Decision Needed if an alternative
cleanup approach has not been determined) and the Non-NPL Status Date should
be updated to reflect the date of this determination;
• a status review determines the OCA approach is still warranted, the Non-NPL
Status should continue to reflect the OCA status and the Non-NPL Status Date
should be updated to reflect the date of this determination.
Regions should use the "OCA Sites with Non-NPL Status > 2 Yrs Old" component of the
SEMS Removal and OCA Sites to Monitor dashboard (SA-D006) to obtain a list of OCA sites
that have not been checked in over two years based on the Non-NPL Status Date in SEMS.
When new site information is received at an OCA site, a Site Reassessment or other
remedial site assessment action may be performed to determine whether the site is still
eligible for the NPL. The Site Reassessment, or other remedial site assessment action
listed in section 6.A.3 of this chapter, receives credit towards the RSAC accomplishment
measure. However, a started or completed OCA action does not itself receive RSAC
accomplishment credit. See Special Planning/Reporting Requirements below for
associated SEMS tracking details when a remedial site assessment is performed at an OCA
site.
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
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consideration or acknowledges that the site is being cleaned up by a non-EPA party as
supported by existing documentation. Preferred minimum documentation required to
proceed with an OCA start is written confirmation from the other party that it agrees to
take the lead and provide cleanup status updates to EPA on at least a bi-annual basis. 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 is 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 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 action and a NFRAP qualifier should be
entered into SEMS, and the site can be archived if no further Superfund interest exists.
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 action 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 action 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 action
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in SEMS with a lower or higher priority qualifier and the appropriate site reassessment or
other remedial assessment action should be added to the site schedule in SEMS.
In SEMS, the OCA 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 OCA Action. Please refer to exhibit 6.3
for a list of valid qualifiers for this action and a description of each qualifier.
EXHIBIT 6.13. OTHER CLEANUP ACTIVITY REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Other Cleanup Activity (OCA)
EPA Oversight,
Federal Facilities,
State Oversight,
State Performed,
Tribe Performed
Start: EPA refers the NPL-caliber site to a state, tribal, or non-
EPA federal environmental cleanup programmer,
acknowledges the site is being cleaned up by one of these
programs based on supporting documentation.
Finish: EPA has documentation from the state, tribal or non-
EPA federal environmental cleanup program indicating
cleanup was successfully completed, or cleanup was
unnecessary, or sufficient progress has been made to make a
NFRAP decision, or EPA determines a different cleanup
approach is needed for an NPL-caliber site.
Special Planning/Reporting Requirements:
When new site information is received at an OCA site, a Site Reassessment or other
remedial site assessment action may be performed to determine whether the site is still
eligible forthe NPL. The remedial site assessment action and appropriate decision should
be added to the site schedule in SEMS. The OCA action and Non-NPL Status should be
updated in SEMS as follows:
If the remedial site assessment results in a NFRAP decision, the Non-NPL Status should be
changed from OCA to NFRAP and the Non-NPL Status Date should be updated (the
remedial site assessment completion date can be used as a default date for the updated
Non-NPL Status Date). A completion date should be assigned to the OCA action along with
a corresponding NFRAP decision on the site schedule in SEMS (the remedial site
assessment completion date can be used as a default completion date for the OCA
action).
If the remedial site assessment results in a decision that further OCA work is needed, the
Non-NPL Status should remain as OCA and the Non-NPL Status Date should be updated
to reflect the completion date of the remedial site assessment. The OCA action on the site
schedule can remain as is until new information determines the OCA action is complete
or a decision is made to pursue a different cleanup approach.
If the remedial site assessment results in a decision that a different cleanup approach is
needed or further remedial site assessment is needed, the Non-NPL Status and Non-NPL
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Status Date should be updated accordingly and a completion date and appropriate
decision should be assigned to the OCA action on the site schedule in SEMS.
Recording Final Assessment Decisions at Other Cleanup Activity Sites - Regions can assign
a Final Assessment Decision in SEMS 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 can delete the Final
Assessment Decision in SEMS.
OCA-designated sites should have the Eligible Response Site (ERS) Exclusion flag added to
them. Once a site no longer complies with the OCA definition or is otherwise no longer
following the OCA approach, the ERS Exclusion flag should be removed and a No Further
Federal Action (NFFA) designation should be assigned if no further Superfund activity is
needed based on currently available information.
As needed, an Action Anomaly Code can be recorded at the OCA action as follows:
• Other Start Anomaly (OS) - use if only an actual start date has been recorded.
• Other Start and Completion Anomaly (OA) - use if both a start and finish date have
been recorded.
The following six actions 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.
6. Short Term Cleanup.
Action 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.
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 for
details.
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I. Formal State Deferral
Action 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. See exhibit 6.13 for a chart of state deferral
requirements.
In general, candidates for Formal State Deferral consist of NPL-caliber sites not on the NPL
that are determined by EPA and the state to need an NCP-equivalent remedial cleanup
and the state is willing to enter into a site-specific or area-wide deferral Memorandum of
Agreement as described in EPA's Guidance on Deferral of NPL Listing Determinations
While States Oversee Response Actions. OSWER 9375.6-11, May 1995. This guidance and
related modifications to the state deferral program included in EPA's Modifications to the
State Deferral Program in Response to Office of the Inspector General Report No. E1SFF8-
11-0020-8100234 State Deferrals: Some Progress, but Concerns for Long-Term
Protectiveness Remain Directive, OSWER 9375.6-11A. April 12, 2002 establish specific
criteria and requirements for implementing the Formal State Deferral approach at a site.
Site cleanup progress must be reviewed annually. Key requirements include:
• site-specific or area-wide deferral Memorandum of Agreement (MOA);
• CERCLA protective cleanup;
• community participation comparable to NCP, including ensuring the community
can raise concerns to EPA;
• annual progress review;
• 5-Year reviews or equivalent when hazardous contaminants remain on site; and
• EPA oversight varies from minimal to moderate.
Accomplishment Definition:
State Deferral Starts - The state deferral process start is defined as the date when the
regional Superfund program director and the state program director sign a document
deferring the site to the state under the terms established in the deferral guidance. A
State Deferral (AQ) action at Operable Unit 00 must be recorded in SEMS.
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.
A valid decision (Qualifier) must be recorded in SEMS upon completion of the state
deferral. Options include:
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• region confirmed successful deferral completion (RS); or
• region terminated deferral (RT)
EXHIBIT 6.14. STATE DEFERRAL REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
State Deferral
State Deferral
Start: 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.
Finish: 1) Formal regional document confirming that the
deferral has been completed successfully or terminating the
deferral agreement; or 2) EPA receives state certification that
the deferral has been completed.
Special Planning/Reporting Requirements:
Although not required, six sub-actions can be entered for the State Deferral action to
generically capture the different cleanup phases a site may be undergoing. These sub-
actions include:
1. Comprehensive Site Investigation;
2. Remedy Selection;
3. Design;
4. Construction;
5. Post-Construction Maintenance; and
6. Short Term Cleanup.
Start and finish dates are available for documenting the start and completion of the
different cleanup phases being conducted at non-NPL sites by non-EPA parties.
Actual start and finish dates are required. Sites successfully completing the deferral
process are eligible for archiving (removal) from the SEMS inventory. Formal State
Deferral starts and completions are program measures.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions and new dates are entered into SEMS, the
system will ask the user to confirm or change this value as appropriate. 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
6.A.4 for details.
6.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
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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 NPL 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. Additional information on cleanup
alternatives is included in EPA's Superfund Task Force Recommendation 13, Summary of
Findings: Examine Opportunities to Achieve Protective Cleanup at NPL-Caliber Sites issued July
2019.
a. Referral to EPA Removal
Removal actions are quick responses to immediate threats from hazardous substances 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 action, the region may determine that a time-
critical, non-time critical (NTC), or other action from the EPA removal program is
warranted. Regional 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
Heglth or the Environment, August 11, 2016 for more information. If the removal program
agrees to conduct any action, 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 are tracked as an
action decision (qualifier) and as the Non-NPL Status. They are:
1. Referred to Removal - Needs Further Remedial Assessment
2. Referred to Removal - No Further Remedial Action Planned
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.
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Headquarters will maintain a tracking report in SEMS to help Regions monitor assessed
sites with Referred to Removal decisions.
b. Deferral to RCRA
Upon completion of remedial assessment action, 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 gnd CERCLA Site Activities. September 1996. RCRA sites not
subject to Subtitle C can continue to be considered for NPL listing. If a site can be
addressed under RCRA but does not qualify for the NPL, the site should be assigned a
NFRAP decision. See section 6.A.5.f. Action Qualifiers for Remedial Site Assessment
Actions, Deferred to RCRA earlier in this chapter for more information on tracking
Deferred to RCRA decisions in SEMS.
c. Deferral to Nuclear Regulatory Commission (NRC)
Since September 8,1983, EPA has generally deferred listing on the CERCLA NPL those sites
that are subject to NRC's licensing authority, in recognition that NRC's actions are
believed to be consistent with the CERCLA requirement to protect human health and the
environment. However, as EPA indicated in the Federal Register notice announcing the
policy of CERCLA deferral to NRC, if EPA "determines that sites which it has not listed as
a matter of policy are not being properly responded to, the Agency will consider listing
those sites on the NPL" (see 48 FR 40658).
In a MOU signed in 2002 by EPA and NRC, EPA reaffirmed its previous 1983 deferral policy.
EPA expects that any need for EPA CERCLA involvement in the decommissioning of NRC licensed
sites should continue to occur very infrequently because EPA expects that the vast majority of
facilities decommissioned under NRC authority will be decommissioned in a manner that is fully
protective of human health and the environment. By this MOU, EPA agreed to a deferral policy
regarding NRC decision-making without the need for consultation except in certain limited
circumstances as specified in paragraphs V.C.2 and V.C.3 of the MOU.
The following documents provide additional details on deferrals to NRC and the EPA/NRC MOU:
• Amendment to the NCP/NPL (section: Relegses of Rgdiogctive Mgterigls), FR 48
40661, September 8. 1983; Memorgndum Of Understgnding (MOU) between the
U.S. EPA gnd the U.S. Nuclegr Regulgtory Commission reggrding Consultgtion gnd
Finglityon Decommissioning gnd Decontgmingtion of Contgmingted Sites, OSWER
No. 9295.8-06g. October 9. 2002.
• Distribution of Memorgndum of Understgnding between EPA gnd the Nuclegr
Regulgtory Commission, OSWER NO. 9295.8-06g, October 9, 2002.
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d. Other Cleanup Activity
Sites that are not on EPA's NPL 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 the site warrants remedial-type work) may be
addressed under a state, tribal, municipal, or other federal agency environmental cleanup
program. EPA refers to these sites as Other Cleanup Activity (OCA) sites. EPA expects
remedial-type work at these sites will be completed under the laws, regulations and
policies applicable to the state, tribe or other Federal agency managing the cleanup work.
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 EPA involvement 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 checking in
with state, tribal, municipal and other federal agency partners on the status of cleanup
work at these sites at least once every two years. 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. SEMS information on
OCA sites in the Active site inventory is included in EPA's LIST 8R-Active Site Inventory
With Action Details report. EPA's Search Superfund Site Information web query can also
be used to generate a list of OCA sites. EPA staff will generally need to forward public
inquiries for specific cleanup information at non-Federal OCA sites to state, tribal,
municipal or other government partner staff. See SPIM Chapter 9 Federal Facility Program
for additional information related to Federal Facilities.
The Non-NPL Status in SEMS is used to track the specific OCA designation based on the
type of government entity administratively responsible for site cleanup. The following
four OCA status designations and accompanying 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
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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 action added to their project
schedule in SEMS. The schedule action 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.
In general, candidates for Formal State Deferral consist of NPL-caliber sites not on the NPL
that are determined by EPA and the state to need an NCP-equivalent remedial cleanup
and the state is willing to enter into a site-specific or area-wide deferral Memorandum of
Agreement as described in EPA's Guidance on Deferral of NPL Listing Determinations
While States Oversee Response Actions. OSWER 9375.6-11, May 1995. This guidance and
related modifications to the state deferral program included in EPA's Modifications to the
State Deferral Program in Response to Office of the Inspector General Report No. E1SFF8-
11-0020-8100234 State Deferrals: Some Progress. but Concerns for Long-Term
Protectiveness Remgin Directive. OSWER 9375.6-11A, April 12, 2002 establish specific
criteria and requirements for implementing the Formal State Deferral approach at a site.
Site cleanup progress must be reviewed annually. Key requirements include:
• site-specific or area-wide deferral MOA;
• CERCLA protective cleanup;
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• community participation comparable to NCP, including ensuring the community
can raise concerns to EPA;
• annual progress review;
• 5-Year reviews or equivalent when hazardous contaminants remain on site;
• EPA oversight varies from minimal to moderate.
Refer to the guidance on 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 considered NPL-
caliber (i.e., the site would have a HRS > 28.5 and need remedial-type work);
• a long-term response (i.e., a remedial action) is anticipated at the site;
• there is a willing, capable PRP who will negotiate and sign an agreement with EPA
to perform the investigation or cleanup; and
• 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.
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• Final SAA agreements will be reviewed at EPA HQ and catalogued on EPA's SAA
website so that all interested parties can know what sites have a SAA agreement.
• The regions will develop and maintain on the internet the same site-specific fact
sheets that are developed for sites listed on the NPL.
• EPA will report annually on progress at sites using the SAA.
• EPA will maintain and update the SAA web pages as a source of public information
on the approach. SAA web pages include a list of sites with SAA agreements, links
to their site-specific fact sheets, and links to related information.
The SEMS includes three radio buttons in Site Summary related to EPA's a Superfund
Alternative Approach agreements to better track and report accomplishments at sites
using the SAA. These radio buttons include:
• SAA Agreement - Indicates an SAA agreement has been signed for the site.
• Former SAA Agreement Site - Indicates a site had a signed SAA agerement, but the
agreement is no longer active and in effect.
• Regionally Identified SAA Site - Tracks sites reported as following an SAA-type
process prior to implementation of the SAA policy.
Regions are responsible for ensuring the correct 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.
A SEMS user must have the Construction Completion Management Approval role to edit
the "SAA Agreement" radio button.
Additionally, there can be multiple enforcement agreements at a site including sites
where an SAA agreement has been negotiated. Therefore, regions should select
'Superfund Alternative Approach Agreement per OECA' from the enforcement
instrument Categories list in the Edit Action Details screen in SEMS to indicate the specific
agreement(s) that are the SAA agreement(s) at the site. The SEMS FOIA-14 Superfund
Alternative Approach Agreement Sites and Agreements report is available on the public
Superfund Data and Reports webpage. Additional information related to entering SAA-
related information in SEMS is included in SPIM Chapter 10, Enforcement, section 10.A.3.
Superfund Alternative Approach (SAA) Sites and in the SEMS Site Summary User Guide.
EPA's Office of Enforcement and Compliance Assurance (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.
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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. EPA's Superfund: National Priorities List (NPL) website contains current information
sites proposed to, placed on, or deleted from the NPL.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 25
Chapter 7: Removal Program
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Chapter 7: Removal Program
Table of Contents
7.A Protect Human Health and the Environment 1
7.A.1 Overview of Removal Actions Target and Measures 1
7.A.2 Removal Program Performance Action Leads 1
7.A.3 Data Entry Timeliness 2
7.A.4 Removal Initiation 2
7.A.5 Action Memo 2
7.A.6 Removal Action 3
List of Exhibits
Exhibit 7.1. Removal Program Actions 1
Exhibit 7.2. Action Memorandum Requirements 2
Exhibit 7.3. Removal Action Requirements 3
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CHAPTER 7: REMOVAL PROGRAM
7.A 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.
7.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 9, titled 'Federal Facility Program.' Exhibit 7.1
displays the reporting hierarchy of removal actions defined in this chapter.
EXHIBIT 7.1. REMOVAL PROGRAM ACTIONS
Action
External Program
Reporting
Internal Program
Reporting
Action Memos
Headquarters (HQ)
Removal Starts
HQ
Removal Completions
BFS
Target
NOTE: For each action, the definitions and reporting requirements in this chapter specify applicability with
respect to National Priorities List (NPL) status, action lead, and actual start and finish dates.
Key to Reporting Hierarchy
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.
7.A.2 Removal Program Performance Action Leads
As part of the transition to the Superfund Enterprise Management System (SEMS) in Fiscal
Year (FY) 2014, site-related actions were modified to more accurately track the actual remedial
pipeline work performed by EPA, states, and tribes rather than the source of funding. This was
done at the action name level by identifying different sub-action for government conducted or
PRP conducted actions (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 actions.
For example, a Removal (RV action code, see 2016 Action Code Dictionary) previously
could be Fund-financed using the F-, TR-, S-lead actions, or PRP-financed using the SA-, SS-, or ST-
lead actions. The lead code identified both who conducted the action as well as how it was
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financed. Similarly, the PRP RV described an RV conducted by a PRP, with a different set of lead
codes. EPA's approach now uses Government Removal to denote a removal performed by a
government entity (with exception of a federal facility, which has its own action 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 action—Fund, Special Account, or Mixed Sources.
Superfund financial management is addressed in Chapter 3 of this document. Financial Lead
codes are discussed in more detail in Chapter 4, section 4.D, of this document.
7.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 ten working days
of the end of the quarter in which it occurred. See section 4.C.1 of this document for additional
information about data quality and timeliness standards.
7.A.4 Removal Initiation
Removal Initiation is the process by which a potential hazardous waste site is entered into
SEMS inventory for removal response actions. All sites considered removal only sites should have
a removal initiation date entered in SEMS as soon as the site is added. A site should be added
when the Site/Spill ID (SSID) is assigned or when the On-Scene Coordinator (OSC) deploys. 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 6, titled 'Remedial Site Assessment/
for further information on sites needing remedial assessment work).
7.A.5 Action Memo
An Action Memo is developed to document decisions for removal actions at NPL, non-
NPL, and Superfund Alternative sites. Authority is granted when the Action Memo is signed by
the appropriate regional official. Subsequent Action Memos may be generated during a removal
action to document ceiling increases, scope of work changes, 12-month exemptions, and $2M
exemptions. Approval signatures for Action Memoranda should be consistent with the
appropriate position as set forth by both National and Regional Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) 14-2 Delegations.
EXHIBIT 7.2. ACTION MEMORANDUM REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Action Memo
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed
Start/Finish: Date Action Memo signed bvthe appropriate
regional official
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Special Planning/Reporting Requirements:
1. To receive credit for Action Memos, the Action Memo action must be linked to the
appropriate Removal Action.
2. Specific information must be added to the Edit Action Details screen within the SEMS Site
Management (SEMS-SM) Module. This includes removal action details, media, response
technology, Action Memo type, and ceiling costs. All fields for data entry are found on the
SEMS Edit Action Details screen upon selection of the applicable Removal Action.
3. To ensure data completeness in documenting removal actions requiring senior
management signatures on Action Memos to allow an exemption to the 12-month
duration and $2M cost ceiling, these Action Memos will be uploaded into SEMS per the
requirements outlined in Chapter 13, titled 'Superfund Records Management.'
7.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 after site
evaluation 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 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 most
often led by the remedial program or funded by PRPs.
EXHIBIT 7.3. REMOVAL ACTION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
GOVT Removal
EPA Performed,
State Performed,
Tribe Performed
Start: Initial Pollution Reoort (POLREP) documenting date of
mobilization to the site for the start of removal work specified
in the Action Memo
Finish: Is documented in a POLREP that identifies the
Completion Date as the date when all on-site work specific in
the Action Memo has been completed and/or the OSC deems
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Action
Performance Lead
Action Date Requirements
that no further mobilization to the site is anticipated to
address the threats identified in the Action Memo.
PRP Removal with
Enforcement Instrument
EPA Oversight,
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 POLREP occurred prior to FY18,
the date of Notice of Completion document to the PRPs will be
the milestone date. Otherwise, it is documented in a POLREP
that identifies the Completion Date as the date when all on-
site work specified in the Action Memo has been completed
and/or 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: A 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: A POLREP documenting the date that EPA alone with
the Unified Command / Incident Command have determined
that the emergency has been stabilized (completion date).
Special Planning/Reporting Requirements (Starts):
1. The completion of a Preliminary PRP Search is required priorto the initial non-emergency
response action at a site.
2. To receive credit for the start of a PRP removal action with an enforcement instrument,
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
10:
• The date the Administrative Order on Consent (AOC) or Consent Agreement (CA) was
signed by the designated regional official; or
• The date the PRPs provide notice of intent to comply with the Unilateral
Administrative Order (UAO); or
• The date the Consent Decree (CD) is entered by the court requiring the PRP to conduct
or pay for the removal action; or
• The date the final judgment is signed by the federal judge and entered by the court;
The removal must also be associated with 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.
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Program policy remains enforcement first. Headquarters (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 (PJ) 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 the Office of Emergency
Management (OEM) to discuss the possible use of an enforcement instrument and to determine
if the response should be counted as a PJ or another action (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 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 in 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.
• Removal Action Name and Sequence Number.
• Performance Lead.
• Response Type (Critical Indicator).
• Start Date.
• Completion Date.
• Media Name.
• Media Type.
• NPL/Non-NPL.
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• Site Type / Subtype.
• Action Qualifier (Stabilized / Cleaned Up).
• Volume.
• Contaminants.
• Contaminants of Concern.
• Latitude / Longitude, including:
Collection date.
Latitude (decimal).
Longitude (decimal).
Collection Method.
Reference Datum.
Source Map Scale.
Verification Method.
Reference Point.
• Tribal Government Ownership.
• $2 Million Statutory Exemption.
• 12-Month Statutory Exemption.
• Final Action Memo Cost Ceiling.
Contaminants of Concern should be limited to those contaminants that are driving the
removal action (maximum 5).
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.
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.
The volume tracks the amount of contaminated media that has been treated, stabilized,
contained, or removed using risk management technologies, engineering techniques, or
institutional controls. The Cleanup Volumes information can be accessed through the CleanUp
Volume section of the Edit Action Details screen of the Removal action. Data documenting
volumes of contaminated media addressed can typically be found in the Record of Decision,
Action Memoranda, and Pollution Reports.
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The $2 million and 12-month statutory exemptions are based on whether an exemption
granting action memo covering the removal action has been signed. For each exemption type,
select Y or N from the dropdown box to designate the response for the action.
The final action memo cost ceiling is concurrent with the information in 7.A.5, 'Action
Memo', requiring action memo ceiling data entry. The requirement in this chapter only applies
to the final action memo cost ceiling for the action.
Temporary demobilization and temporary storage on-site are not considered
completions, unless temporary storage is the only action specified in the Action Memorandum
to mitigate threats to public health, welfare, and the environment. Likewise, temporary off-site
storage of hazardous substances at a Treatment, Storage, and Disposal (TSD) facility other than
the facility of ultimate disposal is a continuation of the action, not a completion, unless temporary
off-site storage at a TSD is the only action specified in the Action Memorandum. In addition, a
Removal would not be considered complete if: a) The Action Memorandum requires the EPA
contractor to monitor the hazardous substances stored on-site or additional contractor
expenditures are anticipated; or b) Hazardous substances are being stored at an off-site facility
other than the ultimate TSD facility required in the Action Memorandum.
Regions will receive credit in the management of the Superfund program for completion
of a removal action even though the removal action itself may not be complete for cost recovery
statute of limitations purposes. Agency policy for statute of limitations purposes provides that a
removal action is not complete until EPA has made a final decision on whether any additional
cleanup activity is required (and, if it is required, until EPA has both made a final decision on such
additional activity and has completed the design for that activity). The date found in the removal
action, actual finish column of a SEMS report is a programmatic measure only, and cannot be
relied upon to create any rights, substantive or procedural, enforceable by any party in litigation
with the United States. EPA reserves the right to change such data at any time without public
notice.
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Superfund Program Implementation Manual
FY 25
Chapter 8: Remedial Program
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Chapter 8: Remedial Program
Table of Contents
8.A Remedial Program Targets and Measures 1
8.B Remedial Program Performance Leads 2
8.C Data Entry Timeliness 3
8.D Remedial Program Definitions 3
8.D.1 Remedy Selection 3
a. Remedial Investigation 3
b. Feasibility Study 3
c. Combined RI/FS 3
d. Treatability Studies 5
e. Proposed Plan 5
/. Proposed Plan Public Comment Period 6
g. Non-Time Critical Removal Action 6
h. Remedial Decision Documents 7
8.D.2 Remedial Implementation 9
a. Remedial Design 9
b. RA Contractor Acquisition 10
c. Remedial Action 10
d. Start of On-Site Construction 12
e. Conduct Operational and Functional (O&F) Period 13
f. Final Inspection by EPA 15
g. Construction Completion 15
8.D.3 Post Construction Completion 16
a. Long-Term Response Action and PRP LR 16
b. Operation and Maintenance (O&M) 17
c. Cleanup Goals Achieved 19
d. Groundwater Monitoring (Post-ROD) 19
e. Site Completion 19
f. Five-Year Reviews (FYR) 20
g. Sitewide Ready for Anticipated Use (SWRAU) 23
h. Partial NPL Deletion 25
i. Final NPL Deletion 27
8.D.4 Environmental Indicators 28
a. Human Exposure Under Control 28
b. Migration of Contaminated Groundwater Under Control 30
8.D.5 Support Activities 33
a. Support Agency Assistance 33
b. Technical Assistance 34
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List of Exhibits
Exhibit 8.1. Remedial Program Activities 1
Exhibit 8.2. Rl, FS, and Combined RI/FS Requirements 4
Exhibit 8.3. Treatability Study Requirements 5
Exhibit 8.4. Proposed Plan Requirements 6
Exhibit 8.5. Proposed Plan Public Comment Period Requirements 6
Exhibit 8.6. Non-Time Critical EE/CA and NTCRA Requirements 7
Exhibit 8.7. Remedial Action Decision Document Requirements 8
Exhibit 8.8. Remedial Design Requirements 9
Exhibit 8.9. RA Contractor Acquisition Requirements 10
Exhibit 8.10. Remedial Action Requirements 11
Exhibit 8.11. Start of On-Site Construction Requirements 13
Exhibit 8.12. Operational and Functional Requirements 14
Exhibit 8.13. Construction Completion Requirements 16
Exhibit 8.14. LTRA Requirements 17
Exhibit 8.15. Operations & Maintenance Requirements 18
Exhibit 8.16. Groundwater Monitoring Requirements 19
Exhibit 8.17. NPL Site Completions Requirements 20
Exhibit 8.18. Five-Year Review Requirements 21
Exhibit 8.19. SWRAU Performance Measure Decision Tree 25
Exhibit 8.20. Partial NPL Deletion Requirements 26
Exhibit 8.21. NPL Deletion Requirements 27
Exhibit 8.22. Superfund Migration of Contaminated Groundwater Under Control Worksheet 32
Exhibit 8.23. Support Agency Assistance Requirements 33
Exhibit 8.24. Technical Assistance Requirements 34
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CHAPTER 8: REMEDIAL PROGRAM
8.A REMEDIAL PROGRAM TARGETS AND MEASURES
As described in Chapter 1 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 the definitions of remedial activities, programmatic
measures, and remedial project support activities. Exhibit 8.1 displays the internal and external
reporting hierarchy for the full list of remedial activities defined in this chapter.
EXHIBIT 8.1. REMEDIAL PROGRAM ACTIVITIES
Activity
External Program
Reporting
Internal Program
Reporting
Remedial Action Project Completion (RAPC)
Budget Formulation
System (BFS)
Target
Construction Completion (CC)
Target
Migration of Contaminated Groundwater Under Control (GMUC)
Target
Human Exposure Under Control (HEUC)
BFS, Strategic Plan
Target
Sitewide Ready for Anticipated Use (SWRAU)
BFS
Target
Remedial Investigation/Feasibility Study (RI/FS) (Rl, 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
National Priorities List (NPL) Deletion and Partial Deletion
Target
Proposed Plan
Measure
Proposed Plan Comment Period
Measure
Engineering Evaluation/Cost Analysis (EE/CA)
Measure
Non-Time Critical Removal Action (NTCRA)
Measure
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Activity
External Program
Reporting
Internal Program
Reporting
Operational and Functional Determination (O&F)
Measure
Long Term Response Action (LTRA)
Measure
Operation and Maintenance (O&M)
Measure
Groundwater Monitoring
Measure
Site Completion
Measure
Remedial Action (RA) Contract Award
Headquarters (HQ)
Start of On-Site Construction
HQ
Treatability Study
Regional
Support Agency Assistance
Regional
Technical Assistance
Regional
For each action, the definitions and reporting requirements in this chapter specify applicability with respect to NPL status,
action performance lead, and actual start and finish dates.
Key to Reporting Hierarchy
BFS = Regional targets are established in Budget Formulation System.
Strategic Plan = National target is publicly reported in Agency fiscal year (FY) 2022-2026 Strategic Plan.
Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.
Measure = SCAP reporting measure, 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 actions may be applicable at non-National
Priorities List (NPL) sites with a Superfund Alternative Approach (SAA) settlement pursuant to the
current SAA guidance. Additional details on the SAA category of sites can be found in Chapter 10,
titled 'Enforcement.' Sites using the SAA should be identified in Superfund Enterprise
Management System (SEMS) using the Special Interest code of 'Site with SA Agreement per SAA
guidance' in order to ensure accurate reporting.
8.B REMEDIAL PROGRAM PERFORMANCE LEADS
SEMS captures two aspects of actions, the entity that performs the work itself (e.g. EPA,
state, tribes, and potentially responsible parties [PRPs]) as well as the funding source for those
actions. These aspects are captured by a combination of the activity name, performance lead
code, and financial lead codes. For example, EPA uses Government remedial investigation (Rl) to
denote a Rl performed by a government entity (not at a federal facility site, which has its own
action and performance lead codes). The performance lead code identifies whether EPA, a state,
or a tribe is conducting the work. Similarly, a PRP Rl is Rl 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. Financial lead codes in SEMS are used to identify the funding source of
any government or PRP-performed action—Fund, Special Account, or Mixed Sources. Superfund
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financial management is addressed in Chapter 3 of this document. Financial lead codes are
discussed in more detail in Chapter 4, section 4.E, of this document.
8. C 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 accomplishment data are generally reflected in SEMS within five working days of the end
of the quarter in which accomplishments occurred. See section 4.C.1 of this document for
additional information about data quality and timeliness standards.
8.D REMEDIAL PROGRAM DEFINITIONS
8.D.1 Remedy Selection
a. Remedial Investigation
The purpose of the Rl is to collect data necessary to adequately characterize the site to
develop and evaluate effective remedial alternatives. The Rl 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 Rl may be conducted alone, as part of a sitewide integrated Expanded Site
Inspection/Remedial Investigation (ESI/RI) assessment, or as a Combined Remedial
Investigation/Feasibility Study (RI/FS). The Rl action should only be added to SEMS when
the Rl is conducted as a stand-alone action.
b. Feasibility Study
The primary objective of the feasibility study (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 action should only
be added to SEMS when the FS is conducted as a stand-alone action.
c. Combined RI/FS
The purpose of the Combined RI/FS ( action code CO, or BD if PRP-led) 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 Rl and FS are being
conducted and have been reported. The RI/FS start and the Rl start definition are the
same.
The following exhibit describes the requirements to accomplish start and finish at NPL
and SAA sites for Rl, FS, and Combined RI/FS remedial pipeline actions.
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EXHIBIT 8.2. Rl, FS, AND COMBINED RI/FS REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Site must be an NPL or SAA site
GOVT Rl,
GOVT FS
GOVT RI/FS,
EPA Performed
State Performed
Tribe Performed
Start: Contract modification or work assignment/task order signed
by EPA CO; OR
an Inter-agency Agreement signed by other federal agency; OR
Cooperative Agreement signed by Regional Administrator or
designee. OR
Date when the EPA requests the RI/FS.
Finish: Rl onlv- Rl Reoort signed bv aoDrooriate regional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD
amendment, ESD) signed by appropriate regional official
EPA Performed In-
House
Start: Date Memo to file documenting initial scoping meeting
signed by appropriate regional official;
Finish: Rl onlv - Rl Report signed by appropriate regional official:
FS or Combined RI/FS - Remedy Decision document (ROD, ROD
amendment, ESD) signed by appropriate regional official
PRP Rl,
PRP FS,
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; OR
Date when the EPA requests the RI/FS
Finish: Rl onlv - Rl Report signed bv appropriate 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 Cooperative Agreement: or Superfund
Memorandum of Agreement (SMOA); Tribal Memorandum of
Agreement (TMOA) or other State/Tribal/EPA agreement - signed
by the appropriate state and regional officials; OR
Memo transmitting CD to HQ or DOJ signed by the appropriate
regional official OR
Date when the EPA/State/Tribe requests the RI/FS
Finish: Rl onlv - Rl Report signed bv appropriate 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, or GOVT Combined RI/FS is initiated without a new
obligation of funds, the start date that is recorded in SEMS is EPA's written approval of
the work plan for the subsequent action.
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
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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 action recorded in SEMS is documented by a letter, form,
or memo from EPA or the state approving the work plan for the subsequent action.
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 are not a program requirement but if
performed should be tracked at the regional level but this action is not a program target
or measure.
EXHIBIT 8.3. TREATABILITY STUDY REQUIREMENTS
Site must be an NPL or SAA site
Action
Performance
Lead
Action Date Requirements
Perform Treatability Study
(Optional; but if performed, must
be tracked in SEMS)
EPA, Tribe, State,
EPA In-house
Start: Approval of Treatability Study Work Plan
Finish: Approval of Treatability Study Report
e. Proposed Plan
The Proposed Plan briefly summarizes the site conditions, nature and extent of
contamination, human health and ecological risk assessments and the alternatives
studied in the detailed analysis phase of the Rl and FS reports or RI/FS report, highlighting
the key factors that led to identifying the Preferred Alternative. The Proposed Plan and
other documents forming the basis for the lead agency's response selection must be
available in the Administrative Record file. The Proposed Plan is provided to the public
during the Public Comment Period. EPA is responsible for preparing the Proposed Plan at
Fund- and PRP-Lead NPL sites and at non-NPL sites with Superfund Alternative Approach
(SAA) agreements. Regions must enter the Proposed Plan sub-action to either the FS,
RI/FS, PRP FS, or PRP RI/FS action in SEMS, along with planned start and finish dates,
within 30 days of completing the Feasibility Study or added to EPA's public list of sites
with SAA agreements. Regions must enter the Proposed Plan actual start and/or
completion dates in SEMS prior to OSRTI's quarterly or annual accomplishments
reporting. The Proposed Plan is an HQ reporting measure.
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EXHIBIT 8.4. PROPOSED PLAN REQUIREMENTS
Site must be an NPL or SAA site
Action
Performance
Lead
Action Date Requirements
Develop Proposed Plan
EPA
Start: The date EPA begins or assigns development of a
Proposed Plan.
Finish: Signature date of the appropriate official on the final
version of the Proposed Plan.
f. Proposed Plan Public Comment Period
The Public Comment Period for a Proposed Plan is the time during which EPA accepts
comments from the public on the proposed actions and decisions included in the
Proposed Plan. CERCLA § 117(a)(2) requires that the Agency provide a "reasonable
opportunity for submission of written and oral comments and an opportunity for a public
meeting at or near the facility." The National Oil and Hazardous Substances Pollution
Contingency Plan (NCP), at 40 CFR § 300.430(f)(3)(c), specifies that the Agency must
"[p]rovide a reasonable opportunity, not less than 30 calendar days, for submission of
written and oral comments on the proposed plan and the supporting analysis and
information located in the information repository, including the RI/FS. Upon timely
request, the lead agency will extend the comment period by a minimum of 30 additional
days.
EXHIBIT 8.5. PROPOSED PLAN PUBLIC COMMENT PERIOD REQUIREMENTS
Site must be an NPL or SAA site
Art ion
IVii'orniiinci' l end
Action Diiii- Kc(|iiimiK*iils
Proposed Plan Public Comment
Period
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed,
State Oversight
Start: Start date of the Proposed Plan public comment
period, i.e., the date specified in the Proposed Plan
Notice.
Finish: Closing date of the Proposed Plan public
comment period or closing date from the approved
request to extend comment period.
g. 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.
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An Action Memorandum is developed to document decisions at NPL, non-NPL, and SAA
sites for removal actions. Decisions are documented in an approval memorandum and
authority is granted when the action memorandum is signed by the appropriate official.
EXHIBIT 8.6. NON-TIME CRITICAL EE/CA AND NTCRA REQUIREMENTS
Site must be an NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
GOVT Engineering Evaluation/Cost
Analysis (EE/CA)
EPA, Tribe, State,
EPA In-house
Start: Signature date of the EE/CA Addroval Memorandum signed
by appropriate regional official
Finish: Action Memo signed bv the appropriate official
PRP EE/CA
EPA Oversight,
State or Tribal
Oversight
Start: Signature date of the EE/CA Approval Memorandum signed
by appropriate official (This memo will include any enforcement
instrument provision for oversight funding)
Finish: Action Memo signed bv the appropriate official
GOVT Non-Time Critical Removal
Action (NTCRA)
EPA Performed,
State Performed,
Tribe Performed
Start: Initial Pollution Report (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 Non-Time Critical
Removal Action (NTCRA) with
Enforcement Agreement
EPA Oversight,
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: 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 comoletion 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 Non-Time Critical Removal
Action (NTCRA) with no
Enforcement Agreement
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)
h. Remedial Decision Documents
A Remedial Decision Document is developed to document decisions or changes to
decisions for NPL, non-NPL, and SAA sites to perform an RA.
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 at a site/s, 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
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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. 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:
Office of Land and Emergency Management (OLEM) Office of Superfund Remediation and
Technology Innovation (OSRTI) HQ Records Team: OLEM OSRTI HQ Records Team. 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 8.7. REMEDIAL ACTION DECISION DOCUMENT REQUIREMENTS
Site may be NPL or SAA Site
Action
Performance Lead
Action Date Requirements
GOVT ROD
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed,
State Oversight,
Tribe Performed
Start/Finish: Approved ROD signed by
designated official.
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Action
Performance Lead
Action Date Requirements
GOVT ROD Amendment
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed,
State Oversight,
Tribe Performed
Start/Finish: Amended ROD signed by
designated official
GOVT ESD
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed,
State Oversight,
Tribe Performed
Start/Finish: ESD signed by designated
official
GOVT Other Remedy Change (Optional; but
must be tracked in SEMS if performed)
EPA Performed
Start/Finish: Memo to File signed by
designated 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
8.D.2 Remedial Implementation
a. 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 8.8. REMEDIAL DESIGN REQUIREMENTS
Government RD must be at NPL sites: PRP RD may occur at NPL or SAA sites
Action
Performance Lead
Action Date Requirements
GOVT RD
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: Contract modification or work assignment/task order for
the RD signed by the CO; OR
Cooperative Agreement signed by Regional Administrator or
designee; OR
Interagency Agreement (IA) signed by the other federal agency;
OR
Memorandum to file documenting start of in-house work
signed by appropriate regional official.
Finish: EPA approves, in writing, the Final Design submittals.
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Action
Performance Lead
Action Date Requirements
PRP RD
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.
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 actions.
b. RA Contractor Acquisition
Retaining the designer after the RD is complete is a practice that is critical to ensuring
successful RA execution.
RA contractor acquisition encompasses all RD support activities where EPA may require
designer input after the approval of the final design and before the RA contract is
awarded. Activities may include assisting EPA in developing components of the RA
acquisition package, answering requests for information (RFIs) from prospective bidders
during RA contractor solicitation and other RA contractor acquisition-related support.
EXHIBIT 8.9. RA CONTRACTOR ACQUISITION REQUIREMENTS
Site must be an NPL site
Action
Performance Lead
Action Date Requirements
GOVT RA Contractor Acquisition
EPA Performed
Start: Obligation of funds on new or existing acquisition
vehicle to fund this scope of work, OR
memo documenting start of RA Contractor Acquisition by
design contractor or RD Complete.
Finish: Date that acquisition being supported is awarded.
Special Planning/Reporting Requirements:
Funding is provided from the Pipeline Site Allowance.
c. Remedial Action
Remedial Action: An RA is the actual construction or implementation of a discrete scope
of actions supporting a Superfund site cleanup. Each RA project is generally designed to
achieve progress toward specific remedial action objectives (RAOs) identified in a CERCLA
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remedy decision document (e.g., ROD, ROD amendment, ESD). This includes all required
activities for implementation of the RA. 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 Budget Formulation System (BFS).
Institutional Control Remedial Action: An institutional control RA is an anomaly-coded RA
used solely to fund the institutional control implementation (or oversight of other
entities, like PRPs or state/local entities implementing the institutional control)
component of a selected remedy where the engineered components of the RA have
already been completed. The institutional control RA is not intended for implementation
of institutional-control-only remedy decisions. In those situations, the "Remedial Action"
action should be used without an anomaly code. Because this institutional control action
is associated with an existing completed RA, 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 action is not used. In
this circumstance, any implementation funding needs may be associated with
implementation of the engineering components of the remedy.
EXHIBIT 8.10. REMEDIAL ACTION REQUIREMENTS
Government RA must be at NPL sites: PRP RA may occur at NPL or non-NPL SAA sites
Action
Performance Lead
Action Date Requirements
GOVT RA
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: Remedial Action & Institutional Control Remedial
Action: Contract modification or work assignment/task order
for the RA signed by the CO; Cooperative Agreement signed
by Regional Administrator or designee; Interagency
Agreement (IA) signed by the other federal agency; or
Approval of an RA Work Plan for EPA in-house work.
Finish: 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 RA
EPA Oversight
Start: Signature date of EPA Regional 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 Reoort signature (or concurrence) bv
appropriate regional official
State Oversight
Start: Date of state written approval of the PRP RD
document
Finish: Date of RA Report signature (or concurrence) bv
appropriate regional official
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Special Planning/Reporting Requirements:
This is an internal program target and measure. The actual start date of the RA must be
entered in SEMS. EPA and state/tribe signature of a Cooperative Agreement (CA) or
Superfund State Contract (SSC) is required before appropriated resources can be provided
for a Government RA Start.
Remedial Action Project Completions (RAPCs) are a BFS 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 BFS 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. Each RAPC is supported in an approved RA Report signed by the
designated regional official. For more detailed information on the specific requirements
for RAPC, see Close Out Procedures for National Priorities List Sites. OLEM 9320.2-23, June
2022.
For PRPs, 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 groundwater
or surface water restoration actions or an Operation and Maintenance (O&M) action).
RA and institutional control RA completions will be tracked separately but
accomplishments (excluding anomaly-coded RAs) will be reported on a combined basis.
Documenting Implemented Institutional Controls in SEMS:
Once institutional controls have been put in place as part of RA work, Regions should
enter the institutional control instruments as record documents in SEMS Record
Management. As noted in Chapter 13, section D.l, all Superfund records must be
captured in SEMS, which includes Institutional Controls Instruments. Regions should also
enter institutional controls related metadata in the institutional controls module in SEMS
Site Management. The purpose of the institutional controls module in SEMS Site
Management is for Regions to track information related to the types of institutional
control instruments and the affected media and use restrictions in place at Superfund
sites. Please see the institutional controls user guide for detailed information regarding
entering institutional controls related metadata into the institutional controls module in
SEMS Site Management, which can be found at the following SharePoint site.
d. Start of On-Site Construction
This measure counts the initiation of on-site construction for all RAs at NPL or non-NPL
sites.
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On-Site Construction for an RA begins when the EPA, United States Army Corps of
Engineers (USACE), state, tribe, or PRP, or their contractors, have begun on-site
construction work for the selected in the ROD or other decision document.
EXHIBIT 8.11. START OF ON-SITE CONSTRUCTION REQUIREMENTS
Start of On-Site Construction RA must be at NPL sites: PRP RA may occur at NPL or SAA sites
Action
Performance Lead
Action Date Requirements
GOVT On-Site Construction Start
EPA Performed,
EPA Performed In-House
Start/Finish: Memo to the site file documenting
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 Starts RA On-Site
Construction
EPA Oversight
Start/Finish: Memo to the site file documenting
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 Starts RA On-Site
Construction
State Oversight
Start/Finish: Memo to the site file documenting
substantial and continuous physical on-site
construction has started; or 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 action to meet 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 Start 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 forthe first
statutory FYR 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.
e. Conduct Operational and Functional (O&F) Period
"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
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functioning properly and is performing as designed, whichever is earlier. EPA may
grant extensions to the one-year period, as appropriate(40 CFR §300.435(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
requirements of CERCLA §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 Long-Term Response Action (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 §300.515(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§35.6805(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 §300.435(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 forthe remedy after
it transitions into O&M. Nonetheless, EPA recommends, but does not require, an O&F
determination for a PRP-lead remedy 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 (see Chapter 9, titled 'Federal Facility Program').
EXHIBIT 8.12. OPERATIONAL AND FUNCTIONAL REQUIREMENTS
Site must be an NPL or SAA site.
Action
Performance Lead
Action Date Requirements
Conduct O&F Period
EPA Performed,
EPA Performed In-House,
Start: The constructed remedy's ioint insoection 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
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Action
Performance Lead
Action Date Requirements
State Performed
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: The finish is the date of the O&F determination,
which is either the date of a second joint inspection between
EPA and the state to determine that the remedy is O&F, or
one year after the O&F start, whichever is sooner. EPA
should send another letter to the state citing the O&F start
and O&F determination dates.
Special Planning/Reporting Requirements:
Completion of this action may be tracked by HQ for program management purposes, but
it is not a program target or measure. The O&F period is funded as part of RA; the O&F
action does not receive separate funding.
In 2017, EPA updated the Guidance for the Management of Superfund Remedies in Post
Construction, OLEM 9200.3-107, February 2017 and standardized the documentation
requirements for O&F start and finish. To ensure a timely transition to LTRA and O&M
activities, the O&F determination should be documented in an EPA letter to the state.
Prior to this guidance update, the RA Report or a letter were used to document the O&F
determination. The RA report is no longer the appropriate documentation to report the
completion of this measure. Sample letters to document the start and finish of O&F are
available in Appendix D of the 2017 Guidance.
f. Final Inspection by EPA
The "Final Inspection by EPA" action is no longer in use. Prior guidance regarding the
action can be found in the FY22 SPIM (Doc ID 100003024) which is available on the SPIM
website.
g. Construction Completion
Construction Completion (CC) is both an internal program target and an external program
reporting measure. Construction at an 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) 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 a site generally determines when
a site becomes eligible for CC. Since ICs do not require physical construction, a site can
achieve the CC measure before ICs are in place. For more detailed information on the
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specific requirements for CC, see Close Out Procedures for National Priorities List Sites,
OLEM 9320.2-23, June 2022.
EXHIBIT 8.13. CONSTRUCTION COMPLETION REQUIREMENTS
Site must be an NPL or SAA site.
Action
Performance Lead
Action Date Requirements
GOVT PCOR
EPA Performed,
EPA Performed In-House
Start/Finish: Signature date of PCOR signed bv
appropriate regional official and HQ selection of
Special Interest code of CC or SAA CC.
GOVT FCOR
EPA Performed,
EPA Performed In-House
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 an HQ-approved Preliminary (or Final)
Close-Out Report is entered in 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.
HQ reviews all PCORs/FCORs prior to regional signature. When significant revisions are
necessary, HQ will review a second time before the regional signature. Upon HQ
concurrence, regional signature is obtained and a PDF copy with the SEMS Records
Management document ID is submitted to the HQ CC Coordinator. The CC Coordinator
assigns the CC sequence number in SEMS (aka, flipping the CC flag). The CC indicator only
applies to final and deleted NPL sites as well as SAA sites. Beginning with FY 2014,
Superfund began counting sites with SAA agreements in this measure, per the OECA
policy.
8.D.3 Post Construction Completion
a. Long-Term Response Action and PRP LR
"For fund-financed remedial actions involving treatment or other measures to restore
ground- or surface-water quality to a level that assures protection of human health
and the environment, the operation of such treatment or other measures for a period
of up to ten years after the remedy becomes operational and functional will be
considered part of the remedial action." (40 CFR §300.435(f)(3))
Government LTRA refers to the operation of groundwater and surface water restoration
remedies, including monitored natural attenuation, following the O&F determination, for
the first 10 years of operation, or until cleanup levels are achieved, whichever is earlier.
PRP long-term response is a specific type of O&M for groundwater and surface-water
restoration remedies (including monitored natural attenuation) conducted by responsible
parties. The 10-year time period described above does not apply to PRP Long-Term
Response Action (PRP LR).
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Note that Government LTRA and PRP LR do not apply to source remediation RAs 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 8.13. LTRA REQUIREMENTS
Government LTRA must be at NPL sites: PRP LR may occur at NPL or SAA sites.
Action
Performance Lead
Action Date Requirements
GOVT LTRA
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: Letter documenting O&F determination signed bv
the designated regional official.
Finish: Report containing valid monitoring data that
demonstrate cleanup goals have been achieved signed
by the appropriate regional official; or
Letter to the state confirming LTRA transfer to O&M
signed by the appropriate regional official if cleanup
levels have not been achieved within the 10-year period.
PRP Long-Term Response (PRP
LR)
EPA Oversight,
State Oversight
Start: Letter documenting O&F determination signed bv
the designated regional official; OR
Date of RA Report Signature (or concurrence) by the
designated regional official.
Finish: Report containing valid monitoring data (e.g..
routine O&M report) documenting that cleanup goals
have been achieved.
Special Planning/Reporting Requirements:
Government LTRA and PRP LR are planned on a site-specific basis in SEMS and are used
for resource allocation purposes only. The duration of a Government LTRA action should
be no more than 10 years. Funds for Government LTRA are issued site-specifically in the
RA Site Allowance. Funds for oversight of the PRP LR are contained in the Pipeline
Operations Site Allowance. Completion of LTRA and/or PRP LR is an internal program
measure.
A sample letter to to the state confirming LTRA transfer to O&M is available in Appendix
D of the Guidance for the Management of Superfund Remedies in Post Construction, OLEM
9200.3-107. February 2017.
b. Operation and Maintenance (O&M)
O&M includes the activities required to maintain the effectiveness or the integrity of the
remedy and continued operation of such measures beyond the LTRA period until cleanup
levels are achieved, where applicable. For Government LTRA, O&M measures are initiated
after the LTRA period has ended and the restoration remedy is transferred to the state
and continues until groundwater or surface water cleanup levels are achieved.
Except for ground- or surface- water restoration activities covered under section
300.435(f)(4) of the NCP, O&M measures are initiated after the remedy has achieved the
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RA objectives and remediation goals in the ROD, and is determined to be O&F (see
definition of O&F in 8.D.2e).
O&M is not required for all RAs. However, for containment remedies or RAs 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 8.15. OPERATIONS & MAINTENANCE REQUIREMENTS
Site must be an NPL or SAA site.
Action
Performance
Lead
Action Date Requirements
Operations and Maintenance
(O&M)
EPA Oversight,
State Oversight
Start: Containment Remedies - A letter to the state
documenting the O&F determination, signifying that the state
has assumed responsibility for all activities necessary to
operate and/or maintain the long-term effectiveness or
integrity of the actions selected in the ROD
Groundwater or Surface Water Restoration Remedies - Letter
to the state confirming LTRA transfer signed by the
designated regional official (NOTE: date should be no more
than 10 years after LTRA Start)
Finish: If applicable, documentation, signed by the
appropriate regional official, stating the RA 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, a planned finish date of 100 years or
more in the future is recommended; however, do not enter
an actual finish date.
PRP Operations & Maintenance
(PRP O&M)
EPA Oversight,
State Oversight
Start: Letter documenting the O&F determination signed by
the designated regional official; or
Date of RA Report signature (or concurrence) by the
designated regional official.
Finish: If applicable, report containing valid monitoring data
(e.g., routine O&M report) documenting that the cleanup
levels have been achieved. NOTE: If O&M will be conducted
indefinitely, a planned finish date of 100 years or more in the
future is recommended; however, do not enter an actual
finish date.
Special Planning/Reporting Requirements:
Completion of O&M is an internal program measure. O&M is planned site-specifically in
SEMS. Oversight of O&M is funded from 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, a planned finish date of 100
years or more in the future is recommended; however, regions should not enter an actual
finish date for the O&M action.
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If PRPs are conducting an O&M action at the site to achieve groundwater or surface water
restoration, regions should use the PRP LR action instead of the O&M action.
c. Cleanup Goals Achieved
The Cleanup Goals Achieved action is no longer in use. Priorguidance regarding the action
can be found in the FY22 SPIM (Doc ID 100003024) which is available on the SPIM website.
d. Groundwater Monitoring (Post-ROD)
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 RA (e.g.,
extraction and treatment of groundwater, or monitored natural attenuation).
EXHIBIT 8.16. GROUNDWATER MONITORING REQUIREMENTS
Site may be a non-NPL. NPL or SAA site.
Action
Performance Lead
Action Date Requirements
Groundwater
Monitoring (Post-ROD)
EPA Performed,
EPA Oversight,
State Oversight,
State Performed,
Tribe Performed
Start: ROD signature date
Finish: Memo documenting completing of the post-ROD
groundwater monitoring activity.
Special Planning/Reporting Requirements:
Groundwater monitoring and oversight of groundwater monitoring are covered under
the Pipeline Operations Site Allowance. This is an internal program measure.
e. Site Completion
An NPL or non-NPL SAA site must meet all of the following criteria to be eligible for site
completion:
• All remedial decision documents have been completed and the selected remedies
are consistent with EPA policy and guidance;
• All response actions have been completed and documented; and
• All ICs are in place.
There is only one Site Completion per NPL or SAA site. For more detailed information, see
Close Out Procedures for National Priorities List Sites. OLEM 9320.2-23, June 2022.
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EXHIBIT 8.17. NPL SITE COMPLETIONS REQUIREMENTS
Action
Performance Lead
Action Date Requirements
GOVT FCOR
EPA Performed,
EPA Performed In-House
Start/Finish: Signature date of FCOR signed bv
appropriate regional official and HQ selection of Special
1 nterest code of CC or SAA CC
Special Planning/Reporting Requirements:
Regions may receive credit under this measure and the Construction Completion (CC)
measure as a result of the same Final Close Out Report, if a Preliminary Close Out Report
did not already qualify the site for CC. This is an internal program measure.
f. Five-Year Reviews (FYR)
An FYR is a review of RA(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
FYR is to determine whether the remedy at a site is or will be 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 UU/UE. EPA conducts policy reviews
at sites where s 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 and no RAs have or will take place. EPA may also conduct FYRs at
their discretion at other sites or remedies.
Five-year reviews for sites with multiple OUs, as a matter of policy, should address all OUs
and RAs that have been initiated at the time of the review and will require a FYR. Per the
2001 Comprehensive FYR guidance, it is recommended to combine the separate reviews
of different OUs into a single five-year review prior to, or following, construction
completion for the entire site. However, no OU should be reviewed later than five years
after its trigger date or previous review.
Additional information on requirements and procedures for conducting FYRs can be
found in the Comprehensive Five-Year Review Guidance. OSWER 9355.7-03B-P, June 2001
and other supplemental FYR guidance, which can be found on EPA's Writing Five-Year
Reviews at Superfund website. Refer to Chapter 9, titled 'Federal Facility Program/ on
recording Federal Facility FYRs.
Statutory Reviews:
The FYR and FYR Report Due finish date fields for the first FYR are typically planned for
five years from the earliest planned or actual RA On-Site Construction Start date that will
leave waste in place above UU/UE among the operable units (OU) included in the FYR.
FYR Report Due planned finish dates are based on statutory or policy deadlines and should
not be changed unless triggers change. Actual RA On-Site Construction Start is the
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standard trigger for the first statutory FYR for a site or OU. 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 (see Comprehensive Five-Year Review
Guidance. OSWER 9355.7-03B-P, June 2001). Subsequent FYR Report Due finish dates are
triggered from the signature date of the previous FYR.
Policy Reviews:
The FYR and FYR Report Due finish dates are typically planned for five years after the
earlier PCOR or FCOR planned finish date for the first policy FYR for a site or OU. FYR
Report Due planned 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 FYR planned finish date is based on the date set by the user at the time of entry of
FYR type.
EXHIBIT 8.18. FIVE-YEAR REVIEW REQUIREMENTS
Action
Performance Lead
Action Date Requirements
GOVT Five-Year Review
EPA Performed,
EPA Performed In-House,
State Performed,
Tribe Performed
Start: Memo to file or work plan documenting tasks
approved by designated regional official
Finish: Five-Year Review report, or concurrence memo
for state or tribal lead FYRs, signed by designated
regional official.
GOVT Five-Year Review
Addendum
EPA Performed
EPA Performed In-House
State Performed
Tribe Performed
Start/Finish: Five-Year Review Addendum report. OR
signed concurrence memo for a state or tribal lead FYR
addendum, signed by designated regional official.
Special Planning/Reporting Requirements:
Please see the FYR User Guide for detailed information on planning for and entering FYR
data into SEMS. (NOTE: this is an internal EPA document.) User guides can be found at
the following site:
(https://usepa.sharepoint.com/sites/SEMS2.0Communication/SitePages/Training.aspx).
The following information is captured in the SEMS FYR module:
• The ability to associate issues/recommendations with the correct OU and
response actions;
• The ability to update a trigger on a planned FYR and calculate the associated due
date;
• The ability to enter/track more than one FYR with multiple OUs for each site;
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• The ability to update milestone dates and track the current status of
implementation for FYR Issues and Recommendations;
• An FYR addendum for completed reviews with protectiveness deferred
statements; and
• The ability to capture the protectiveness determination and statement for all OUs
included in FYRs.
In order to receive credit for an FYR, 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 OU; and
• Protectiveness statement for each OU as it appears in the FYR report.
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 FYR Report.
To receive credit for the FYR addendum completion, the user must enter the following
information in SEMS:
• The new protectiveness determination for those OUs that were deferred;
• Protectiveness Statement as it appeared in the FYR addendum for those OUs that
were deferred; and
• If new issues/recommendations are referenced in the FYR Addendum, enter them
into the FYR Action Detail 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 FYRs are not necessary at the site, indicate that this is the final FYR at the
site by selecting the 'no' radio button under the heading designating whether
future FYRs are necessary and provide a brief explanation. Per the Comprehensive
Five Year Review Guidance, OSWER 9355.7-03B-P, June 2001, the discontinuation
of FYRs should be documented in an FYR or in a memo to HQ.
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• 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. FYR dates must
be planned and reported site-specifically in SEMS.
• When planning FYR actions in SEMS, the "FYR Report Due" sub-action (action code
WE) is required.
Funds to conduct FYRs are allocated in the Remedial Action Site Allowance. This is an
internal program target and measure.
g. Sitewide Ready for Anticipated Use (SWRAU)
Sites that are Final or Deleted on the NPL or have an SAA agreement in place that are CC
are eligible for the SWRAU designation. To be eligible, SAA sites must be designated as
SAA per the current SAA guidance and the special indicator of SAA construction complete
must be selected. SAA sites count as regional and national targets. Eligible sites are not
counted toward the SWRAU measure until they have achieved several key requirements:
• The site has a Human Exposure (HE) status of current human exposures under
control and all protective remedy(ies) in place (HEPR) or long-term human health
protection achieved (HHPA).
• For media that impact current and future land uses, all cleanup goals in the RODs
or other remedy decision document(s) must be met so there are no unacceptable
risks.
• All controls required for achieving protectiveness (engineered as well as
institutional) are identified as part of the selected remedy in the ROD(s) or other
remedy decision document(s), such as an ESD or ROD Amendment, and are in
place.1
See exhibit 8.19 SWRAU Performance Measure Decision Tree for more information on the
key requirements.
The SWRAU achievement is obtained when the following occur:
• The entire site meets the criteria established in the Superfund Guidance on
Sitewide Ready for Anticipated Use (SWRAU) Performance Measure. September
2023.
1 The term ICs "in place" generally means implemented with plans for maintenance and monitoring for compliance to ensure
long-term effectiveness. When ICs needed for protectiveness are not identified in a ROD or other CERCLA decision document,
Regions should develop a CERCLA decision document requiring it as part of the site-selected remedy. If ICs are not part of the
selected remedy in a CERCLA decision document, EPA cannot ensure they are in place for the long term, enforce them, or
require the necessary maintenance and monitoring.
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• Within SEMS, the Actual Finish Date for the SWRAU Action has been entered in
the Site Schedule screen, and the SWRAU Evaluation Checklist in the SWRAU
Action Details screen has been completed and approved by Regional and HQ
Reviewers so that the SWRAU Action Details screen indicates "Is this site SWRAU?
= Yes" and "HQ Approved = Yes".
The SWRAU Date will auto populate with the Actual Finish Date for the SWRAU Action in
the Site Schedule and will serve as the official Headquarters record of SWRAU
achievement. Regions may also submit a completed Superfund Checklist for Reporting
the SWRAU Measure (SWRAU Evaluation Checklist report) in PDF format to HQ for
recordkeeping. The Superfund Checklist for Reporting SWRAU is available in the
Superfund Guidance on Sitewide Ready for Anticipated Use (SWRAU) Performance
Measure, September 2023.
The determination that a site is SWRAU is based on the information available at the time
the determination is made (see exhibit 8.19). If, after a site has been designated as
SWRAU, EPA becomes aware that any of the requirements are no longer met, then the
site will cease to be designated as SWRAU and a SWRAU retraction is required as soon as
that determination is made, and no later than the end of the current fiscal year. The
Region should notify Headquarters (OSRTI and FFFRO, as needed) and enter the
Retraction within SEMS.
Within SEMS, the Retraction Action and Actual Finish Date for the Retraction Action
should be added to the Site Schedule, and the SWRAU Retraction Checklist in the
Retraction Action Details screen should be completed and approved by Regional and HQ
Reviewers so that the Retraction Action Details screen indicates "Is the SWRAU Retracted
= Yes" and "HQ Approved = Yes". The date of the SWRAU Retraction will auto populate
with the Actual Finish Date for the Retraction Action in the Site Schedule. Regions may
also submit a completed Superfund Checklist for Retracting a Site from the SWRAU
Measure (SWRAU Retraction Checklist report) in PDF format to HQ for recordkeeping. The
Superfund Checklist for Retracting a Site from SWRAU is available in the Superfund
Guidance on Sitewide Ready for Anticipated Use (SWRAU) Performance Measure,
September 2023.
The SEMS User Guide for the Site Schedule, SWRAU Action Details and Retraction Action
Details screens provide more detailed information on data entry for SWRAU within SEMS.
Special Planning/Reporting Requirements:
SWRAU is both an internal program target and an external program reporting measure in
the BFS.
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EXHIBIT 8.19. SWRAU PERFORMANCE MEASURE DECISION TREE
No
Have all ecological cleanup goals established in
decision documents been met?
Yes
Are all controls (engineered and institutional)
required for achieving protectiveness identified as
part of the selected remedy in RODs or other remedy
decision documents and in place?
Yes
Does the site meet one of the following HE evaluations?
1. Current Human Exposures Controlled and
Protective Remedy in Place (HEPR)3
2. Long-Term Human Health Protection Achieved (HHPA)s
Yes
The site is ready to be submitted for the SWRAU measure.
Please contact Headquarters with questions, or if ICs or decision documents create challenges to meeting the measure.
Notes:
' Only those cleanup goals that affect current or planned future use must be met to achieve S WRAU. Groundwater cleanup goals DO NOT have to be met, so long as the remedy,
including mitigation measures and all appropriate institutional controls, are in place and documented. In cases where groundwater contamination creates a vapor intrusion risk.
Regions should consider whether this pathway impacts current or future reasonably anticipated land uses.
J Human Exposures Controlled and Protective Remedy in Place (HEPR): Sites are usually assigned to this category when human exposures ore under control for current
conditions, all physical construction is complete, systems are operating as intended, and institutional con trots are in place and effective, but one or more of the human
exposure-related cleanup goals have not yet been met
' Long-Term Human Health Protection Achieved (HHPA): Sites usually are assigned to this category when all human exposure-related cleonup goals defined for a site
(including implementation of effective engineering controls and institutional controls) have been met.
h. 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 a 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 and final deletion are the same. EPA must
determine, with state concurrence, whether the following criteria have been met for the
specified portion of the site:
For media that impact current and future land uses,
have all cleanup goals in RODs or other remedy
decision document(s) been met so that there are
no unacceptable risks?1
No
The site is not ready
for the SWRAU measure.
Next Steps:
I. Enter the site into SEMS as SWRAU.
2- Enter information on ICs in place into both the Records
Management and Site Management IC modules of
SEMS at the time of SWRAU achievement.
3. Submit the completed checklist in PDF format to
Headquarters for recordkeeping, noting that the date
the form is digitally signed in SEMS will be the official
date of SWRAU achievement (available In Appendix C
of the guidance).
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• Responsible or other parties have implemented all appropriate response actions
required;
• All appropriate Fund-financed response under CERCLA has been implemented,
and no further cleanup by responsible parties is appropriate; or
• The remedial investigation has shown that the release poses no significant threat
to public health, or the environment and, therefore, taking of remedial measures
is not appropriate.
For more detailed information, see Close Out Procedures for National Priorities List Sites,
OLEM 9320.2-23. June 2022.
SEMS no longer tracks the 'Notice of Intent to Delete' nor the 'Notice of Intent to Partially
Delete' as separate actions. These two actions are now historic in SEMS 2.0. The Federal
Register notices remain part of the official Federal Register publication process and are
still actively used. These now historic actions are no longer available to add to the SEMS
site schedule. The Federal Register notice determines the effective date at the time of the
publication. The effective date of the rule is typically the same as the publication date.
EXHIBIT 8.14. PARTIAL NPL DELETION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Partial NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Start: Notice of Intent to Partially Delete
published in the Federal Register proposed rule.
Finish: Notice of Partial Deletion published in the
Federal Register final rule
OR
The effective date of the Partial Deletion as
published in the Federal Register final rule
Special Planning/Reporting Requirements:
Partial NPLdeletionsare tracked separately from final NPL deletions. Partial NPLdeletions
will be entered in SEMS under Site Management. The Headquarters NPL Rule Manager
will "Add New NPL Rule" on the NPL Rule screen, which allows them to enter the NPL Rule
Type, NPL Rule citation/Federal Register Number (as XXFRXXXX, e.g. 82FR33026), the
Federal Register effective date, and publication date. The Regions are responsible for
entering all planning dates in the Site Schedule. The start date of the Partial NPL deletion
is the publication date the proposed rule, also known as the 'Notice of Intent to Partially
Delete', is published in the Federal Register. 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 that 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 Regional Action Note.
Partial Deletion Justification - The Regions are responsible for preparing a site-specific
justification for each partial deletion. The justification is submitted to the HQ National
Deletion Coordinator for review prior to regional signature. The justification shall specify
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media and impacted OUs included in the partial deletion and media and impacted OUs
that remain on the NPL. The justification shall describe remedial goals and RA objectives
from decision documents and RAs completed to implement the remedy. Include rationale
for meeting the criteria for site deletion, community involvement activities, and
discussion of remaining O&M activities, monitoring and FYRs. For more detailed
information, see Close Out Procedures for National Priorities List Sites. OLEM 9320.2-23,
June 2022.
i. 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, taking of remedial measures
is not appropriate.
A site deletion will be entered in SEMS by EPA if the deletion action addresses the
remaining release listed on the NPL (either as a one-time deletion action for the entire
site as originally listed, or as the last deletion action associated with a site subject to
previous partial deletions). Regions submit a Final Close Out Report (see section 8.D.3.e,
Site Completion) to the HQ National Deletion Coordinator for review prior to obtaining
regional signature.
For more detailed information, see Close Out Procedures for National Priorities List Sites,
OLEM 9320.2-23. June 2022.
EXHIBIT 8.15. NPL DELETION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Start: Notice of Intent to Delete published in the
Federal Register proposed rule
Finish: Notice of Deletion published in the Federal
Register final rule
OR
The effective date of the Notice of Deletion as
published in the Federal Register
Special Planning/Reporting Requirements:
The effective date of the deletion is published in the Federal Register. Final NPL Deletions
are entered in SEMS in the NPL Rule screen under the "My Work List" menu. The
FY 25 SPIM
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Headquarters NPL Rule Manager will "Add New NPL Rule" on the NPL Rule screen, which
allows them to enter the NPL Rule Type, NPL Rule citation/Federal Register Number (as
XXFRXXXX, e.g. 82FR33026), and Federal Register effective date. The Regions are
responsible for entering all planned deletion dates in the Site Schedule..
At some sites, certain actions may continue after the site deletion. These include O&M,
monitoring and FYRs. The FCOR needs to reflect which of these actions will continue post
deletion and which are completed.
8.D.4 Environmental Indicators
a. 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 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 (HEID);
• Current human exposures not under control (HENC);
• Current human exposures under control (HEUC);
• Current human exposures under control and protective remedy or remedies in
place (HEPR); and
• Current human exposures under control, and long-term human health protection
achieved (HHPA).
The six-step Sitewide Human Exposure status evaluation process is described in the
Superfund Environmental Indicators Guidance, October 2022, page 12.
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
FY 25 SPIM
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OLEM Directive 9200.3-158
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 publishes Human Exposure Pathway Descriptions to the public on the Human
Exposure Dashboard and each site's Profile page, for sites categorized as HENC or HEID.
At the time a site is designated HENC or HEID, the region should draft a Human Exposure
Pathway Description and enter it in the Unofficial Description field in the Human Exposure
Pathway Description tab in SEMS. Regions should update the Unofficial Pathway
Description field annually (from the [month] [year] indicated in the Pathway Description),
or whenever a status change occurs (e.g., from HEID to HEUC). Pathway Descriptions
should be succinct and provide a clear description of why a site is listed, along with
information about the steps EPA plans to take to address exposures. Additionally,
language should follow EPA's writing standards for the web and be written consistently
with template examples provided below (also found in the Environmental Indicators
Guidance).
The OSRTI Environmental Indicators data sponsor reviews and approves (provided the
Pathway Description is written consistent with requirements) Unofficial Pathway
Descriptions. In cases where the OSRTI data sponsor does not approve the region's
Pathway Description, he/she will enter their rationale in the "HQ Rationale for
Disapproval" field. When Unofficial Pathway Descriptions are approved in SEMS, the
system automatically populates the Official Pathway Description with the approved
language. Official Pathway Descriptions are published to the web. Templates for Human
Exposure Pathway Descriptions are found in the Superfund Environmental Indicators
Guidance, October 2022, page 18.
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 HENC and HEID 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)); the HE status 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 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 ten
working days of the new fiscal year will be counted as accomplishments for the prior fiscal
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year. This practice may differ from that required for other measures; special notice should
be taken. Site condition changes may be documented in RODs, ROD Amendments,
Removal Action Memoranda, Pollution Reports, Close Out Reports, and Five-Year
Reviews.
This is a key program target and measure; the program reports accomplishments to
external parties and makes available to the public real-time changes to the exposure
justification paragraphs.2
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' (HEID). 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 SEMS Document ID 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 provide a complete copy of each referenced document.
b. 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 no
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
2 For detailed information regarding HE determinations, see Chapter 4 of the Superfund Environmental Indicators Guidance:
Human Exposure Revisions, March 2008.
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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.
The six-step groundwater migration evaluation process is described in the Superfund
Environmental Indicators Guidance, October 2022, page 24. .
Special Planning/Reporting Requirements:
The Migration of Contaminated Groundwater Environmental Indicator worksheet must
be completed in SEMS and/or reviewed before the end of the fiscal year. If there is a
known change in Groundwater Migration (GM) status, SEMS should be updated within 10
days (Site Schedule/Environment Indicator(s)). It is expected that regions will review the
status 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 ten
working days of the new fiscal year will be counted as accomplishments for the prior fiscal
year. This practice may differfrom 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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EXHIBIT 8.16. SUPERFUND MIGRATION OF CONTAMINATED GROUNDWATER UNDER CONTROL
WORKSHEET
17
Definition: (s the migration of contaminated ground water being controlled through engineered or natural processes?
Q Does the site currently have contaminated ground water or did site conditions
warrant EPA's investigation or remediation of ground water contamination in the
past?
No
Yes
Stop, you do not
need to
complete the
GM El
Insufficient
Data/No
Step 1, Based on the most current data on the site, has all available relevant/
significant information on known and reasonably suspected releases to ground water
been considered in this evaluation?
List Reference Documents)
Yes
Insufficient
Data
Step 2. Is ground water known or reasonably suspected to be "contaminated" above
appropriately protective risk-based "levels" (applicable promulgated standards, as
well as other appropriate standards, guidelines, or criteria) as a result of a release
from the site?
List Reference Document(s):
^ Yes
No
Contaminated
Ground Water
Migration Under
Control
Insufficient
Data
Step 3. Is the migration of contaminated ground water stabilized (such that
contaminated ground water is expected to remain within "existing area of
contaminated ground water") as defined by the monitoring locations designated at the
time of this evaluation?
No
List Reference Document(s):
Yes
Insufficient
Data
Step 4. Does "contaminated" ground water discharge into surface water bodies?
No
List Reference Documents):
Yes
Insufficient
Data
Step 5. Can the discharge of "contaminated" ground water into surface water be
shown to be "currently acceptable" as defined (i.e., not cause unacceptable impacts
to surface water, sediments, or ecosystems that should not be allowed to continue
until a final remedy decision can be made and implemented)?
List Reference Document(s):
Insufficient
Data
Yes
Step 6. Will ground water monitoring/measurement data {and surface water/
sediment/ecological data as necessary) be collected in the future to verify that
contaminated ground water has remained within the horizontal (or vertical, as
necessary) dimensions of the "existing area" of contaminated ground water?
List Reference Documents):
No
Insufficient Data to
Determine
Contaminated Ground
Water Migration
Under Control Status
| Yes
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 SEMS
Document ID 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 provide a complete
copy of each referenced document.
8.D.5 Support Activities
a. 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 may
be planned under a single Superfund account number designated specifically for support
agency activities. Fund-financed actions that require cost share (including action codes
RA and LR) must be planned separately and site-specifically.
EXHIBIT 8.18. SUPPORT AGENCY ASSISTANCE REQUIREMENTS
Action
Performance Lead
Action Date Requirements
State Support Agency
Cooperative Agreement
EPA Performed,
EPA Oversight,
State Performed,
State Oversight,
Federal Facilities
Start: Cooperative Agreement Signed bv 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 action may be tracked at the regional level
but it is not a program target or measure.
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b. 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), Superfund Remedial Acquisition Framework (RAF) and other contractors.
EXHIBIT 8.19. TECHNICAL ASSISTANCE REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Technical Assistance
EPA Performed,
EPA Performed In-House,
EPA Oversight,
State Performed,
State Oversight,
Tribe Performed
Start: Obligation of Funds for technical assistance
signed by the Contracting Officer
Finish: Completion of response activities for the stage
at which technical assistance was requested; OR
Closeout of the task order or contract under which the
technical assistance was performed
Special Planning/Reporting Requirements:
Technical assistance is paid for by the response program and is contained in the Pipeline
Operations Site Allowance. Start and finish dates need to be entered in SEMS. Funds may
be planned or obligated site- or non-site and OU specifically; however, they must be
outlaid site-specifically. This action 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 25
Chapter 9: Federal Facility Program
FY 25 SPIM
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CHAPTER 9: Federal Facility Program
Table of Contents
9.A Federal Facility Superfund Goals and Priorities 1
9.A.1 Overview 1
a. Federal Facility Goals 1
9.A.2 EPA's Federal Facility Superfund Cleanup Principles 4
9.A.3 Federal Facility Docket and Site Discovery/Site Assessment 7
a. Overview 7
b. Federal Facility Docket Process and the Federal Facility Site Discovery Process 8
c. Authority for Conducting Federal Facility Site Assessments - 10
d. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation 11
e. Tracking of Federal Facility Sites in SEMS 12
9.A.4 BRAC Budget and Financial Guidance 12
9.A.5 Cleanup Privatization at BRAC NPL Sites 13
9.A.6 Military Munitions Response Program 13
9.A.7 Stakeholder Involvement 14
9.A.8 Land Use Controls (LUCs) 15
9.A.9 Special Interest Sites and Operable Units for Flagging in SEMS 17
9.B Federal Facility Program Targets and Measures 17
9.B.1 Overview of Federal Facility Targets and Measures 17
9.B.2 Data Entry Timeliness, Overall Data Quality Management and Targeting 18
9.B.3 Federal Facilities Site Discovery/Site Assessment Definitions 19
a. Remedial Site Initiation (Discovery) 19
b. Federal Facility Preliminary Assessment Reviews 20
c. Federal Facility Site Inspection Reviews 22
d. Federal Facility Expanded Site Inspection (ESI) Reviews 23
9.B.4 Federal Facilities Accomplishment Definitions 23
a. Base Closure Decisions 23
b. Non-BRAC Property Actions 24
c. Federal Facility Agreement (FFA)/lnteragency Agreement (IA) 27
d. Federal Facility Dispute Resolution 28
e. Federal Facility Informal and Formal Disputes 28
f Pre-RI Screening Level Assessment and Expanded Pre-RI Screening Level Assessment
29
g. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation (RFI)30
h. Decision Documents 31
i. Final Remedy Selected 31
j. Partial NPL Deletion 32
k. Final NPL Deletion 34
I. Remedy Decision Changes 35
m. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) 35
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CM!) 36
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o. Removal or RCRA Interim/Stabilization Measure (ISM) 39
p. Operation and Maintenance (O&M) 39
q. Percent Construction Completion 40
r. Federal Facility Five- Year Reviews 40
9.B.5 Community Involvement Definitions 42
a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) 42
b. Community Involvement Plans 43
c. Technical Assistance Grants (TAGs) and Technical Assistance Services for
Communities (TASC) 43
List of Exhibits
Exhibit 9.1. Federal Facilities NPL Sites 18
Exhibit 9.2. Remedial Site Initiation (Discovery) Requirements 19
Exhibit 9.3. Federal Facility Preliminary Assessment Review Requirements 21
Exhibit 9.4. Federal Facility Site Inspection Review Requirements 22
Exhibit 9.5. Federal Facility Expanded Site Inspection Review Requirements 23
Exhibit 9.6. Property actions 26
Exhibit 9.7. FFA/IA Requirements 28
Exhibit 9.8. Federal Facility Dispute Resolution Requirements 28
Exhibit 9.9. Federal Facility Dispute Resolution Requirements 29
Exhibit 9.10. Pre-RI and Expanded pre-RI Screening Level Assessments 30
Exhibit 9.11. RI/FS or RCRA Facility Investigation (RFI) Requirements 30
Exhibit 9.12. Decision Document Requirements 31
Exhibit 9.13. Final Remedy Selected Requirements 32
Exhibit 9.14. Partial NPL Deletion Requirements 33
Exhibit 9.15. NPL Deletion Requirements 34
Exhibit 9.16. Remedy Decision Change Requirements 35
Exhibit 9.17. RD or RCRA CMD Requirements 36
Exhibit 9.18. RA or RCRA CMI Requirements 36
Exhibit 9.19. Remedial Pipeline Flow Charts 37
Exhibit 9.20. Removal or RCRA ISM Requirements 39
Exhibit 9.21. Operation and Maintenance Requirements 39
Exhibit 9.22. Federal Facility Five-Year Review Requirements 41
Exhibit 9.23. RAB/SSAB and Community Involvement Plan Requirements 43
Exhibit 9.24. TAG & TASC Requirements 43
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CHAPTER 9: FEDERAL FACILITY PROGRAM
9.A FEDERAL FACILITY SUPERFUND GOALS AND PRIORITIES
9.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 Facility Superfund sites. Within EPA, there are several offices
that conduct activities relating to federal facilities. To provide a unified program to the Federal
Facility Superfund community, these offices often collaborate on initiatives to meet stakeholder
needs. The offices most heavily involved in Federal Facility Superfund 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 human health and the environment through cleanups at Federal Facility Superfund sites,
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 National Oil and Hazardous Substances Pollution Contingency Plan (NCP); the National
Defense Authorization Act amendments; 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 Facility 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 RCRA program and enforcement/counsel representatives from all regions, as well as
representatives from FFRRO and FFEO.
a. Federal Facility Goals
Superfund Federal Facility activities have high visibility because of the significant threats
posed by releases of hazardous substances at federal sites, the impact to stakeholders of
military base closings, the resources needed to implement Department of Defense
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(DoD)/Department of Energy (DOE) cleanup efforts at facilities listed on the National
Priorities List (NPL), and heightened interests from state, Tribal, and local governments
and other stakeholders. 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 Superfund program:
• Decision Documents and Remedial Action Completions: Selecting remedial actions
through Decision Documents and implementing remedial actions through
Remedial Action Completions are high priority measures for the Federal Facility
Program and key indicators for progress in getting sites through the CERCLA
Pipeline and to protective cleanups. Regions should plan and target these
measures to the month for the current fiscal year as well as planning for outyears.
Completion dates for these actions should be entered in the Superfund Enterprise
Management System (SEMS) and approved no later than 5-days following the
month of completion (e.g. any January accomplishment should be in SEMS and
approved by February 5th).
• 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 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: Environmental Indicators continue to serve as a
measure of protectiveness for the Agency. Human Exposure (HE) is reported
under the Government Performance and Results Act (GPRA) framework for the
Superfund program and should be updated by the Regions every 12 months.
Although no longer reported as part of GPRA, Groundwater Migration (GM)
should also be updated within the 12-month timeframe. These measures provide
current site information regarding risk reduction to human health and the
environment at NPL Sites.
• Sitewide Ready for Anticipated Use (SWRAU)1: Revitalization continues to be a
priority for the Office of Land and Emergency Management (OLEM). Sites that are
Final or Deleted on the NPL or have a Superfund Alternative Approach (SAA)
1 For additional information on SWARU, please view Chapter 8/Remedial
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agreement in place that are CC are eligible for the SWRAU designation. To be
eligible, SAA sites must be designated as SAA per the current SAA guidance and
the special indicator of SAA construction complete must be selected. SAA sites
count as regional and national targets. Eligible sites are not counted toward the
SWRAU measure until they have achieved several key requirements:
The site has a Human Exposure (HE) status of current human exposures under
control and all protective remedy(ies) in place (HEPR) or long-term human
health protection achieved (HHPA).
For media that impact current and future land uses, all cleanup goals in the
Records of Decision (RODs) or other remedy decision document(s) must be
met so there are no unacceptable risks.
All controls required for achieving protectiveness (engineered as well as
institutional) are identified as part of the selected remedy in the ROD(s) or
other remedy decision document(s), such as an ESD or ROD Amendment, and
are in place.
When the entire site no longer meets a Human Exposure Under Control determination of
Current Human Exposure Controlled or Protective Remedy in Place or Long-Term Human
Health Protection Achieved, the site is no longer eligible for a SWRAU determination.
Consult with headquarters to rescind SWRAU designations.
• Involving Citizens. Local Governments, and Tribes in Environmental Decision
Making: The publication of the Final Report of the Federal Facilities Environmental
Restoration Dialogue Committee (FFERDC) in April 1996 was a watershed event
for public involvement in Federal Facility cleanups. As a result of the Report,
federal agencies have established Restoration Advisory Boards (RABs) at DoD
installations and Site-Specific Advisory Boards (SSABs) at DOE facilities. Other
federal agencies have also formed advisory boards. Because of resource
constraints, EPA regional participation and support for non-NPL facilities is
minimal. Regions should 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 expects to be protected from environmental
hazards through vigorous enforcement by the EPA and the states of violations of
environmental laws, and to be protected from conditions 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)/lnteragency Agreements (lAs) at NPL
sites. FFAs and lAs should reflect the best judgments by all parties of cleanup priorities
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and milestones at the time of agreement and should be relied on to navigate through the
CERCLA Process.
9.A.2 EPA's Federal Facility Superfund Cleanup Principles
• Consideration of Human Health and Environmental Risk and Other Factors in Federal
Facility Environmental Cleanup Decision Making: Protection of human health and the
environment and meeting applicable or relevant and appropriate requirements
(ARARs) are threshold criteria at all Superfund sites, including Federal Facilities.
Addressing the sites that pose the greatest risk 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 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. The role of the RPM is
to engage productively with the Other Federal Agencies, and EPA Subject Matter
Experts (SMEs) as needed, to ensure that the risk assessment is suitable in scope and
that the assumptions and parameters are appropriate, given the identified scenarios,
sources, receptors and exposure pathways. The RPM should ensure that the risk
assessments are carefully reviewed by SMEs and that EPA comments are properly
addressed.
• Emerging pollutants, contaminants and hazardous substances of concern: As
analytical detection methods improve and health risk data are better defined, EPA
and the federal community are detecting chemicals, like perchlorate and
perfluorinated compounds, 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 and other emerging chemicals.
• Five-Year Reviews: Five-Year Reviews are a critical opportunity to determine if new
and emerging contaminants may be calling into question the assumptions underlying
our understanding of site risks and remedy protectiveness. FFRRO has developed a
review template to facilitate the systematic review of per- and polyfluoroalkyl
substances (PFAS) and other emerging contaminants in five-year reviews. Remedial
Project Managers (RPMs) and risk assessors should consult with Headquarters (HQ)
to check for updates in policies and to assure consistency in application.
• 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;
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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 action in relation to other actions at
the facility;
overall cost and effectiveness of a proposed action.
• 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 OLEM 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, 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.
• Collaboration: The Superfund Federal Facility program will continue to work in a
collaborative fashion with other federal agencies, other regulators, tribal
governments, local governments and communities. Typically, EPA looks to all affected
stakeholders for ideas and innovative solutions and, where appropriate, encourages
the incorporation of stakeholder recommendations into policy and practice. 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 general,
EPA is responsible for reviewing plans, methods and reports, to ensure consistency
with statutory requirements, standard practices and applicable guidance, and
elevating issues of concern for management input, and/or enforcement, as needed.
In other situations, EPA will 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.
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• 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. The RPM can consult with the
HQ Regional Coordinator to ensure consistency. HQ should survey for inconsistencies
through document review.
• Consultation: FFRRO' s goals for the consultation and review processes are to
promote common understanding of CERCLA remedy decision-making regulations,
policies, and guidance; ensure consistency in remedial action selection nationally;
and identify and/or avoid policy issues and gaps. Areas of interest for HQ
consultation include, but may not be limited to, land use controls (see IX.A8), PFAS
consultations for sites where PFAS is being investigated or has been detected,
five-year reviews, groundwater restoration, remedies greater than or equal to
$100 million, munition response remedies, radiation sites, and lead sites.
• Environmental Justice: As Federal Facilities Superfund sites 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 Superfund actions 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, and RPMs
should be knowledgeable in EPA tools and methods that can be applied to address
Environmental Justice issues and concerns. Three actions that we can take right now
include:
Know the communities. Identify those that may be vulnerable or
disproportionately impacted. EPA, the State and the other federal agencies need
to have a common understanding of who may be more vulnerable and/or
disproportionately impacted using a combination of local knowledge and tools
such as EJScreen.
Make sure that the risks of disproportionately impacted communities are
assessed. Make sure through review and comment, that relevant environmental
justice (EJ)-related exposure scenarios are captured in the risk assessments to
understand potential impacts on these communities.
Make sure these communities have the opportunity for meaningful engagement.
Advocate for effective inclusion in community outreach endeavors. EPA can make
funds available for community engagement (Technical Assistance Services for
Communities [TASC], Technical Assistance Grants [TAGs]).
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• Stakeholder Involvement: Involvement by the public continues to be an area of
emphasis at Federal Facilities. Federal Facility cleanup decisions and priorities should
reflect a broad spectrum of stakeholder input from affected communities including
indigenous peoples, low-income communities, and people of color. 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. Indeed,
Community Acceptance is one of the nine criteria for the evaluation of remedial
alternatives.
• The Role of Negotiated Cleanup Agreements: Enforceable cleanup agreements play a
critical role both in overseeing priorities at a site and providing a means to define and
balance the respected interdependent roles and responsibilities in Federal Facilities
cleanup decision making. EPA must continue to hold federal agencies accountable for
meeting the terms of these agreements to ensure timely and protective cleanup.
• The Critical Role of Future Land Use or Activity Determinations: Reasonably
anticipated future land uses should be considered when making cleanup and reuse
decisions for Federal Facilities. The communities that are affected by Federal Facility
cleanups, along with their state and local governing bodies and affected tribes, should
be given a significant role in determining reasonably anticipated future use of federal
property that is expected to be transferred, and in how future use determinations will
be used in making cleanup decisions. RPMs can make sure that the public (through
community meetings RABs etc...) is informed of potential future land use and activity
determinations. RPMs should also be alert to changing land uses and make sure that
they are considered in the remedial process and in the evaluation of protectiveness
during five-year reviews.
• The Importance of Characterizing Sites Correctly: The identification and
characterization of contamination and the evaluation of health impacts on human
populations, including those with environmental justice concerns, 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. RPMs have a critical role in
QA/QC and should include SMEs in review and comment as needed. RPMs should
consult with HQ if there are systemic concerns.
9.A.3 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
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guidance in the CERCLA, 1980, as amended by the SARA, 1986, and in the NCP. The
Federal Facility process is different in at least four ways:
• Federal Facility Docket Process and Federal Facility Discovery Process: The process
for Federal Facilities involves adding Federal Facility sites on the Docket
(CERCLA/SARA section 120(c)) prior to entry of the Site Discovery in SEMS.
• Federal Facility Site Assessment and Time Frames: The time frame for completion
of Federal Facility site assessment actions 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.
• 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).
• 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 Facility Site Discovery Process
EPA is required to establish a Federal Agency Hazardous Waste Compliance Docket
('Docket') under section 120(c) of the CERCLA of 1980, as amended by SARA of 1986.
Section 120(c) requires EPA to establish a Docket that contains information reported to
EPA by Federal Facilities that manage hazardous waste or from which a reportable
quantity of hazardous substances 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 sufficient to warrant
inclusion on the National Priorities List; 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;
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• 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 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. If
the site has been previously listed in RCRAinfo, the same EPA ID should be used in SEMS.
The Site Discovery Date is that of the publication in the Federal Register. For additional
information see the Docket Reference Manual, Federal Agency Hazardous Waste
Compliance Docket. Interim Final, November 2013; as well as the Federal Agency
Hazardous Waste Compliance Docket website.
CERCLA/SARA, as amended, section 120(d) (1) requires that EPA take steps to assure that
a Preliminary Assessment (PA) be completed and that evaluation and listing of sites be
completed within a reasonable time frame (CERCLA/SARA, as amended, section 120(d)
(3)) for each Federal Facility included on the published list of Federal Facilities reported
pursuant to section 120(c) of CERCLA/SARA (the 'Federal Facilities docket'). The PA is
designed to provide information for EPA to consider when evaluating the site for potential
listing on the NPL. E.0.12580 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
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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.
c. Authority for Conducting Federal Facility Site Assessments -
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.0.12580
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 CFR Part 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
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 addition, 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
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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.
d. 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 added to the Docket. When a Federal Facility submits a
Federal Facility PA report (also see CERCLA 104(h)), and if warranted a Federal Facility SI
report, EPA evaluates the site in accordance with the HRS final rule2 to determine whether
the site poses a threat to human health and the environment sufficient to warrant
inclusion on the NPL.
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 an insufficient
threat to human health or welfare, or the environment to be included or proposed at this
time on the NPL by the EPA. This decision does not preclude any further action at the
facility by other EPA programs, by the states or other federal agencies. If there is a clear
non-compliance with other environmental programs, EPA will make a deferral to the
appropriate alternate authorities. Should EPA receive new information and/or issue new
rule making that warrants further EPA involvement, EPA will reactivate the site.
If the results of a Federal Facility SI indicate that the Federal Facility site warrants further
investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to
evaluate proposal of the site on the NPL. To make such an NPL decision, EPA may collect
further data to complete the HRS package.
2 Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December 14,1990.
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e. 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 actions (i.e., Federal Facility Preliminary
Assessment Review and Federal Facility Site Inspection Review actions) at these sites.
SEMS tracks site assessment actions that are being or have been conducted for all Federal
Facilities listed on the Docket pursuant to CERCLA section 120 et al.
For a 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 Inspection Summary Guide, July 2005-,
• Appendix A to the above: Federal Facilities Remedial Preliminary Assessment
Summary Guide, July 2005 and Federal Facilities Remedial Site Inspection
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.
9.A.4 BRAC Budget and Financial Guidance
In 1994, EPA and DoD entered into 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 continues to fulfill its statutory obligations at NPL BRAC installations. In addition, EPA
regions may be requested to perform activities by states, tribes, local governments, the military
components or others at certain Non-NPL, including Non-NPL BRAC, 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 Guidgnce for EPA's Bgse
Reglignment gnd Closure (BRAC) Progrgm, April 2006 for more information.
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9.A.5 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) Program, April 2006) Early transfer covenant deferral requests seek deferral of the
CERCLA 120(h)(3)(A)(ii)(l) deed covenant that all remedial action has been taken.
9.A.6 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 Fiscal Year 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 EPA Munitions
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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
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.
Regions should flag their MMRP Operable Units (OU) using the 'Federal Facility OU Type',
'OU MMRP Flag'. See IX.A.9 for more details.
9.A.7 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.
For DoD sites, Superfund staff will participate in RAB, offer access to technical assistance
through the TAG and TASC programs, 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
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Department of Energy sites, the above applies, except that the stakeholder groups are called
SSABs or Community Advisory Councils.
In its regulatory role, Superfund provides oversight of stakeholder involvement, often
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. It is expected that the RPM and the CIC (as assigned)
should get to know and be accessible to community stakeholders, with the goal of building trust
through honest, open and transparent communications. The RPM and CIC (as assigned) will work
with the Other Federal Agencies to ensure that potential Environmental Justice concerns are
identified and addressed.
The RPM and/or the CIC may review and comment on the CIP, and consult on other
documents and strategies that Other Federal Agencies use to engage the community at key steps
in the CERCLA process, such as the organization of community meetings, the development of
factsheets, and notices of document availability. EPA staff will assure that the facility maintains
an updated mailing list, and that plans and documents are updated to meet the changing needs
of communities and site conditions.
Superfund staff will, through review and comment, 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.
Regions should document their community involvement activities, particularly RABs, as
'Restoration Advisory Board (RAB)/Site-Specific Advisory Board' code 'SSRAB'.
9.A.8 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 limit land and/or resource use or to
provide information that helps modify or guide human behavior at a site.
LUCs are often a significant and heavily relied upon part of the selected remedy to ensure
long-term protectiveness. 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 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. This guidance provides
direction on describing and documenting LUCs in federal facility response actions under CERCLA
in RODs, Explanation of Significant Differences (ESDs), remedial designs (RDs), remedial action
work plans (RAWPs), and Land Use Control Implementation Plans (LUCIPs). The LUC Checklist also
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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 LUCs or ICs are properly documented for federal facility NPL sites and some BRAC
sites.
HQ LUC Review Process:
• Regions are encouraged to consult with FFRRO when selecting or implementing LUCs,
in particular new RPMs or anyone who would like an extra review of a document or
to discuss a LUC issue. HQ promotes an "open door" policy for LUC reviews or
consultations.
• Mandatory Review:
Regions 5-10: HQ reviews all decision documents (RODs, ESDs, RD/RAs, RAWP, and
Land Use Control Implementation Plans (LUCIPs) that include LUCs.
¦ These reviews are intended to document proficiency in applying the LUC
Checklist.
¦ HQ review consists of evaluating the LUC Checklist filled out by the Region and
providing comments on its implementation.
• Regions Provide All Completed LUC Checklists to HQ Regardless of HQ Mandatory
Review:
All Regions will send completed LUC Checklist(s) to Jyl Lapachin and George
Burnett.
• Rationale:
If the LUC Checklist is embedded in RODs, ESDs, RD/RAs, RAWP, and LUCIPs, issues will
be identified, and will ensure that LUCs will be implemented properly.
The LUC Checklists will be uploaded to the LUC SharePoint Site and will provide
transparency in regional routine use of the LUC Checklist and provide a national-
level dataset for analysis and to identify trends.
It will serve to bring knowledge across regions and agencies.
• Additional Points:
LUCs are an important part of the Remedial Action at most Federal Facility
Superfund sites and it is imperative to maintain national consistency and create
enforceable LUCs in the ROD stage.
HQ maintains a 2-week, or faster, turnaround time on all reviews, and will
continue to work with the Region to sustain project schedules.
LUC Review protocol from the 2005 Woolford/Kling Memo, Review of Institutional
Controls (IC) Language in Federal Facility Remedial Designs, RODs, Explanation of
Significant Differences (ESDs), ROD Amendments and other Post-ROD Documents.
Once the project manager (and the attorney, where possible) has reviewed the IC
language, please forward a completed checklist along with the document to HQ
for review.
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Fill out the checklist and reference the page number in the applicable document
that corresponds to the particular checklist item number.
Identify whether the document falls short with regard to particular items on the
checklist and, if so, provide alternative language to resolve the issue. If you believe
the document is adequate, note that on the checklist with respect to that item.
If a Region receives comments from a federal facility along with the document,
review the comments and reconcile them against the checklist. Forward to HQ
only the specific IC issues/comments which you cannot resolve.
9.A.9 Special Interest Sites and Operable Units for Flagging in SEMS
Sitewide FUSRAP Flag: Regions are responsible for flagging Sites under the Formerly
Utilized Sites Remedial Action Program (FUSRAP). These are sites managed by the U.S. Army
Corps of Engineers with contamination resulting from the nation's early atomic energy program.
FUSRAP was initiated in 1974 to identify, investigate and, if necessary, clean up or control sites
throughout the United States contaminated as a result of Manhattan Engineer District (MED) or
early Atomic Energy Commission (AEC) activities. Both the MED and the AEC were predecessors
of the U.S. Department of Energy (DOE). Additional details on FUSRAP sites can be found at the
USACE page.
Regions are responsible for flagging Federal Facility OUs in two key areas:
1. Federal Facilities PFAS Operable Units: This flag should be applied at OUs that have
planned or ongoing actions in SEMS where PFAS has been detected. Regions should
reach out to the FFRRO data lead to have the flag applied.
2. Military Munition Response Program (MMRP) Operable Units: The Federal Facility
MMRP OU Designation should be used on Federal Facility site OUs with ongoing
activities that address or will address environmental contamination associated with
military munitions. This mainly constitutes sites under the DoD Military Munitions
Response Program (MMRP). DoD keeps an inventory of these munitions response
sites on DENIX. Please note that some DoD components have historically
investigated and cleaned up small arms ranges under the Installation Restoration
Program (IRP) but please add those to the MMRP OU designation as well. Regional
RPMs or IMCs are able to update the FF OU MMRP flag.
9.B FEDERAL FACILITY PROGRAM TARGETS AND MEASURES
9.B.1 Overview of Federal Facility Targets and Measures
The following pages contain, in pipeline order, the definitions of Federal Facility targets
and measures. Exhibit 9.1 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 NPL sites and Non-
NPL sites where the Region is involved in the review process of the documents/actions listed
below. Regions should notify FFRRO and make them aware of the Non-NPL and formerly Federal
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Facility Sites that their Federal Facility Program manages (may include Superfund Alternative
Approach Sites, Formerly Used Defense Sites (FUDS) etc...).
EXHIBIT 9.1. FEDERAL FACILITIES NPL SITES
Action
External
Program
Reporting
Internal Program
Reporting
FFAs/IAAs
Measure
Remedial Site Assessment Completions
Measure
RI/FS or RFI Starts
Measure
Decision Documents (RODs, ROD Amendments, ESDs, Action Memos)
BFS/Mission
Measure
Target
Final Remedy Selected
Measure
RD or RCRA CMD Starts
Measure
RD or CMD Completions
Measure
RA or CMI Starts
Measure
RA or CMI Completions
BFS/Mission
Measure
Target/Superfund
Target
Removal or RCRA ISM Starts
Measure
Removal or ISM Completions
Measure
Operation and Maintenance (O&M) Starts
Measure
Federal Facility Five-Year Reviews (FYR)
Target
Human Exposure Under Control (HEUC)
BFS, Strategic
Plan
Superfund Target
Sitewide Ready for Anticipated Use (SWRAU)
BFS
Superfund Target
Key to Reporting Hierarchy
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.
BFS/Mission Measure = Regional targets are established in Budget Formulation System.
Superfund Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure for the broader
Superfund Program. Federal Facility accomplishments count towards these measures. Additional details can be found in the
Remedial Chapter 8.
9.B.2 Data Entry Timeliness, Overall Data Quality Management and Targeting
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, particularly with
the monthly reporting requirements for Federal Facility Decision Documents and Remedial
Action Completions. Decision Documents and Remedial Action Completions should be entered
into SEMS and approved shortly after completion. Previous month accomplishments not
entered and approved by the Regions by the 5th of each month may not be captured in monthly
reporting. It is important that data for future FY projections, 3-years from the current fiscal year
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(FY), is projected as accurately as possible. FFRRO relies on this data for understanding National
Program and Regional resource needs, 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 month in which it occurred. See
section IV.C.l of this document for additional information about data quality and timeliness
standards.
FFRRO has developed tools to assist Regions in maintaining a high-quality dataset. The
Federal Facilities work planning module allows Regions to access data specific to their Region.
The module highlights key areas surrounding data quality, accomplishments and general progress
being made at sites. The work planning module, which pulls information directly from SEMS and
displays it in Qlik, refreshes daily and can be accessed by the Regions year round (contact John
Burchette for access).
Additionally, FFRRO hasdeveloped a monthlyemail deliverable which will provide Federal
Facility SEMS data and budget information. Please reach out to FFRRO data lead for additional
details and/or to be included on the list.
Given that Federal Facility Decision Documents and Remedial Action Completions are the
primary measures for the Federal Facilities Program, Regions are asked to target these actions
through the targeting module in SEMS. These targets are expected to be finalized by the 2nd
week of October in each year. Note that a new process will be in place for targets which are
pushed out. Regions will now be required to select from a drop-down list as to the reasoning that
a target was moved. This process was previously manually done via email.
9.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 added to 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 9.2. REMEDIAL SITE INITIATION (DISCOVERY) REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
Remedial Site Initiation
(Discovery)
Federal Facilities
Start/Finish: After the region determines the Federal Facility
is a valid CERCLA site, the site discovery date for Federal
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Action
Performance
Lead
Action Date Requirements
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) actions are not allowed.
NOTE: The Removal Site Initiation (Discovery) activity is used by the removal program to
track initiation of sites that have Superfund removal interest. Sites with only removal
interest should not have a Remedial Site Initiation (Discovery) activity tracked in SEMS.
Sites with only remedial assessment interest should not have a Removal Site Initiation
(Discovery) activity tracked in SEMS. Sites with both removal and remedial assessment
interest should have both a Removal Site Initiation (Discovery) activity and a Remedial
Site Initiation (Discovery) activity. The Remedial Site Initiation (Discovery) actual
start/finish date for a site referred from removal to remedial assessment or from RCRA to
remedial assessment should be the date the referral decision is made.
Regions are responsible for maintaining the accuracy of the non-NPL status for every non-
NPL site in the SEMS inventory. As new actions 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
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must address the requirements set forth in the NCP for conducting remedial preliminary
assessments.
Once a Federal Facility site has been entered into the SEMS site inventory for remedial
assessment, an APA may be performed if the site/release:
• is regulated under a statutory exclusion (e.g., petroleum);
• is subject to certain limitations based on definitions in CERCLA (e.g., naturally
occurring substance in its unaltered form);
• can be addressed as part of another site already in SEMS;
• will be deferred to another program (e.g., RCRA, Nuclear Regulatory Commission
[NRC], EPA removal) based on existing policy considerations (follow-up
confirmation of the deferral is required);
• requires no further remedial assessment; or
• will require a Superfund site inspection.
Backlogs: The Federal Facility PA Review backlog consists of Federal Facility sites with a
Non-NPL Status of FF-PA review needed or FF-PA review ongoing.
EXHIBIT 9.3. FEDERAL FACILITY PRELIMINARY ASSESSMENT REVIEW REQUIREMENTS
Action
Performance Lead
Action Date Requirements
FF Preliminary
Assessment Review
EPA Performed,
EPA Performed In-House,
Tribe Performed,
State Performed
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: The appropriate Regional official signs a letter, form.
or memo approving the PA report;
and a Site Decision Form, or equivalent document is
completed.
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 6, titled
'Remedial Site Assessment/ 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 edit Site Schedule table.
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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 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 Sl-
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 Sl-equivalent report for
accuracy, completeness, and working with the other federal agency to address any
deficiencies, EPA then determines what next steps are appropriate. Guidance can be
found at Federal Facilities Remedial Site Inspection Summary Guide, July 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.
EXHIBIT 9.4. FEDERAL FACILITY SITE INSPECTION REVIEW REQUIREMENTS
Action
Performance Lead
Action Date Requirements
FF Site Inspection
Review
EPA Performed,
EPA Performed In-House,
Tribe Performed,
State Performed
Start: EPA starts in-house review of Federal facility SI reoort:
OR
EPA sends a letter, form, or memo to the EPA contractor
requesting review of the Federal facility SI report.
Finish: A letter, form, or memo approving the Federal facility
SI report and a completed Site Decision Form (located in
CERCLIS) or an equivalent document is signed by the
appropriate Regional official.
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 6, titled 'Remedial Site Assessment/
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.
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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 9.5. FEDERAL FACILITY EXPANDED SITE INSPECTION REVIEW REQUIREMENTS
Action
Performance Lead
Action Date Requirements
FF Expanded Site
Inspection Review
EPA Performed,
EPA Performed In-House,
Tribe Performed,
State Performed
Start: EPA starts in-house review of the Federal facility ESI
report; OR
EPA sends a letter, form, or memo to the EPA contractor
requesting review of the Federal facility ESI report.
Finish: A letter, form, or memo approving the Federal facility
ESI report and a completed Site Decision Form; OR
an equivalent document is signed by the appropriate Regional
official.
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 6, titled
'Remedial Site Assessment/ 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.
9.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 Community Environmental Response Facilitation Act (CERFA)
determination, a Finding of Suitability to Transfer (FOST), a Finding of Suitability to Lease
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(FOSL), or a determination is made by EPA that an approved remedy at an NPL site 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 at the NPL
site is operating properly and successfully.
The phrase 'operating properly and successfully' involves two separate concepts:
operating 'properly' is used if the remedy is operating as designed; operating
'successfully' is used if the operation of the remedy will achieve the cleanup levels or
performance goals for the particular contaminant delineated in the decision document.
Where more than one remedial action is required for a parcel, all such actions must
operate properly and successfully. Therefore, EPA interprets the term 'operating properly
and successfully' to mean that the remedial action was engineered and implemented and
is functioning in such a manner that it is expected to achieve cleanup goals and adequately
protect human health and the environment.
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 is not statutorily required 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)(l) 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.
• An OPS determination pursuant to CERCLA 120(h)(3) for facilities listed on the
NPL: 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 at the NPL site is operating properly and successfully.
• 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
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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.
• 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.
A property transfer model letter has been developed for Regions to use in regard to an
issue that the regions have identified when reviewing Department of Defense (DOD)
property transfer documents. Often, the transfer documents (e.g., Findings of Suitability
to Transfer (FOSTs) and Findings of Suitability for Early Transfer (FOSETs)) contain
language that inappropriately attempts to transfer environmental responsibility for
potential releases of certain hazardous substances (e.g., asbestos-containing material
(ACM), lead-based paint (LBP), and/or pesticides) remaining onsite to future transferees.
Examples of this language are included in the bullets below (taken from recent FOSTs and
FOSETs):
• The Grantee covenants and agrees that if the Grantee takes any action with regard
to the Property, including demolition of structures or any disturbance or removal
of soil that may expose, or cause a release of, a threatened release of, or an
exposure to, any such pesticide, Grantee assumes all responsibility and liability
therefor.
• The Grantee, its successors and assigns agree to be responsible for any
remediation or abatement of asbestos found to be necessary on the Property to
include ACM in or on buried pipelines that may be required under applicable law
or regulation.
• Prior to permitting the occupancy of the Property where its use subsequent to sale
is intended for residential habitation, the Grantee specifically agrees to perform,
at its sole expense, the Army's abatement requirements under Title X of the
Housing and Community Development Act of 1992 (Residential Lead-Based Paint
Hazard Reduction Act of 1992).
This language contravenes CERCLA § 120(h), as federal agencies cannot transfer their
environmental cleanup obligations for the release or threat of release of hazardous
substances to any other party, including future transferees. In addition, should there be
nearby communities with environmental justice concerns, DOD's attempt to transfer
cleanup responsibility may have disproportionate consequences.
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In the past, when DOD has refused to remove this language from their transfer
documents, we have advised regions to submit a letter during the public comment period
stating that while EPA agrees with the transfer (if we do), the Agency disagrees with the
language as inconsistent with CERCLA 120(h). The letter is included in the administrative
record and supplied to the future transferee.
The model letter should be used for when the regions encounter this language in DOD
property transfer documents. The purpose of the model is to ensure national consistency
in the treatment of this issue and to provide notice in the administrative record that the
language is inconsistent with the law. The model has been reviewed by the regions and
various HQ offices.
Note that the model addresses both types of property transfer documents - FOSTs and
FOSETs. With regard to FOSTs, it is our expectation that the regions will submit a letter
during the public comment period when the language is present. Similarly, it is our
expectation that the regions will submit a letter when a FOSET is at issue, even if EPA
concurs with the early transfer. Outside of submitting letters, the regions are encouraged
to use the language contained in the model as a guide when responding to DOD on this
issue at the site-level.
Special Planning/Reporting Requirements:
In addition to enteringthe finish date, regions must also enterthe acreage covered by the
property action. Acreage information can be entered through the FOST or FOSL Action
Detail screens in SEMS.
EXHIBIT 9.6. PROPERTY ACTIONS
Action
Performance
Lead
Action Date Requirements
Operating Properly and
Successfully
Federal Facilities
Finish: EPA determines that the remedv is ooeratins orooerlv
and successfully._
Environmental Baseline Study
Federal Facilities
Finish: EPA reviews and comments on the EBS.
FF Finding of Suitability to
Transfer (FOST)
Start: An Environmental Baseline Survey (EBS). submitted by
the other federal agency, will be prepared encompassing any
property to be transferred to support the FOST
determination. EPA will be notified at the initiation of the EBS
and the FOST to assure adequate opportunity to review and
provide comments.
Federal Facilities
Finish: EPA submits a letter to the other federal agency,
stating that EPA has completed its review and provided
comments or concurrence on the transfer.
The DoD Components will provide public notice of the signing
of the FOST and will retain the signed FOST, including all
regulatory comments and responses on the EBS and/or FOST,
in the transaction file (and the Administrative Record, where
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Action
Performance
Lead
Action Date Requirements
applicable) and will make the FOST available to the public
upon request.
FF Finding of Suitability to Early
Transfer (FOSET)
Federal Facilities
Start: For NPL sites, the landholding federal agency submits a
Covenant Deferral Request (CDR) to EPA for review and
approval. The CDR should have information of sufficient
quality and quantity for EPA to support the request for
deferral and provide a basis for EPA to make its
determination.
Finish: Prior to transfer at NPL sites. EPA must approve
deferral of the covenant found in CERCLA 120(h)(3)(A)(ii)(l)
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.
FF Finding of Suitability to Lease
(FOSL)
Federal Facilities
Start: An Environmental Baseline Survev (EBS). submitted bv
the other federal agency, will be prepared encompassing any
facility or parcel to be transferred by deed or lease. EPA will
be notified at the initiation of the EBS and the FOSL to assure
adequate opportunity to review and provide comments.
Finish: EPA submits a letter to the other federal agency,
stating that EPA has completed its review and provided
comments or concurrence on the transfer or leasing
document(s).
Special Planning/Reporting Requirements:
In addition to entering the start and finish dates, Regions have the opportunity to enter
additional details regarding the transfer such as acreage and any other relevant
information the Region would like to record.
c. Federal Facility Agreement (FFA)/lnteragency 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.
When significant and timely progress is not being made to resolve a disagreement, the
FFA Parties should make it known that the disagreement has risen to the level of an
informal dispute. In accordance with the FFAs, before formal dispute is invoked, it is
expected that the Parties will have engaged in a meaningful informal dispute resolution
process. To conduct a meaningful informal dispute resolution process, the dispute should
be defined, and all Parties should use best efforts, along with consistent and frequent
communication, to resolve issues at the lowest level possible. If a Party would find it
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helpful, it may wish to develop a written statement articulating the issue(s) the Party
believes are in dispute. Consultation with Agency legal counsel and notification to the
appropriate FFRRO Regional Coordinator should be conducted. Federal Facility RPMs
should consider the information in the Principles for Reinforcing Federal Facility
Agreement Informal and Formal Dispute Timelines memo dated September 18, 2018, and
the Updated Procedures for Tracking and Resolving Federal Facility Agreement Informal
and Formal Disputes in a Timely Manner memo and email issued by FFEO and FFRRO
dated September 30, 2020.
EXHIBIT 9.7. FFA/IA REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FFA/IA Negotiation
EPA In-House
Start: Notice letter signed bv the appropriate EPA official is
sent to the Federal facility.
Finish: FFA/IA is signed bv the federal agencv. 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 9.8. FEDERAL FACILITY DISPUTE RESOLUTION REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
Alternative Dispute Resolution
EPA In-House
Start: Letter from anv Partv of the FFA/IA to the other Parties
notifying them as to the issue in dispute.
Finish: Document resolving the issue is signed bv the
appropriate regional official (e.g., letter of agreement,
agreement document).
Special Planning/Reporting Requirements:
This is an internal program measure.
e. Federal Facility Informal and Formal Disputes
There are times when Informal and Formal Disputes are unavoidable at Federal Facility
Sites. Regions should now track these actions in SEMS as a sub-action under the FFA/IAG
for the site.
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OLEM Directive 9200.3-158
EXHIBIT 9.9. FEDERAL FACILITY DISPUTE RESOLUTION REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF Informal Disputes
Federal Facilities
Start: Prolonged disagreement (i.e.. for more than 2 months)
among the FFA parties.
Finish: FFA parties resolve Informal Dispute or FFA partv
elevates to Formal Dispute through a written statement of
dispute in accordance with the applicable FFA (e.g., to the
Dispute Resolution Committee).
FF Formal Disputes
Federal Facilities
Start: FFA partv elevates to Formal Dispute through a written
statement of dispute in accordance with the applicable FFA
(e.g., to the Dispute Resolution Committee).
Finish: Parties reach unanimous written agreement or RA
resolves the dispute by issuing a written position on the
dispute or, if the dispute is elevated to the EPA Administrator,
the EPA Administrator resolves the dispute by written
decision, in accordance with the applicable FFA.
Special Planning/Reporting Requirements:
This is an internally tracked activity.
f. Pre-RI Screening Level Assessment and Expanded Pre-RI Screening Level
Assessment
There are times when EPA and the other Federal Agencies may need to gather more
information on sites to evaluate whether a Remedial Investigation/Feasibility Study
(RI/FS) is appropriate. These evaluations will consist of a limited scope assessment which
are designed to distinguish between sites that clearly pose little or no threat to human
health or the environment and sites that may pose a threat and require further
investigation.
These codes should be utilized for Federal Facility sites that are already on the NPL where
a new release, pathway or contaminant is being initially investigated. The purpose of this
work is to determine whether the site needs to move on to an RI/FS.
The FF Pre-RI Screening Level Assessment code should be utilized for instances where
readily available information is collected which describes the site location, operational
history and a basic evaluation of potential pathways and receptors. Limited sampling may
be conducted under this phase.
The FF Expanded Pre-RI Screening Level Assessment code should be utilized for instances
where additional information needs to be collected to determine whether an RI/FS is
appropriate. The information collected in the Expanded Pre-RI Screening Level
Assessment should build from that which was collected in the Pre-RI Screening Level
Assessment. This effort may include further limited sampling and limited risk evaluations
or comparisons.
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EXHIBIT 9.9. PRE-RI AND EXPANDED PRE-RI SCREENING LEVEL ASSESSMENTS
Action
Performance
Lead
Action Date Requirements
FF Pre-RI Screening Level
Assessment
Federal Facilities
Start: EPA starts an in-house review of the Pre-RI Screening
Level Assessment report or equivalent.
Finish: Date the OFA finalizes the Pre-RI Screening Level
Assessment document or equivalent.
FF Expanded Pre-RI Screening
Level Assessment
Federal Facilities
Start: EPA starts an in-house review of the Exoanded Pre-RI
Screening Level Assessment or equivalent.
Finish: Date the OFA finalizes the Expanded Pre-RI Screening
Level Assessment document or equivalent.
g. 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 Interim/Stabilization Measure (ISM).
EXHIBIT 9.10. RI/FS OR RCRA FACILITY INVESTIGATION (RFI) REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF RI/FS
FF Rl
Federal Facilities
If there has been no Previous RI/FS or RFI work or RI/FS or RFI
work started prior to the FFA/IA effective date and there has
been substantial EPA or state involvement (EPA or the state
has reviewed and commented, approved/concurred, or
accepted the work plan)
Start: RI/FS or RFI draft work plan received bv EPA.
OR
For new sites listed on the NPL with ongoing RI/FS work,
FFA/IA signed by EPA.
Finish: Decision document signed bv aoDrooriate EPA Official.
RCRA Facility Investigation
Federal Facilities
Start: RI/FS or RFI draft work plan received by EPA.
OR
For new sites listed on the NPL with ongoing RI/FS work,
FFA/IA signed by EPA or the state and the other agency.
Finish: Decision document or equivalent signed by
appropriate EPA Official.
Special Planning/Reporting Requirements:
This is an internal program target and measure.
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h. Decision Documents
Upon completion of a Federal Facility RI/FS, CMS, or Engineering Evaluation/Cost Analysis
(EE/CA), EPA and the other federal agency select an action that is presented in a cleanup
decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments, Action
Memo, 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. In cases of an Action Memo, where EPA does not typically have approval
authority, the date that the OFA finalizes/signs the document should be considered the
completion date for the purposes of reporting in SEMS. If EPA does formally approve the
Action Memo, the date of EPA approval is used.
EXHIBIT 9.11. DECISION DOCUMENT REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF ROD,
FF Explanation of Significant
Difference,
FF ROD Amendment
Federal Facilities
Start/Finish: Record of Decision. ESD. or ROD Amendment
signed by the appropriate EPA official.
Action Memo
Federal Facilities
Start/Finish: EPA approval of the Action Memo or Date the
Action Memo is finalized by the other Federal Agency.
Special Planning/Reporting Requirements:
This is an internal program target and measure. Generally, one ROD document equals one
ROD target completion, even if the ROD covers multiple OUs. If OUs have tracked
separately throughout the process and have come together for the purpose of efficiency
associated with signature/briefings, the Region should contact FFRRO ahead of the
signature of the document. HQ's ROD data entry contractors will enter in the associated
remedy selection information.
The regions should not enter a Remedial Design (RD) or a Remedial Action (RA) following
a 'No Action ROD'.
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 Records Management.
i. 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
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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 9.12. FINAL REMEDY SELECTED REQUIREMENTS
Action
Performance Lead
Action Date Requirements
FF Record of Decision,
RCRA Statement of Basis/Response
to Comments, Removal Action
Decision - Action Memorandum,
FF GOVT Remedy Decision Change
(ROD Amendment Only)
Federal Facilities
Start/Finish: FF ROD - Record of Decision signed
by appropriate EPA Official.
RCRA SB/RTC - RCRA SB/RTC signed or concurred
on by the appropriate EPA Official
AM - Date the Action Memo is finalized by the
other Federal Agency.
FF ROD Amendment -
ROD Amendment signed by the appropriate EPA
Official.
GOVT PCOR
EPA Performed
EPA Performed In-House
Start/Finish: Signature date of PCOR signed by
appropriate regional official and HQ selection of
Special Interest code of CC or SAA CC; OR
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.
GOVT FCOR
EPA Performed
EPA Performed In-House
Start/Finish: Signature date of FCOR signed by
appropriate regional official and HQ selection of
Special Interest code of CC or SAA CC; OR
Final Close-out Report signed by appropriate
regional official; OR
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.
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.
j. 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
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(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, taking of remedial measures
is not appropriate.
For more detailed information, see Close Out Procedures for National Priorities List Sites,
OSWER 9320.2-23. June 2022.
SEMS no longer tracks the 'Notice of Intent to Delete' nor the 'Notice of Intent to Partially
Delete' as separate actions. These two actions are now historic in SEMS 2.0. The Federal
Register notices remain part of the official Federal Register publication process and are
still actively used. These now historic actions are no longer available to add to the SEMS
site schedule. The Federal Register notice determines the effective date at the time of the
publication. The effective date of the rule is typically the same as the publication date.
EXHIBIT 9.13. PARTIAL NPL DELETION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Partial NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Start: Notice of Intent to Partiallv Delete oublished in the
Federal Register proposed rule.
Finish: Notice of Partial Deletion oublished in the Federal
Register final rule
OR
The effective date of the Partial Deletion as published in
the Federal Register final rule
Special Planning/Reporting Requirements:
Partial NPLdeletionsare tracked separately from final NPL deletions. Partial NPL deletions
will be entered in SEMS under Site Management. The Headquarters NPL Rule Manager
will "Add New NPL Rule" on the NPL Rule screen, which allows them to enter the NPL Rule
Type, NPL Rule citation/Federal Register Number (as XXFRXXXX, e.g. 82FR33026), the
Federal Register effective date, and publication date. The Regions are responsible for
entering all planning dates in the Site Schedule. The start date of the Partial NPL deletion
is the publication date the proposed rule, also known as the 'Notice of Intent to Partially
Delete', is published in the Federal Register. 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
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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 Regional Action Note.
Justification - The Regions are responsible for preparing a site-specific justification for
each partial deletion. The justification is submitted to the HQ National Deletion
Coordinator for review prior to regional signature. The justification shall specify media
and impacted OUs included in the partial deletion and media and impacted OUs that
remain on the NPL. The justification shall describe remedial goals and remedial action
objectives from decision documents and remedial actions completed to implement the
remedy. Include rationale for meeting the criteria for site deletion, community
involvement activities, and discussion of remaining Operation and Maintenance (O&M)
activities, monitoring and FYRs. For more detailed information, see Close Out Procedures
for National Priorities List Sites. OLEM 9320.2-23, June 2022.
k. 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, taking of remedial measures
is not appropriate.
A site deletion will be entered in SEMS by EPA if the deletion action addresses the
remaining release listed on the NPL (either as a one-time deletion action for the entire
site as originally listed, or as the last deletion action associated with a site subject to
previous partial deletions). Regions submit a Final Close Out Report (see section 8.D.3.e,
Site Completion) to the HQ National Deletion Coordinator for review prior to obtaining
regional signature.
For more detailed information, see Close Out Procedures for National Priorities List Sites,
OSWER 9320.2-23, June 2022.
EXHIBIT 9.14. NPL DELETION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
NPL Deletion
EPA Performed,
EPA Performed In-House,
Federal Facilities
Start: Notice of Intent to Delete published in the Federal
Register proposed rule
Finish: Notice of Deletion published in the Federal Register
final rule
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Action
Performance Lead
Action Date Requirements
OR
The effective date of the Notice of Deletion as published -in
the Federal Register.
Special Planning/Reporting Requirements:
The effective date of the deletion is published in the Federal Register. Final NPL Deletions
are entered in SEMS in the NPL Rule screen under the "My Work List" menu. The
Headquarters NPL Rule Manager will "Add New NPL Rule" on the NPL Rule screen, which
allows them to enter the NPL Rule Type, NPL Rule citation/Federal Register Number (as
XXFRXXXX, e.g. 82FR33026), and Federal Register date of publication The Regions are
responsible for entering all planned deletion dates in the Site Schedule.
At some sites, certain actions may continue after the site deletion. These include O&M,
monitoring and FYRs. The FCOR needs to reflect which of these actions will continue post
deletion and which are completed.
I. 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 alterthe overall cleanup
approach. HQ's ROD data entry contractors will enter in the associated remedy selection
information.
EXHIBIT 9.15. REMEDY DECISION CHANGE REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
ROD Amendment
Federal Facilities
Start/Finish: ROD Amendment signed bv the appropriate EPA
Official.
Explanation of Significant
Differences
Federal Facilities
Start/Finish: ESD signed bv the appropriate EPA Official.
Special Planning/Reporting Requirements:
ROD Amendments and ESDs count towards the program target for Decision Documents.
m. 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,
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and statement of biddability and constructability. The RCRA Corrective Measure Design
(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 biddability and constructability.
An RD or CMD is complete when the plans and specifications for the selected remedy are
developed and approved.
EXHIBIT 9.16. RD OR RCRA CMD REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF RD
Federal Facilities
Start: - RD draft workplan or first version of the design
received by EPA.
Finish: RD Report approved bv EPA.
RCRA
Corrective Measure Design
Federal Facilities
Start: RCRA Corrective Measure Design (CMD) workplan or
any other major design deliverable received by EPA.
Finish: Letter is signed bv the appropriate EPA Official
approving the entire final Corrective Measure Design (CMD).
Special Planning/Reporting Requirements:
This is an internal program measure.
n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)
A RA or RCRA Corrective Measure Implementation (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 9.17. RA OR RCRA CMI REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF RA
Federal Facilities
Start: Memo, letter or notification to EPA documenting the
date on which substantial, continuous, physical, on site,
remedial actions began.
Finish: RA Report approved/signed bv appropriate EPA
Official.
RCRA Corrective Measure
Construction
Federal Facilities
Start: Substantial, continuous, physical, On-Site, Remedial
Action begins pursuant to SARA Section 120(e).
Finish: Designated Regional official signs a letter accepting the
appropriate CMI reporting vehicle that documents the
completion of construction activities or signs the report; or
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Action
Performance
Lead
Action Date Requirements
the Region prepares a report documenting the completion of
construction activities.
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 Priorities List Sites,
QSWER 9320,2-23, June 2022. Region's should note and utilize the ability to document
incremental progress in terms of implementing a Remedial Actions. Examples would be
actions or portions of actions that will be implemented on different timelines. These can
be tracked as separate RA's.
EXHIBIT 9.18. REMEDIAL PIPELINE FLOW CHARTS
Source Remediation Actions Pipeline
RA Report
A
-i Remedial Action ~
Off-site disposal: Wastes removed, cleanup levels achieved, site restored
Source remediation: Cleanup levels achieved, site restored
NAPL recovery: Necessary mass recovered/volume reduced
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Source and Groundwater Containment Actions Pipeline
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o. 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.
EXHIBIT 9.19. REMOVAL OR RCRA ISM REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF Removal
Federal Facilities
Start: Federal agencv begins actual on-site removal work.
Finish: Federal agencv notifies EPA of demobilized,
completing the scope of work delineated in the Action
Memorandum or other decision document.
RCRA Interim/Stabilization
Measure
Federal Facilities
Start: Federal agencv begins work On-Site.
Finish: Federal agencv demobilized and notified EPA.
completing the scope of work delineated in the Action
Memorandum or other Decision Document.
Special Planning/Reporting Requirements:
This is an internal program measure.
p. 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 9.20. OPERATION AND MAINTENANCE REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
FF Operations and Maintenance
Federal Facilities
Start: Date the RA Report is signed (or concurred on) bv the
designated EPA official.
Finish: The Remedial Goals have been achieved that allow for
unlimited use and unrestricted exposure or as otherwise
specified in the FFA/IA.
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Special Planning/Reporting Requirements:
O&M Start is an internal program measure.
q. Percent Construction Completion
Although no longer a primary program measure, the percent construction complete
measure serves as a good indicator of incremental progress being made at Federal Facility
Sites. 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. 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. FFRRO will monitor Program progress in the net increase
in the national percent of construction completions (CC) for NPL FF sites.
r. 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 (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-SARA remedy, upon attainment of cleanup
levels specified in the ROD, will not allow for 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.
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EXHIBIT 9.21. FEDERAL FACILITY FIVE-YEAR REVIEW REQUIREMENTS
Action
Performance Lead
Action Date Requirements
FF Five-Year Review
Federal Facilities
Start: Five-vear review work plan submitted bv the other Federal
Agency is approved by EPA;OR
Other Federal Agency submits the draft document to EPA for
review; OR
The Five-Year Review kick-off meeting occurs.
Finish: The designated EPA official signs the final report submitted
by the other Federal Agency or the concurrence letter; OR
EPA issues an independent finding of protectiveness of the remedy
before or on the statutory due date.
FF Five-Year Review
Addendum
Federal Facilities
Finish: Five-vear review addendum, stating a new protectiveness
determination of all remedies that have deferred protectiveness
determinations is signed by the appropriate EPA official.
Statutory: The 1st FF Five-Year Review (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 with the
exception of situations where the FYR was completed >3-months early. In those
situations, the subsequent FYR should be planned five years from the actual finish date of
the current FYR.
Policy: The 1st FF FYR planned finish date should be scheduled for five years after the date
the site achieved Construction Completion. All subsequent FF FYRs are scheduled for five
years after the planned finish date of the previous FYR with the exception of situations
where the FYR was completed >3-months early. In those situations, the subsequent FYR
should be planned five years from the actual finish date of the current FYR.
Discretionary: The FYR planned finish date is based on the date set by the user at the time
of entry of FYR 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 as well as the Five-Year Reviews of Federal Facility
Cleanups website to select the appropriate method for calculating the Five-Year Review
due date.
When planning FYR actions in SEMS, the "FYR Report Due" sub-action is required to
indicate the required due date of the FYR. This sub-action will automatically
populate in the site schedule with a planned finish date calculated based upon a trigger
date through the "Calculate Planned FYR" functionality.
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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.
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. As
part of the EPA Lean Management System, FFRRO has developed improvements
to its internal review of draft five-year review reports. FFRRO is reviewing draft
reports within 30 calendar days from receipt form the RPM. FFRRO is using review
time as a metric for program improvement.
• If the Region issues an independent finding 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 two days.
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.
Regions should ensure that Five-Year Reviews and Addendums are uploaded into the
SEMS Document Management System.
9.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 11, titled 'Community Involvement.'
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.
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b. Community Involvement Plans
The Community Involvement Plan is typically published within one year of a site being
listed on the National Priorities List. For federal facility sites that were placed on the
National Priorities List more than two decades ago, the Community Involvement Plan may
be out of date. Updates to the Community Involvement Plan should be conducted at a
frequency that is appropriate for the site and consider changing demographics, newly
discovered information about the site, environmental justice concerns, climate resiliency
concerns and any other pertinent information.
EXHIBIT 9.22. RAB/SSAB AND COMMUNITY INVOLVEMENT PLAN REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
SSRAB - Restoration Advisory
Board (RAB)/Site-Specific
Advisory Board (SSAB)
Federal Facilities
Start: Initial RAB/SSAB information meeting establishing the
Board
Finish: Official notification that the RAB is adiourned bv DoD
or SSAB is terminated by the Secretary of Energy
Federal Facilities Community
Involvement Plan
Federal Facilities
Finish: The date the Community Involvement Plan (CIP) is
published and released to the public.
Special Planning/Reporting Requirements:
This is an internal program measure. The SSRAB code can be found under the Community
Involvement Actions Phase.
c. Technical Assistance Grants (TAGs) and Technical Assistance Services for
Communities (TASC)
SARA established the TAG program to provide technical assistance to eligible
communities. This technical assistance allows communities to improve the decision-
making process at their sites.
In addition, TASC may be made available to communities. TASC contracts were developed
to provide communities that live near hazardous waste sites with independent technical
assistance to help them understand the technical issues related to hazardous substance
contamination and cleanup so that they can substantively participate in the decision-
making process.
EXHIBIT 9.23. TAG & TASC REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
Technical Assistance Grant (TAG)
EPA In-House
Start: Date of award as noted in EPA's official grants
database/system.
Finish: Date of closure as noted in EPA's official grants
database/system.
Technical Assistance Services for
Communities (TASC)
EPA In-House
Start: COR issues technical direction to the contractor,
defining and initiating the project.
Finish: EPA approves the final deliverable under a proiect:
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Action
Performance
Lead
Action Date Requirements
project is closed when contract ends; or COR discontinues
project through technical direction to the contractor.
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 TAGs 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.
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Superfund Program Implementation Manual
FY 25
Chapter 10: Enforcement
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CHAPTER 10: Enforcement
Table of Contents
10.A Enforcement 1
10.A.1 Promoting the Superfund Enforcement Program 1
10.A.2 Overview of Enforcement Program Targets and Measures 2
10.A.3 Superfund Alternative Approach (SAA) Sites 4
10.A.4 Enforcement Program Performance Leads 6
10.A.5 Data Entry Timeliness 6
10.A.6 Releasability of Enforcement Planning Data 6
10.A.7 Enforcement Program Definitions 6
a. Potentially Responsible Party (PRP) Search Starts 6
b. PRP Search Completions 7
c. Preliminary PRP Search Completion 7
d. Section 104(e) Referrals for Judicial Orders or Warrants 9
e. Submittal of Pre-ReferraI Negotiation (PRN) Package to DOJ for RD/RA
Negotiations 10
f Issuance of General Notice Letters (GNLs) 10
g. Issuance of Special Notice Letters (SNLs) 10
h. Issuance of Demand Letter 11
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; and Cost
Recovery 11
j. Completion or Termination of Negotiations: (Expanded Site Inspection/Remedial
Investigation/Feasibility Study [ESI/RI/FS]; Remedial Design/Remedial Action
[RD/RA]; Removals; and Cost Recovery) 14
k. Ongoing RD/RA, RD and RA-Only Negotiations 15
I. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations) 16
m. Total Response Commitments (Including Dollar Value) 17
n. Volume of Contaminated Media Addressed (VCMA) 20
o. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement 20
p. Cleanup Commitments Secured through Financial Assurance for Active Response
Enforcement Instruments 23
q. De Minimis Settlements and Number of Parties 25
r. Section 106, 106/107,107 Case Resolution (Including Claim in Bankruptcy) 26
s. Past Costs Addressed via Settlements, Referrals, Write-Offs, or Claims in
Bankruptcy 27
t. Total Cost Recovery Settlements (Including Dollar Value) 29
u. Lien on PRP Property 31
v. Total Value of PRP Oversight 31
w. Number and Amount of CERCLA Penalties Assessed 32
x. Number of Settlements Where EPA Settled Based on Ability-to-Pay
Determinations 32
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y. Agreements with Prospective Purchasers (PPAs), Prospective Lessees (PLAs),
Bona Fide Prospective Purchasers (BFPPAs), Bona Fide Prospective Lessee
Agreement (BFPLA) and Contiguous Property Owners 33
z. Issuance of Comfort/Status Letter 34
aa. Windfall Lien Resolution Agreements 35
bb. Oversight Administration 36
cc. Settlements Designating Funds for Deposit to Special Accounts 37
dd. Settlements Designating Funds for Disbursement from Special Accounts to
Parties 38
10.A.8 Agreements at SWRAU Sites 38
List of Exhibits
Exhibit 10.1. Enforcement Program Performance Measures 2
Exhibit 10.2. PRP Search Requirements 9
Exhibit 10.3. Section 104(e) Referrals for Judicial Orders or Warrants 9
Exhibit 10.4. Pre-Referral Negotiation Package Requirements 10
Exhibit 10.5. General Notice Letter Requirements 10
Exhibit 10.6. Special Notice Letter Requirements 11
Exhibit 10.7. Demand Letter Requirements 11
Exhibit 10.8. Negotiation Start Requirements 11
Exhibit 10.9. Completion or Termination of Negotiation Requirements 14
Exhibit 10.10. Ability to Pay (ATP) Party Insurance Negotiation Requirements 16
Exhibit 10.11. Total Response Commitment Requirements 17
Exhibit 10.12. Summary of SEMS Compliance Status Values 21
Exhibit 10.13. De Minimis Settlement Requirements 26
Exhibit 10.14. Section 106,106/107, 107 Case Resolution (Including Claim in Bankruptcy)
Requirements 27
Exhibit 10.15. Past Costs Addressed Requirements 27
Exhibit 10.16. Total Cost Recovery Settlement Requirements 30
Exhibit 10.17. Lien Requirements 31
Exhibit 10.18. CERCLA Penalties Assessed Requirements 32
Exhibit 10.19. Ability-to-Pay Determination Requirements 33
Exhibit 10.20 PPA, PLA, BFPPA, BFPLA and CPOA Agreement Requirements 34
Exhibit 10.21. Comfort/Status Letter Requirements 34
Exhibit 10.22. Windfall Lien Resolution Requirements 35
Exhibit 10.23. Oversight Administration Requirements 36
Exhibit 10.24. Settlements Designating Funds for Deposit to Special Accounts Requirements ..37
Exhibit 10.25. Settlements Designating Funds for Disbursement from Special Accounts to PRPs
Requirements 38
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CHAPTER 10: ENFORCEMENT
10.A ENFORCEMENT
10.A.1 Promoting the Superfund Enforcement Program
The Superfund enforcement program 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 supporting cleanup and reuse by third
parties. 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) sites and sites
using the Superfund Alternative Approach (SAA). 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: Each year, address all unaddressed Superfund costs at sites
prior to the Statute of Limitations (SOL) 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 300 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).
• Supporting Cleanup and Reuse by Third Parties: As a result of the landowner liability
protections in the Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), federal involvement is not necessary in most private real estate
transactions involving contaminated properties. However, EPA and the Department
of Justice recognize that a site-specific agreement with the federal government
addressingthe liability concerns of a prospective purchaser, lessee orotherthird party
may facilitate the cleanup and reuse of some sites 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 its oversight expectations for upcoming
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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 continue to focus on sound
fiscal management and collection of Superfund accounts receivable that are more
than 120 days delinquent in each region to maximize collections of monies due to the
Trust Fund.
• 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.
• Securing Cleanup Commitments through Financial Assurance: EPA will continue to
monitor Financial Assurance requirements for active CERCLA enforcement
instruments that include work obligations to ensure responsible parties have the
resources to complete the cleanup work.
• 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.
10.A.2 Overview of Enforcement Program Targets and Measures
The following pages contain the definitions of enforcement program targets and
measures. Exhibit 10.1 displays the reporting hierarchy of enforcement actions defined in this
chapter.
EXHIBIT 10.1. ENFORCEMENT PROGRAM PERFORMANCE MEASURES
Activity
External Program Reporting
Internal Program Reporting
PRP Search Starts
Measure
PRP Search Completions
Measure
Preliminary PRP Search Completions
Measure
Section 104(e) Referrals for Judicial Orders or Warrants
HQ
Submittal of Pre-Referral Negotiation (PRN) package to
DOJ for RD/RA Negotiations
HQ
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Activity
External Program Reporting
Internal Program Reporting
Issuance of General Notice Letters (GNLs)
HQ
Issuance of Special Notice Letters (SNLs)
HQ
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)
Measure
Ongoing RD/RA, RD and RA-only Negotiations
Measure
Ability to Pay Party Insurance Negotiations
Measure
Total Response Commitments (Including Dollar Value) **
X
Measure
Volume of Contaminated Media Addressed (VCMA)
**
X
Measure
Active Response Enforcement Instruments in
Substantial Noncompliance (SNC)
HQ
Cleanup Commitments Secured through Financial
Assurance for Active Response Enforcement Instruments
HQ
De Minimis Settlements and Number of Parties
Measure
Section 106,106/107,107 Case Resolution
Measure
Issuance of Demand Letter
HQ
Past Costs Addressed Via Settlements, Referrals, Filing a
Claim in Bankruptcy Proceedings, or where appropriate
Write-Off
Target
Total Cost Recovery Settlements (Including Dollar Value)
**
X
Measure
Total Value of PRP Oversight *
X
Measure
Lien on Real Property
HQ
Number and Amount of CERCLA Penalties Assessed**
X
Measure
Number of Settlements Where EPA Settled Based on
Ability-to-Pay Determinations
Measure
Agreements with Prospective Purchasers (PPA),
Prospective Lessees (PLA), Bona Fide Prospective
Purchasers (BFPPAs), Bona Fide Prospective Lessees
(BFPLAs), and Contiguous Property Owners (CPOAs)**
X
Measure
Issuance of Comfort/Status Letter **
X
Measure
Windfall Lien Resolution - Finalized**
X
Measure
Oversight Administration
Measure
Settlements Designating Funds for Deposit to Special
Accounts
Measure
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Activity
External Program Reporting
Internal Program Reporting
Settlements Designating Funds for Disbursement from
Special Accounts to PRPs
Measure
Site Revitalization
Measure
Key to Reporting Hierarchy
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.
X = Annual Performance Report
* The Total Value of PRP Oversight is reported in Compass.
** Values are publicly reported enforcement end-of-year accomplishments.
10.A.3 Superfund Alternative Approach (SAA) Sites
At NPL-caliber sites, when a liable PRP demonstrates it is viable and cooperative, EPA
regional offices, at their discretion, may enter into a Superfund Alternative Approach (SAA)
agreement with the PRP to facilitate the cleanup of a site. The SAA uses the same investigation
and cleanup process and standards that are used for sites listed on the NPL. The SAA is generally
the Agency's preferred enforcement approach for Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) non-NPL sites that are NPL-caliber, where feasible and
appropriate.
Threshold eligibility criteria for using the SAA are:
• Site contaminants are significant enough that the site would be eligible for listing on
the NPL (i.e., the site would have a Hazard Ranking System [HRS] > 28.5);
• A long-term response (i.e., a RA) is anticipated at the site; and
• There is a willing, capable PRP who will negotiate and sign an agreement with EPA to
perform the investigation or cleanup.
EPA determines if the SAA is appropriate at a particular site. (A PRP may request that a
site be evaluated for the SAA.) If a site meets the first two criteria above, EPA and the PRP may
choose to negotiate an SAA agreement. The SAA agreement is equivalent (uses the same
authority and includes the same requirements) 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
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region. The HRS package does not have to go through the EPA Headquarters quality
assurance process.
• EPA 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 three radio buttons in Site Summary related to EPA's Superfund
Alternative Approach agreements to better track and report accomplishments at sites using the
SAA. These radio buttons include:
• SAA Agreement - Indicates an SAA agreement has been signed for the site.
• Former SAA Agreement Site - Indicates a site had a signed SAA agreement, but the
agreement is no longer active and in effect.
• Regional Identified SAA Site - Tracks sites reported as following an SAA-type process
prior to implementation of the SAA policy.
Regions are responsible for ensuring the correct code comports with the list of sites
posted on the SAA website. For historical reporting purposes, this code should remain in place
once properly added to SEMS. The code should not be deleted regardless of the outcome of the
SAA unless it was originally added due to a data entry error.
Additionally, there can be multiple enforcement agreements at a site including sites where an
SAA agreement has been negotiated. Therefore, regions should select 'Superfund Alternative
Approach Agreement per OECA' from the enforcement instrument Categories list in the Edit
Action Details screen in SEMS to indicate the specific agreement(s) that are the SAA agreement(s)
at the site. The SEMS FOIA-14 Superfund Alternative Approach Agreement Sites and Agreements
report is available on the public Superfund Data and Reports webpage.
EPA's Office of Enforcement and Compliance Assurance (OECA) is responsible for
reviewing final SAA agreements and maintaining the SAA website. The SAA website includes SAA
guidance and the latest list of sites with SAA agreements.
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10.A.4 Enforcement Program Performance Leads
SEMS captures two aspects of actions, the entity that performs the work itself (e.g. EPA,
state, tribes, and PRPs) as well as the funding source for those actions. These aspects are
captured by a combination of the action name, performance lead code, and the financial lead
codes, respectively. For example, EPA uses Government Rl to denote a Rl performed by a
government entity, though not a federal facility, which has its own action 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 Rl is Rl 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 action—Fund, Special Account, or Mixed Sources. Superfund
financial management is addressed in Chapter 3 of this document. Financial Lead codes are
discussed in more detail in Chapter 4, section 4.E, of this document.
10.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 4.C.1 of this document for additional
information about data quality and timeliness standards.
10.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 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".
10.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 [ESI]/RI, RI/FS or RA). For sites where removal actions will
be conducted, the PRP search should be initiated as soon as the need for the removal has
been identified in order to give a verbal notice of potential liability or to issue a general
notice letter.
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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 1041 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 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
action can be started at a site.
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.
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B. Current and Past Site Ownership Identification/Notification
The region has, using the tools most appropriate for the site, conducted activities
to identify current site owners as well as past site owners at the time of disposal
of hazardous substances and where those site owner PRPs exist and can be
located within a reasonable time, considering the exigencies of the situation, the
region has provided verbal notice and/or issued General Notice Letters to those
parties the region determines to be liable and capable of performing the initial
response action at the site. In addition, as a part of this task, regions have obtained
information necessary to secure site access in order to allow for performance of
the initial non-emergency response action at the site.
C. Site Operation Identification/Notification
If the operator(s) of the site/facility that caused the release or threat of release of
hazardous substances are different from the site/facility owner(s) at the time of
disposal, the region has undertaken PRP Search activities necessary to identify
site/facility operators and where those site operator PRPs exist and can be located
within a reasonable time, considering the exigencies of the situation, the region
has provided verbal notice and/or issued General Notice Letters to those parties
the region determines to be liable and capable of performing the initial non-
emergency response action at the site.
D. Site Owner/Operator Liability/Financial Viability Determination
For each party identified under A., B. or C. of this section, the region has
determined, based on publicly available information whether: 1) the party may be
liable under section 107(a) of CERCLA; and 2) the party may be financially capable
of performing or paying for all, or a portion of, the initial non-emergency response
action at the site.
E. Arranger/Transporter(A/T) Identification/Notification
The region has determined, based on readily available information such as site
records, that either 1) no A/T PRPs appear to exist at the site or 2) there are A/T
PRPs at the site, and the region has provided verbal notice and/or issued General
Notice Letters to those A/T PRPs initially identified through such information who
the region determines to be liable and capable of performing the initial non-
emergency response action at the site and determined that, to the extent that A/T
PRPs exist, additional PRP search efforts may be required.
OR
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.
FY 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.2. PRP SEARCH REQUIREMENTS
Action
Performance Lead
Action Date Requirements
PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work assignment or
procurement request, or the date EPA develops the PRP
search plan; or the date a spill identification number has
been assigned to a site, or the date EPA initiates and
documents search activities by some other means. When a
Preliminary PRP Search is required, the first PRP Search at a
site should have the same start date as the Preliminary PRP
Search.
Finish: Date all applicable activities described in the Agency's
PRP Search Manual have been completed and documented in
the site file that the region has met all reasonable achievable
criteria for the PRP search and a PRP Search outcome report
with a list of PRPs has been prepared. The finish date and
outcome must be entered in SEMS. If no PRPs are found, the
Qualifier of 'No PRPs Identified' must be entered in SEMS.
Preliminary PRP Search
EPA
Start: The signature date of the Contracting Officer or
Contracting Office Representative on a work assignment or
procurement request, or the date EPA develops the PRP
search plan; or the date a spill identification number has
been assigned to a site, or the date EPA initiates and
documents search activities by some other means. The
Preliminary PRP Search, when required, and the first PRP
Search at a site should have the same start date.
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 for Judicial Orders or Warrants
Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to
EPA requests for information or to obtain site access.
EXHIBIT 10.3. SECTION 104(E) REFERRALS FOR JUDICIAL ORDERS OR WARRANTS
Action
Performance Lead
Action Date Requirements
Section 104(e) Referral
Litigation
EPA
Start: Signature date of the memo from the Regional
Administrator transmitting the referral to DOJ.
Finish: The date a section 104(e) judicial order or warrant is
issued by a court.
Special Planning/Reporting Requirements:
The Law/Section reported in SEMS should be CERCLA 104(e).
FY 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
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 10.4. PRE-REFERRAL NEGOTIATION PACKAGE REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Pre-Referral Negotiation
(PRN) Package
EPA
Finish: Date PRN package is submitted to DOJ.
Special Planning/Reporting Requirements:
Pre-Referral Negotiation Packages are recorded as a milestone to RD/RA negotiations in
SEMS. As such, the predecessor/successor relationship should be established in SEMS
through View/Manage Relationships.
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 10.5. GENERAL NOTICE LETTER REQUIREMENTS
Action
Performance Lead
Action Date Requirements
General Notice Letters
EPA
Finish: Signature date of General Notice Letter bv
appropriate EPA official
Special Planning/Reporting Requirements:
The date of issuance of the General Notice Letter (GNL) may also constitute the start of
the applicable negotiation. GNLs are recorded as a milestone to PRP Search or Removal,
Cost Recovery or RI/FS Negotiations in SEMS. As such, the predecessor/successor
relationship should be established in SEMS through View/Manage Relationships.
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 25 SPIM
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Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.6. SPECIAL NOTICE LETTER REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Special Notice Letters
EPA
Finish: Signature date of Soecial Notice Letter bv
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 Negotiations in SEMS. As such, the
predecessor/successor relationship should be established in SEMS through View/Manage
Relationships.
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 actions. Demand letters
are typically sent for each separate response action.
EXHIBIT 10.7. DEMAND LETTER REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Demand Letters Issued
EPA
Finish: The date the demand letter is signed bv the
appropriate EPA official.
i. Negotiation Starts: Expanded Site Inspection/Remedial Investigation/Feasibility
Study (ESI/RI/FS); Remedial Design/Remedial Action (RD/RA); Removal; and Cost
Recovery
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.
Cost recovery negotiations are discussions between EPA and the responsible parties on
their liability for reimbursement to EPA for the Agency's past expenditures cleaning up
sites.
EXHIBIT 10.8. NEGOTIATION START REQUIREMENTS
Action
Performance Lead
Action Date Requirements
RI/FS Negotiations or
Removal Negotiations
Action Name = RI/FS
Negotiations (FN);
Removal Negotiations
(RN); or Negotiations
(Generic) (NG)
EPA
Start: Signature date of first General Notice Letter or Special
Notice Letter by appropriate EPA official.
OR
Signature date of the Waiver of Special Notice Letter by
appropriate EPA official
FY 25 SPIM
10-11
Final September 2024
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OLEM Directive 9200.3-158
Action
Performance Lead
Action Date Requirements
Cost Recovery
Negotiations
Action Name = Cost
Recovery Negotiations
(NE); or Negotiations
(Generic) (NG)
Site must be Non-Federal
Facility NPL, non-NPL or
SAA site
Start: Signature date of first General Notice Letter bv
appropriate EPA official.
OR
The date the Demand Letter is signed by the appropriate
EPA official for Cost Recovery Negotiations.
RD/RA Negotiations
Action Name = RD/RA
Negotiations (AN) or
Negotiations (Generic)
(NG)
Site must be an NPL or
SAA site
EPA
Start: Signature date of the first Soecial 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 Bifurcated/Subsequent RD/RA Negotiations, the start
date for the RA-only negotiation is:
a) the same as the finish date of an existing set of RD/RA
Negotiations from which an interim settlement/order arose
for RD only; or
b) the signature date of the letter by the appropriate EPA
official transmitting the draft consent decree and statement
of work to the PRP requesting a good faith offer to perform
the RA.
OR
For Concurrent RD/RA Negotiations the start date is
whichever is earlier either the date concurrent negotiations
are first documented in meeting minutes or in a
Memorandum for the Record or the date the letter is signed
by the appropriate EPA official accepting the Good Faith
Offer from PRPs that delineates the negotiations.
Special Planning/Reporting Requirements:
If the region does not plan to perform negotiations at a site, negotiation dates should not
be entered in SEMS. The start of negotiations should be planned site specifically.
For each negotiation the following information must be reported in SEMS:
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• Parties included in the negotiations.
• Any past or future costs sought, as applicable.
• Value of parties' response work sought and source, as applicable.
• Response actions sought for performance or reimbursement.
• Other Relief(s) sought, as applicable.
The 'Response Actions Sought' must include one or more of the following actions: PRP
Removal, Removal, PRP RI/FS, RI/FS, FS, PRP FS, Rl, PRP Rl, ESI/RI, RD, RA, PRP RD or PRP
RA.
The Negotiations (Generic) (NG) activity can be used in SEMS to code any negotiation type
instead of using the conventional codes (RD/RA Negotiations (AN), RI/FS Negotiations
(FN), Removal Negotiations (RN), and Cost Recovery Negotiations (NE)). However,
because this activity is generic, coding the statutes and the remedy types correctly is
mandatory.
Bifurcated RD/RA negotiations occur when an interim settlement/order is issued for the
Remedial Design (RD) from an existing set of RD/RA negotiations and the region does not
plan to issue new SNL(s). For the subsequent RA-only negotiation, the region shall
establish a new RD/RA negotiation event in SEMS. Superfund Comprehensive
Accomplishments Plan (SCAP) credit will be given for the subsequent RA-only negotiation
start and finish. The appropriate Action Qualifier of Subsequent Negotiations (SN) should
be selected in SEMS for the RA-only negotiation. Additionally, the predecessor/successor
relationship should be established in SEMS between the initial RD/RA negotiation and the
subsequent RA-only negotiation through View/Manage Relationships.
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. When concurrent
negotiations occur, the appropriate Action Qualifier of Concurrent Negotiations (CN)
should be selected in SEMS forthe first RD/RA negotiation (the issuance of SNL is the start
date of the first negotiation action in SEMS). See the Negotiation Start Requirements in
the table above for the start date of the second/concurrent RD/RA negotiation event.
There is no Action Qualifier assigned to the second/concurrent negotiation action in
SEMS. Additionally, the predecessor/successor relationship should be established in
SEMS between the first RD/RA negotiation and the second/concurrent RD/RA negotiation
through View/Manage Relationships.
In instances where RD/RA negotiations extend beyond 300 days and a written plan to
complete negotiations is required, Regions should record the event in SEMS using the
RD/RA Negotiation Completion Plan action for the appropriate negotiation action in
SEMS. The date the completion plan is submitted to Headquarters is the finish date of the
RD/RA Negotiation Completion Plan action. Additionally, Regions should update the
RD/RA Negotiation planned finish date in SEMS to reflect the new planned negotiation
finish date agreed to and approved by Headquarters in the written plan.
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j. Completion or Termination of Negotiations: (Expanded Site Inspection/Remedial
Investigation/Feasibility Study [ESI/RI/FS]; Remedial Design/Remedial Action
[RD/RA]; Removals; and Cost Recovery)
Cleanup negotiations are discussions between EPA and the responsible 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.
Cost recovery negotiations are between EPA and the responsible parties on their liability
for reimbursement to EPA for the Agency's past expenditures cleaning up sites.
EXHIBIT 10.9. COMPLETION OR TERMINATION OF NEGOTIATION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
ESI/RI/FS Negotiations,
EPA
Finish: Date a signed CD and a lO-ooint analvsis for RD or
Removal Negotiations
RA, groundwater monitoring activities post-ROD,
RD/RA Negotiations,
institutional controls or a time critical (TC) or non-time
critical (NTC) removal is referred by the Regional
Cost Recovery
Negotiations
Administrator to DOJ. The finish date is the date of the
signed transmittal memo, which is the CD start date.
OR
Action Name = RI/FS
Negotiations (FN);
Removal Negotiations
(RN); RD/RA
Negotiations (AN); or
Cost Recovery
Negotiations (NE)
Negotiations (Generic)
(NG)
Site must be Non-
Federal Facility NPL,
non-NPL or SAA site
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
(Administrative) (CA) by the Regional Administrator or
delegate for RD only, or groundwater monitoring activities
post-ROD, or institutional controls, or a TC or NTC removal.
When 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.
FY 25 SPIM
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Action
Performance Lead
Action Date Requirements
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 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. The negotiation's 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
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, ESI/RI/FS Negotiations, Removal Negotiations or Cost Recovery
Negotiations.
For each negotiation completion the following information must be reported in SEMS:
• Associated Enforcement Instrument, Litigation, or Other Resulting Enforcement
Action.
• Other Outcome(s), as applicable.
k. Ongoing RD/RA, RD and RA-Only Negotiations
The 2019 Remedial Design/Remedial Action (RD/RA) Negotiation Policy memorandum
("2019 Negotiation Policy ") established a process to accomplish more prompt cleanups
with a commitment to shorten negotiation duration timeframes. The established process
provides up to 365 days to negotiate and enter into a RD/RA consent decree (CD) or RD
only administrative settlement or issue a UAO after the start of negotiations.
Beginning in fiscal year 2022, the Office of Site Remedial Enforcement (OSRE) started
reporting two Bowling Chart measures based on the 2019 Negotiation Policy. The two
FY 25 SPIM
10-15
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reporting-only measures (no targets) are ongoing RD/RA, RD and RA-only negotiations for
negotiations 1) under 365 days, and 2) over 365 days. These quarterly reporting measures
will keep OECA and OSRE informed about progress on bringing negotiations to closure in
a timely manner and will assist with implementation of the 2019 Negotiations policy.
It is essential that RD/RA negotiations planning and accomplishments data in SEMS
remain current throughout the year and that accomplishments are reported as they occur
to ensure progress is accurately reported each quarter to OECA and OSRE.
For reporting requirements refer above to section 10.A.7.j.
I. Ability to Pay (ATP) Party Insurance Negotiations (Generic Negotiations)
Ability to Pay Party (ATP) 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.
EXHIBIT 10.10. ABILITY TO PAY (ATP) PARTY INSURANCE NEGOTIATION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Negotiations (Generic) (NG)
EPA
Start: Negotiations start upon 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.
Special Planning/Reporting Requirements:
Ability to Pay Party Insurance Negotiations should be entered in SEMS as Negotiations
(Generic).
For each negotiation the following information must be reported in SEMS:
• Party included in the negotiations.
• Response Actions Sought for performance or reimbursement and value.
• Other Relief(s) Sought, Potential Insurance Component should be selected.
FY 25 SPIM
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• Other Outcome(s) Selected, as applicable.
A final agreement resulting from Ability to Pay Insurance Negotiations should be entered
in SEMS as a Settlement (Generic). For Enforcement Instrument Categories, Insurance
Recovery Efforts should be selected.
See Total Response Commitments for additional data requirements,
m.Total Response Commitments (Including Dollar Value)
Total Response Commitments are the total universe of CERCLA federal enforcement
instruments where private and federal parties agree to conduct cleanup work and/or
make cash payments toward future response costs at a site. This measure requires
reporting 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 10.11. TOTAL RESPONSE COMMITMENT REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
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, Rl, RI/FS, FS, RD, RA, groundwater
monitoring activities post-ROD, institutional controls, time
critical or NTC removal).
Unilateral Administrative
Order or Order (Generic)
EPA
Finish: Date the UAO or Order (Generic) 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-action.
Administrative Order on
Consent, Consent
Agreement
(Administrative) or
Settlement (Generic)
EPA
Finish: The date the AOC, CA or Settlement (Generic) is
signed by the Regional Administrator or delegate for PRPs
to perform or pay for an ESI/RI, Rl, RI/FS, FS, time critical or
NTC removal, RD, monitored natural attenuation,
institutional controls, or groundwater monitoring post-ROD.
Judicial/Civil Judgment
EPA
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..
Bankruptcy Settlement
EPA
Finish: The conclusion of a claim in bankruptcy proceedings
by final judicial settlement. Credit is given for a Bankruptcy
Settlement to pay for future response work on the date the
bankruptcy settlement is entered by the court and recorded
in SEMS as the finish. The allowed claims amount for future
response work should be entered in SEMS.
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10-17
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OLEM Directive 9200.3-158
Action
Performance Lead
Action Date Requirements
Enforcement Action
Amended
EPA
Finish: The date the amendment to an existing enforcement
instrument is signed by the Regional Administrator or
delegate that includes additional cleanup activities.
Amended enforcement instruments will count for credit in
the fiscal year they are signed.
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.
Special Planning/Reporting Requirements:
For each enforcement instrument, the following information must be reported in SEMS:
• Applicable Law Section.
• Applicable Enforcement Instrument Categories.
• Parties that signed the enforcement instrument (Parties Associated with Action, Party
Name).
• Applicable Response Actions Paid by Parties (Work the PRP Will Perform); Other Relief
Achieved.
• Value/dollar amount settled that will be used for current or future work covered by
the enforcement instrument (Work PRP Will Perform - Value, Federal Costs Settled -
Past and/or Federal Costs Settled - Future [as applicable]).
• Financial Assurance Provisions.
Other Relief Achieved Selected of "Model Community Impact Mitigation Language
(MCIML)" refers to whether the enforcement instrument includes the model Community
Impact language set forth in the 08/31/2021 model RD/RA CD SOW, the 08/10/2022
model ASA for Removal by Prospective Purchaser (paragraph 16), or the 09/29/2022
model ASAOC for Removal (paragraph 17).
To receive credit for settlements that provide protection from future liability to
prospective purchasers the Enforcement Instrument Category Selected must =
Prospective Purchaser Agreement (PPA), Bona Fide Prospective Purchaser Agreement
(BFPPA), Contiguous Property Owner Agreement (CPOA), Bona Fide Prospective Lessee
Agreement (BFPLA), Prospective Lessee Agreement (PLA) or Windfall Lien Resolution
Agreement.
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, later, the PRP agrees to a CD for the same
FY 25 SPIM
10-18
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OLEM Directive 9200.3-158
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 action,
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 (except for 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-action 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.
One recommendation of the Superfund Taskforce was to create a repository of completed
enforcement documents for information sharing. Thus, a special collection has been
established in SEMS-Records Management (SEMS-RM) for completed enforcement
instruments (special collections #36559).
As in the past, new enforcement instruments (CD, AOC, UAO, CA, Judgements,
Amendments, Settlements and Orders (Generic) and Bankruptcy Settlements) completed
should be entered in SEMS Site Management. Regions are required to associate the
applicable document to the corresponding action in SEMS. This can be done by scrolling
over to the Document column and clicking on the 'Add/Edit Document.' Users will be
taken to the Action Records section of the Edit Action Details screen. Select 'Add Record',
choose the applicable document from the list of documents at the site and then add. Then
select Finish Date. Refer to the SEMS Records Transfer Interface (RTI) User Guide. Section
^ for direction in how to submit electronic records via the SEMS-RM module.
Completed enforcement instruments are public records, as such, access to these
documents in SEMS should be assigned as 'uncontrolled'. At the end of each fiscal year,
OSRE will move the documents into the special collections established in SEMS-RM. The
appropriate Settlement Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-Site-
Subsequent Site) should be entered in SEMS in the Edit Site Schedule table for a single
settlement covering multiple sites to apportion the dollars correctly across individual sites
without double counting the settlement or the settlement value.
Dollars received in a cashout settlement should be deposited in an interest-bearing
Special Account if site-specific conditions warrant. See the measure, Settlements
Designating Deposits to Special Accounts, for more information. The 'Work the PRP Will
FY 25 SPIM
10-19
Final September 2024
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OLEM Directive 9200.3-158
Perform - Value' and 'Federal Costs Settled - Future' (i.e., the value of total response
commitments) will be reported annually to Congress.
n. Volume of Contaminated Media Addressed (VCMA)
The Volume of Contaminated Media Addressed (VCMA) is one of several measures to
support cleaning up communities and advancing sustainable development. The VCMA
measure counts commitments to clean up contaminated soil and groundwater media as
a result of concluded CERCLA and Resource Conservation and Recovery Act (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 Rl, 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 measure is a national measure. 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.
o. Total Active Response Enforcement Instruments in Substantial Noncompliance
(SNC) and Not Addressed through Formal Enforcement
The CERCLA compliance monitoring module in SEMS tracks instances of substantial
noncompliance (SNC) with active CERCLA enforcement instruments. The SNC tracking
system is described in the joint Office of Site Remediation Enforcement (OSRE) and the
Federal Facilities Enforcement Office (FFEO) memorandum Determining and Tracking
FY 25 SPIM
10-20
Final September 2024
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OLEM Directive 9200.3-158
Substantial Noncompliance with Superfund Enforcement Instruments in the Superfund
Enterprise Management System, June 2020. NOTE: This memorandum updates and
supersedes the August 2009 Guidance on Determining and Tracking Substantial
Noncompliance with CERCLA Enforcement Instruments in CERCLIS.
The SNC tracking system tracks compliance with active CERCLA enforcement instruments
that include work obligations. Work obligations are broadly defined 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 help EPA prioritize the most serious violations
of existing enforcement instruments and ensure a timely and appropriate enforcement
response to them. In addition, the compliance tracking system helps 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 consecutive quarters without being addressed
through formal enforcement action or returned to non-SNC status.
EXHIBIT 10.12. SUMMARY OF SEMS COMPLIANCE STATUS VALUES
Compliance Status
Formal Enforcement Taken?
Description
Compliance Status
Reviewed - Not In
SNC(SRNF)
Not applicable
The EPA Region has completed its review of the parties'
compliance with work obligations under the
enforcement instrument and has determined, based on
available information, that it is not in substantial
noncompliance (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 (MAP)
No
The enforcement instrument is in SNC as to work
obligations and the EPA 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 (MAT)
No
The enforcement instrument is in SNC as to work
obligations and the EPA 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 EPA 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.
FY 25 SPIM
10-21
Final September 2024
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OLEM Directive 9200.3-158
Compliance Status
Formal Enforcement Taken?
Description
In SNC - Informal
Action Taken and
Compliance
Accomplished (MAC)
Yes
The enforcement instrument was in SNC as to work
obligations and the EPA 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 EPA 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
The EPA Region should use in lieu of 'In SNC - Formal
Action Taken' when the 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 (DOJ). This also includes instances
where a case is sent to DOJ to file a bankruptcy proof of
claim when a party who was performing work has
entered bankruptcy. This level of specificity is required
to allow EPA Headquarters to track whether DOJ is
taking action in accordance with the Interagency
Agreement (IAG). The EPA Region should use this value
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 EPA Region decided not to pursue violations.
Primarily for use when no work remedy is available, and
the EPA Region decides not to pursue penalties. Do not
use this value when further work obligations remain (it
closes out SNC tracking of the instrument). In that
circumstance, revert to "Compliance Status Reviewed -
Not in SNC" and describe the decision not to pursue
violations in the comment field.
Work Under
Order/Settlement
Completed (WOSC)
Not applicable
All the work obligations under the enforcement
instrument have been completed to the satisfaction of
EPA.
Special Planning/Reporting Requirements:
For each 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.
FY 25 SPIM
10-22
Final September 2024
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OLEM Directive 9200.3-158
All compliance status comment fields will be considered enforcement sensitive and will
not be subject to release under the Freedom of Information Act (FOIA), as compliance
status determinations include information about planned enforcement actions.
Frequency of Reporting:
Regions should update the compliance status of all open enforcement instruments in
SEMS on a quarterly basis for all active instruments where work is not yet completed.
Once all actions addressed by an enforcement instrument are 'Construction Complete'
and the operable unit(s) at which those actions were completed is in either the
Operations and Maintenance phase or the Long-Term Remedial Action phase, the
frequency of compliance status reporting can be reduced to annually.
Once a region makes an initial 'Not in SNC' determination for an access-only enforcement
instrument, further compliance status determinations will not be required unless a
subsequent limitation or denial of access occurs, in which case quarterly determinations
will be required until the region once again determines that the instrument is 'Not in SNC'
status.
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. Cleanup Commitments Secured through Financial Assurance for Active Response
Enforcement Instruments
Financial assurance requirements ensure that responsible parties have the resources to
complete cleanup work obligations they assume under CERCLA enforcement instruments.
Financial assurance ensures the availability of adequate financial resources to conduct
site cleanups in the event liable parties default on or stop performing their cleanup
obligations. Enforcement instruments requiring CERCLA cleanup work should include
financial assurance provisions where appropriate. This measure tracks the total universe
of CERCLA enforcement instruments where parties have agreed to provide financial
assurance to secure site cleanup. It will also track instances where financial assurance
may not be required.
For all enforcement instruments at non-Federal Facility NPL, SAA, and non-NPL sites
where there is cleanup work this measure will track the:
• Total number and value of all open enforcement instruments with cleanup work
obligations.
• Total number and value of enforcement instruments with cleanup work
obligations where financial assurance is required / is not required.
FY 25 SPIM
10-23
Final September 2024
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• Total financial assurance amount currently required and provided for open
enforcement instruments with cleanup work obligations.
This measure is intended to help EPA identify and monitor active CERCLA response
enforcement instruments where financial assurance requirements are and are not being
met. OSRE will actively monitor financial assurance data on a quarterly basis and work
with regions to ensure a timely and appropriate enforcement response to address cases
where adequate financial assurance is not being provided.
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 the
availability of financial resources to help ensure 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 in the Enforcement Instrument Screens in SEMS Site
Management, Regions are required to select either 'yes' or 'no' to indicate whether
financial assurance is required.
In addition, the following information is required to be entered in SEMS Site Management
under the Financial Assurance section of the Edit Action Detail screen for Enforcement
Instrument when financial assurance is required:
• Original value/amount of Financial Assurance required
• Current value/amount of Financial Assurance required and date
Additionally, the following data is required to be entered in the Add Financial Assurance
Mechanism screen for each individual financial mechanism provided:
• Type of financial mechanism being provided (Letter of Credit, Trust Fund, etc.)
• Value/amount of coverage being provided
• Annual recertification date, if applicable
• Corporate Guarantor, if applicable
• Name of PRP providing the financial assurance
• Effective date of financial assurance mechanism
• Mechanism status and date (Active, Inactive, Cashed, etc.)
• Issuing institution, if applicable
SEMS will auto sum all the 'active' financial mechanisms and populate the 'Total Amount
of Active Instruments' data field in the Financial Assurance section of the Edit Action
Detail screen. Additionally, SEMS retains a history of the amount of financial assurance
required on this screen. Once the current value/amount of financial assurance required
is updated a history pop-up screen is displayed. Likewise, SEMS will send an automated
email notification to regional Informational Management Coordinators (IMCs) and/or
individuals designated to receive such notification by the region 30 days prior to the
annual recertification date that is entered in SEMS for an individual financial mechanism.
FY 25 SPIM
10-24
Final September 2024
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OLEM Directive 9200.3-158
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.
q. 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 cost at the site exceeds
$500,000 (excluding interest), then the AOC can only be signed by the Regional
Administrator or delegate after prior written approval from DOJ. If DOJ does not approve
of 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.
FY 25 SPIM
10-25
Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.13. DE MINIMIS SETTLEMENT REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent
EPA
Finish: The data the AOC is signed bv the Regional
Administrator or delegate.
Consent Decree
EPA
Finish: The date the CD signed bv the Regional
Administrator and the de minimis parties is transmitted to
DOJ or HQ. The date of the transmittal memorandum is
reported in SEMS as the CD start date.
The number of signatories to the settlement is system generated in SEMS from the
identification of the PRPs who have signed the settlement.
Special Planning/Reporting Requirements:
For each settlement the following information must be entered in 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 in Site Party Details:
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' when applicable. 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.
r. 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.
FY 25 SPIM
10-26
Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.14. SECTION 106,106/107,107 CASE RESOLUTION (INCLUDING CLAIM IN BANKRUPTCY)
REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
Consent
Decree/Bankruptcy
Settlement
EPA
Finish: The date the CD or Bankruptcy Settlement is signed
by the judge fully addressing the complaint with all parties
and is entered by the court. This is the finish date of the CD
or Bankruptcy Settlement as well as the litigation or
bankruptcy finish date in SEMS.
Litigation Outcome: Case
Withdrawn
EPA
Finish: The date the region receives a memo or letter from
DOJ withdrawing the case. This is the finish date of the
Litigation Outcome: Case Withdrawn and the litigation or
bankruptcy finish date in SEMS.
Litigation Outcome: Case
Dismissed
EPA
Finish: The date a decision document is submitted bv the
judge dismissing the case. This is the finish date of the
Litigation Outcome: Case Dismissed and the litigation or
bankruptcy finish date in SEMS.
Litigation Outcome:
Judgment
EPA
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
Litigation Outcome: Judgment as well as the litigation finish
date.
s. Past Costs Addressed via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy
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 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. It is vital to the
management of the cost recovery program that sites with upcoming SOL be addressed
prior to the expiration of the SOL.
EXHIBIT 10.15. PAST COSTS ADDRESSED REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date the Regional Administrator or delegate
signs the AOC or CA that recovers 100% of EPA expenditures
or settles a claim where the total response costs
compromised are less than $500,000.
Administrative/Voluntary
Cost Recovery
EPA
Finish: The date the regional office or DOJ receives oavment
from the PRPs in direct response to a demand letter for
voluntary cost recovery.
FY 25 SPIM
10-27
Final September 2024
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OLEM Directive 9200.3-158
Action
Performance Lead
Action Date Requirements
Litigation (Generic), or
section 107 Litigation, or
section 106/107 Litigation
EPA
Finish: Credit for addressing past costs is given on the date
of the Regional Administrator's memo transmitting the
referral to DOJ. This is also the litigation start date in SEMS.
Consent Decree
EPA
Finish: Credit for addressing past costs is given for CDs 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. This is
also the CD start date in SEMS. For CD settlements that are
for cost recovery only and result from a prior litigation
referral, a CD start date should not be entered.
Cost Recovery Decision
Document - No Sue
EPA
Finish: Signature date of the Cost Recovery Decision
Document - No Sue action. The past costs that will not be
recovered and the reason the costs were written off must
be reported in SEMS.
10-Point Settlement
EPA
Finish: The decision not to oursue cost recovery mav be
documented in an enforcement instrument 10-point
settlement analysis. This is also the finish date of the 10-
Point Settlement sub-action. The amount of past costs that
will not be recovered and the reason the costs were written
off must be reported in SEMS.
Claim in Bankruptcy
Proceedings
EPA
Finish: The date the claim in bankruotcv oroceedinss 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 in SEMS.
Special Planning/Reporting Requirements:
• For each judicial referral, settlement or Claim in Bankruptcy the 'Federal Costs
Sought - Past' must be entered in 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 for additional
work but will be reinstated upon re-referral
• AOC and CA 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.
• Credit for addressing past costs via a Claim in Bankruptcy Proceedings must be
taken 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
FY 25 SPIM
10-28
Final September 2024
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OLEM Directive 9200.3-158
Commitments and/or Total Cost Recovery Settlements as applicable in the fiscal
year in which the bankruptcy settlement is entered.
• Each fiscal year OSRE targets and track sites for cost recovery action that have
upcoming SOLs occurring within an 18-month window of the new fiscal year e.g.,
between October 1, 2022 thru March 31, 2024, with total unaddressed
Superfund past costs (i.e., total EPA expenditures incurred at sites less
settlements for past costs and/or write-offs of past costs) equal to or greater
than $500,000. All cases with SOLs that potentially expire within the 18-month
window are targeted for cost recovery action and are tracked/monitored based
on their SOL date throughout the fiscal year.
The ENFR-017 Cost Recovery Targeting Report is used to identify the potential cost
recovery SOL workload for a selected fiscal year or date range.
For RAs the potential SOL date is calculated by adding six years to the RA On Site
Construction Start or the RA Actual Start date in SEMS. For Removal Actions the date is
calculated by adding three years to the Removal Action Actual Finish date or 6 years from
a 104(c)(1)(C) Waiver Actual Finish date in SEMS. For all other response actions, the SOL
date is calculated by adding three years to the Actual Finish date in SEMS.
The dates found in the actual start and actual finish columns in SEMS are programmatic
measures only and cannot be relied upon for final cost recovery statute of limitation
purposes. The time allowed under the statute of limitations can vary depending upon the
nature of the specific site and case. The maximum time EPA must initiate legal
proceedings is determined by individual regional case management teams.
When the SOL has been tolled, a Tolling Agreement action 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
action should be established in SEMS with a start date the same as the finish date of the
prior Tolling Agreement action to maintain a history of the tolling agreement extensions.
t. Total Cost Recovery Settlements (Including Dollar Value)
Total Cost Recovery Settlements is the total universe of CERCLA Federal enforcement cost
recovery settlements where the parties agree to pay past costs to the Agency. This
measure requires reporting both the number of settlements as well as the value of the
past costs to be recovered pursuant to each of these settlements.
FY 25 SPIM
10-29
Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.16. TOTAL COST RECOVERY SETTLEMENT REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
Consent Decree
EPA
Finish: The date the CD is entered bv the court with a cost
recovery component, or CDs for cost recovery only.
CDs 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
EPA
Finish: The date the regional office receives payment from
the PRPs in direct response to a demand letter for voluntary
cost recovery.
Administrative Order on
Consent or Consent
Agreement
(Administrative) or
Settlement (Generic)
EPA
Finish: The date the AOC. CA or Settlement (Generic) is
signed by the Regional Administrator or delegate for cost
recovery.
Judicial/Civil Judgment
EPA
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.
Bankruptcy Settlement
EPA
Finish: The conclusion of a claim in bankruptcy proceedings
by final judicial settlement. Credit is given for a Bankruptcy
Settlement where cost recovery had been achieved on
the date the bankruptcy settlement is entered by the court.
The allowed claims amount for cost recovery should be
entered in 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, Settlements (Generic) and
AOCs where cost recovery has been achieved.
For each settlement the following information must be reported in SEMS:
• Parties that signed the settlement (Parties Associated with Action, Party Name).
• Applicable Response Actions Reimbursed by Parties.
• Other Relief Achieved, if any.
• Federal Costs Settled - Past (Dollar amount for past work covered by the
settlement).
The appropriate Settlement Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-
Site-Subsequent Site) should be entered in SEMS on the Edit Site Schedule table for a
single settlement covering multiple sites to apportion the dollars correctly across
individual sites without double counting the settlement or the settlement value.
FY 25 SPIM
10-30
Final September 2024
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OLEM Directive 9200.3-158
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-
action in SEMS.
Instruments that have been 'closed' after payment obligations have been completed
should be designated as such by using the 'Closed Order or Settlement' sub-action in
SEMS indicating that all payment obligations under the enforcement instrument are
complete.
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.
u. Lien on PRP Property
EPA has the authority to file notice of a lien on any real property where Superfund
expenditures have been made. CERCLA 107(1) liens automatically arise when EPA incurs
removal or remedial costs at a site and notifies the property owner(s) of their potential
liability. Filing of notice of a federal lien is beneficial to the government's efforts to recover
costs.
For purposes of monitoring when a federal lien has been filed by EPA this measure tracks
when EPA has taken action to file the lien and when EPA has made the decision to release
the lien or the date when the lien is no longer enforceable, whatever comes first.
EXHIBIT 10.17. LIEN REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Lien on PRP Property
EPA
Start: The date the appropriate EPA Official signs and files the lien.
Finish: The date the appropriate EPA Official signs the document
releasing the lien or the date the lien is no longer enforceable by
operation of the SOL, whichever comes first.
v. Total Value of PRP Oversight
EPA incurs oversight costs while overseeing cleanup work performed and paid for by
parties at Superfund sites. EPA bills parties for its oversight costs in accordance with the
'future cost' payment provision contained in settlement agreements where parties have
agreed to perform work at their sites. To ensure that site work is properly performed by
parties, and in accordance with the terms of the settlement agreement, EPA will oversee
the parties' work and will bill the parties for the cost of its oversight work each year.
When a party is scheduled to be issued an oversight bill, the region will compile its
oversight costs site-specifically using eRecovery. eRecovery is a report generator that
compiles costs site-specifically from Compass, the Agency's official accounting system,
FY 25 SPIM
10-31
Final September 2024
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OLEM Directive 9200.3-158
and includes images of supporting cost documentation in a comprehensive cost recovery
package. eRecovery 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 party.
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. At the end of each fiscal year,
OSRE reports the oversight amounts billed by the regions and subsequently recorded by
CFC as accounts receivable as part of OSRE's accomplishments for that fiscal year.
w. Number and Amount of CERCLA Penalties Assessed
This measure is expressed as the dollar amount of the final assessed penalty for violations
under the CERCLA statute. For civil judicial cases, this amount is the penalty assessed
against the defendant(s) as specified in the Consent Decree or Court Order entered by
the court or agreed to by the defendant(s). For administrative cases, it is the penalty
agreed to in the final AOC or CA or assessed directly by EPA under section 109(a) and (b)
ofCERCLA.
The number of CERCLA penalties assessed is the total number of civil, judicial, or
administrative enforcement instruments (CDs, AOCs, CAs, judgments, or court orders)
where a penalty was assessed under CERCLA. If the enforcement instrument consists of
multi-media actions, this measure will only include the amount assessed under the
CERCLA statute, to the extent that it can be specified.
EXHIBIT 10.18. CERCLA PENALTIES ASSESSED REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or Consent Agreement with a
penalty assessed and agreed to by the defendant(s) is
signed by the Regional Administrator or delegate.
Consent Decree or Court
Order/Judgment
EPA
Finish: The date the CD or Court Order is entered bv the
court with a penalty assessed or agreed to by the
defendant(s).
x. Number of Settlements Where EPA Settled Based on Ability-to-Pay Determinations
The measure will help assess the extent to which EPA is using ability-to-pay
determinations to achieve its goal of enforcement fairness. The measure will report the
number of administrative or judicial settlements that are reached under CERCLA with
PRPs qualified as limited ability-to-pay parties. This type of settlement results in 1) PRPs
paying less than their respective portion of the cost for site cleanup based on an ability-
to-pay determination; 2) Payment over time for parties with limited ability to raise annual
revenues; or 3) Parties providing in-kind service in lieu of cash payments.
FY 25 SPIM
10-32
Final September 2024
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OLEM Directive 9200.3-158
Total ability-to-pay settlements are counted as follows:
17 EXHIBIT 10.19. ABILITY-TO-PAY DETERMINATION REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or CA with the abilitv-to-pav PRPs
is signed by the Regional Administrator or delegate.
Consent Decree
EPA
Finish: The date the CD is signed bv the Regional
Administrator and the ability-to-pay parties and
transmitted to DOJ. The date of the transmittal
memorandum is reported in SEMS as the CD start date.
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category should be
selected in SEMS: 'Ability to Pay.'
y. Agreements with Prospective Purchasers (PPAs), Prospective Lessees (PLAs), Bona
Fide Prospective Purchasers (BFPPAs), Bona Fide Prospective Lessee Agreement
(BFPLA) and Contiguous Property Owners
CERCLA includes liability protections for prospective purchasers, lessees, and other third
parties who acquire contaminated property but are not responsible forthe contamination
and meet certain criteria. Although these statutory protections generally eliminate the
need for site-specific agreements with parties who qualify for the statutory protection,
the Agency recognizes that, in some instances, the public interest will be served by
entering into site-specific agreements with prospective purchasers, prospective lessees,
bona fide prospective purchasers, bona fide prospective lessees, and contiguous property
owners.
For the purpose of reporting, this measure counts:
• The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective purchasers.
• The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for prospective lessees.
• The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for bona fide prospective purchasers.
• The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for bona fide prospective lessees.
• The number of finalized settlement agreements (AOCs, CAs, CDs) that include
provisions for CPOAs.
FY 25 SPIM
10-33
Final September 2024
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OLEM Directive 9200.3-158
EXHIBIT 10.1820 PPA, PLA, BFPPA, BFPLA AND CPOA AGREEMENT REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or CA with a PPA, PLA,
BFPPA, or BFPLA 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
EPA
Finish: Date the CD with a PPA, PLA, BFPPA, or
BFPLA component is entered by the court. The date
the CD is entered is reported in SEMS as the CD
finish.
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or CA with a CPOA 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 should be
selected in SEMS: 'Prospective Purchaser Agreement' (PPA); 'Prospective Lessee
Agreement' (PLA), 'Bona Fide Prospective Purchaser Agreement'(BFPPA); 'Bona Fide
Prospective Lessee Agreement' (BFPLA); or 'Contiguous Property Owner Agreement'
(CPOA).
For additional SEMS reporting requirements see Total Response Commitments,
z. Issuance of Comfort/Status Letter
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 regarding 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 10.19. COMFORT/STATUS LETTER REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Comfort Status Letter
EPA
Finish: The date the letter is signed bv the appropriate
regional official.
FY 25 SPIM
10-34
Final September 2024
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OLEM Directive 9200.3-158
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 in SEMS.
One recommendation of the Superfund Taskforce was to create a repository of completed
enforcement documents for information sharing. Thus, a special collection has been
established in SEMS-Records Management (SEMS-RM) for comfort/status letters issued
(special collections #22963).
As in the past, new comfort/status letters issued should be entered in SEMS Site
Management. Regions are required to associate the applicable document to the
corresponding action in SEMS. This can be done by scrolling over to the Document column
and clicking on the 'Add/Edit Document.' Users will be taken to the Action Records section
of the Edit Action Details screen. Select 'Add Record', choose the applicable document
from the list of documents at the site and then add. Then select Finish Date. Refer to the
SEMS Records Transfer Interface (RTI) User Guide. Section 5. for direction in how to
submit electronic records via the SEMS-RM module.
Comfort/Status letters issued are public records, as such, access to these documents in
SEMS should be assigned as 'uncontrolled'. At the end of each fiscal year, OSRE will move
the comfort/status letters into the special collections established in SEMS-RM.
aa. Windfall Lien Resolution Agreements
Section 107(r) of CERCLA provides liability protection for bona fide prospective purchasers
to encourage the purchase and reuse of contaminated properties. Section 107(r) includes
a provision that authorizes EPA to enter into a windfall lien resolution agreement with a
purchaser if the purchaser is likely to receive a significant windfall.
This measure will quantify the number of windfall lien resolution agreements signed. For
reporting, this measure counts the number of finalized settlement agreements (AOCs and
CAs) that include the windfall lien resolution provisions.
EXHIBIT 10.20. WINDFALL LIEN RESOLUTION REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
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.
FY 25 SPIM
10-35
Final September 2024
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OLEM Directive 9200.3-158
Special Planning/Reporting Requirements:
For each settlement the appropriate Enforcement Instrument Category of 'Windfall Lien'
should be selected in SEMS. For additional SEMS reporting requirements see Total
Response Commitments.
bb. Oversight Administration
EPA recognizes the value of working together with parties with whom the Agency has
settlement agreements to promote appropriate oversight that ensures the development
and implementation of protective cleanups; considers the associated costs being charged
to parties; and maximizes EPA recovery of oversight cost. This measure reports EPA's
efforts to work with parties to maximize the effectiveness and efficiency of EPA oversight
and to send timely bills for oversight.
This measure applies to all parties 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 10.21. OVERSIGHT ADMINISTRATION REQUIREMENTS
Site must be Non-Federal Facility NPL. non-NPL or SAA site
Action
Performance Lead
Action Date Requirements
Offer to Discuss EPA
Oversight Expectations w/
PRPs
EPA
Finish: The date the offer is made to parties to discuss EPA's
oversight expectations for upcoming activities.
Issuance of Oversight Bill
EPA
Finish: The date an oversight bill consistent with the
enforcement instrument is issued to parties.
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
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 parties 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
parties to discuss oversight expectations. The regions will identify those actions for which
parties are required to pay oversight costs.
FY 25 SPIM
10-36
Final September 2024
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OLEM Directive 9200.3-158
cc. 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 settlements. EPA can 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 parties agree to make cash payments toward response
costs at a site (i.e. cashout and/or cost recovery settlements), the measure reports 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 10.22. SETTLEMENTS DESIGNATING FUNDS FOR DEPOSIT TO SPECIAL ACCOUNTS REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or CA is signed bv the Regional
Administrator or delegate that includes a payment
provision where funds will be placed in a Special Account.
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.
Special Planning/Reporting Requirements:
This measure counts any settlement, where there is a payment provision for funds to be
deposited in a Special Account
For each settlement the following information must be reported in SEMS:
• 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).
FY 25 SPIM
10-37
Final September 2024
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OLEM Directive 9200.3-158
• Deposit to EPA Special Account; and
• Special Account Deposit Yes/No Selected.
For additional SEMS reporting requirements see Total Response Commitments.
dd. Settlements Designating Funds for Disbursement from Special Accounts to Parties
This measure will quantify the numberof settlements in which EPA has agreed to disburse
Special Account funds to parties 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 parties agree to conduct response actions at the site
for which the Special Account was created, the measure reports the following:
• The number of response settlements that designate disbursement from Special
Accounts to parties who conduct the response action; and
• The amount of funds designated to be disbursed from Special Accounts to
parties in response action settlements.
EXHIBIT 10.23. SETTLEMENTS DESIGNATING FUNDS FOR DISBURSEMENT FROM SPECIAL ACCOUNTS TO
PRPS REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Administrative Order on
Consent or Consent
Agreement
(Administrative)
EPA
Finish: The date an AOC or CA is signed bv the Regional
Administrator or delegate that includes a disbursement
provision.
Consent Decree
EPA
Finish: Date the CD is entered bv the court, under section
106,107, or 106/107 that includes a disbursement
provision.
Special Planning/Reporting Requirements:
For each settlement the following information must be reported in SEMS:
• Response Actions Paid by Parties.
• WorkPRP Will Perform-Value.
• Paid from Special Account; and
• Special Account Disbursement Provisions Flag.
For additional SEMS reporting requirements see Total Response Commitments.
10.A.8 Agreements at SWRAU Sites
This measure captures enforcement 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
purchaser, lessees, and other third parties at those sites.
FY 25 SPIM
10-38
Final September 2024
-------
OLEM Directive 9200.3-158
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.
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 priorto the SWRAU date:
• Consent Decrees (CDs)
• Administrative Order on Consents (AOCs)
• Consent Agreements (CAs)
• Unilateral Administrative Orders (UAOs)
• Settlements (Generic)
• Orders (Generic)
Enforcement will also track enforcement documents produced at SWRAU sites which
address potential liability concerns of prospective purchasers and other third parties under
CERCLA:
• Comfort/Status letters that address liability concerns/issues - including reasonable
steps letters
• Prospective Purchaser Agreements (PPAs)
• Prospective Lessee Agreements (PLAs)
• Bona Fide Prospective Purchaser Agreements (BFPPAs)
• Bona Fide Prospective Lessee Agreements (BFPLAs)
• Contiguous Property Owner Agreements (CPOAs)
• Windfall lien resolution agreements
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, Generic Settlements and Orders] 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 cleanups will also be counted.
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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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Superfund Program Implementation Manual
FY 25
Chapter 11: Community Involvement
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Chapter 11: Community Involvement
Table of Contents
ll.A Introduction 1
ll.A.l Roles and Responsibilities 1
11.A.2 National Approach for Applying SEMS EJ Flag 2
a. EJ Indicator Flag 2
ll.B National Program Requirements 2
ll.B.l Program Goals and Objectives 2
ll.B.2 Regulatory and Policy Requirements 3
ll.B.3 Data Entry Timeliness 3
ll.C Community Involvement Activities 3
ll.C.l Overview of Community Involvement Activities 3
a. Community Involvement Plans (CIP) 3
b. Assessing and Addressing Environmental Justice and Tribal Concerns 3
c. Community Advisory Groups (CAGs) 6
d. Technical Assistance Grants (TAGs) 6
e. Technical Assistance Services for Communities (TASC) 7
List of Exhibits
Exhibit 11.1. HQ and Regional Roles and Responsibilities 1
Exhibit 11.2. Community Involvement Plan Requirements 5
Exhibit 11.3. Community Advisory Groups 6
Exhibit 11.4. Technical Assistance Grants Requirements 6
Exhibit 11.5. TASC 7
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CHAPTER 11: COMMUNITY INVOLVEMENT
ll.A INTRODUCTION
Community involvement is the process of engaging in dialogue and collaboration with
community members throughout the Superfund process. Community involvement activities
include Community Advisory Groups (CAGs), Technical Assistance Grants (TAGs), Technical
Assistance Services for Communities (TASC), Just In Time (JIT) 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.
ll.A.l 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 program area. The following table summarizes each of these positions along with
their responsibilities.
EXHIBIT 11.1. HQ AND REGIONAL ROLES AND RESPONSIBILITIES
Title
Responsibilities
Data Sponsors (HQ)
Facilitate SEMS staying closely aligned with the Superfund program, including
developing and updating guidance that requires submission of these data for
national reporting needs, maintaining and updating data element definitions, and
developing and implementing the process of gathering, reviewing and entering
the data into SEMS.
Managers of Data 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.
Data Sponsors (HQ) and Community
Involvement Managers (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.
Community Involvement
Coordinators (CICs), Remedial
Project Managers (RPMs) and On-
Scene Coordinators (OSCs)
Ensure all data necessary to meet the requirements(s) are in SEMS to support
regional reporting needs and commitments to HQ.
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Title
Responsibilities
Information Management
Coordinator (IMC)
Coordinate with the CICs/RPMs/OSCs to ensure data necessary to support
reporting requirements are in SEMS according to timeliness requirements.
Budget Coordinator
Ensure all data necessary to support the regional budget are in SEMS prior to
specified calendar events.
Records Manager/Records Center
Staff (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.
11.A.2 National Approach for Applying SEMS EJ Flag
The Office of Superfund Remediation and Technology Innovation (OSRTI) is updating the 2021
interim national protocol for setting environmental justice flags in the Superfund Enterprise
Management System (SEMS). As part of the update, OSRTI has collected boundaries for
proposed, final, deleted or Superfund Alternative Agreements (SAA) sites, which will provide
more accurate data. For other sites, a circle with a one-mile buffer1 around the
latitude/longitude point or address is used. Federal facility sites undergo the same analysis
with a three-mile radius where site boundaries are not available. These different site areas are
compared to census block group information found in the EJScreen application.
EPA considers sites to have potential EJ concerns where one or more of the 13 EJScreen
application's EJ Indexes for any census block group intersecting with a Superfund site area is at
or above the 80th percentile at the national average or state average level.
a. EJ Indicator Flag
The indicator flag in SEMS, "Potential EJ concern per state or national EJScreen" replaced
the previous flag "Environmental Justice Indicator."
ll.B NATIONAL PROGRAM REQUIREMENTS
ll.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.
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11.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. OLEM 9230.0-50. January 2016.
11.B.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 4.C.1 of this document for additional
information about data quality and timeliness standards.
ll.C COMMUNITY INVOLVEMENT ACTIVITIES
ll.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.
a. Community Involvement Plans (CIP)
The Community Involvement Plan (CIP), previously known as the Community Relations
Plan (CRP), 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 §300.435(c)(2)(ii)(A-C)] requires a CIP be in place
before remedial investigation field activities start. It also states that "prior to the initiation
of [remedial design], the lead agency shall review the CRP to determine whether it should
be revised." [40 CFR §300.435(c)(l))]
For removal actions lasting 120 days or more, the NCP [40 CFR §300.415(n)(3)(ii)] requires
the lead agency to prepare a formal CIP 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.
b. Assessing and Addressing Environmental Justice and Tribal Concerns
EPA defines environmental justice as "the fair treatment and meaningful involvement of
all people regardless of race, color, national origin, or income with respect to the
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development, implementation, and enforcement of environmental laws, regulations, and
policies." Fair treatment means that no group of people should bear a disproportionate
burden of environmental harms and risks, including those resulting from negative
environmental consequences of industrial, governmental, and commercial operation or
program and policies. Meaningful involvement means that: (1) potentially affected
community members have an appropriate opportunity to participate in decisions about a
proposed activity that will affect their environment and/or health; (2) the public's
contribution can influence the regulatory agency's decision; (3) the concerns of all
participants involved will be considered in the decision-making process; and (4) the
decision-makers seek out and facilitate the involvement of those potentially affected.
In the Agency's implementation of environmental justice, EPA has expanded the concept
of fair treatment to include not only the consideration of how burdens are distributed
across all populations, but also how benefits are distributed. To integrate EPA's definition
of environmental justice into practice, the Superfund program incorporates a few best
practices, such as:
• Identifying communities with potential environmental justice concerns: Many
communities affected by Superfund sites are lower income, higher minority or
indigenous, and more burdened by other environmental stressors when
compared to the general population. Site teams should consider assessing
whether environmental justice concerns are present at a site because this may
provide important information for cleanup and for community involvement
purposes. EPA's Guidance on Considering Environmental Justice during the
Development of Regulatory Actions, released in May 2015, outlines several
factors to help site team members assess whether a community might have
environmental justice concerns. The factors are: (1) proximity and exposure to
emission sources; (2) unique exposure pathways; (3) physical infrastructure; (4)
multiple stressors and cumulative impacts; (5) capacity to participate in decision-
making; and (6) higher risk in response to exposure among minority populations,
low-income populations, and/or indigenous peoples.
• Considering the collection of relevant data and using EPA's EJScreen tool to help
identify communities that may have potential environmental justice concerns
(see box on previous page). Relevant data that the site team should consider
may include demographic data (e.g., ethnicity/race, education, languages
spoken), relevant existing health information (e.g., asthma rates, nutritional
status), and information about additional environmental burdens (e.g., toxic
release facilities, air pollution data) in affected populations. The collection and
consideration of this information should be discussed in the site's CIP. Site
decisions should consider sensitive subpopulations as well as unique exposure
pathways from site contamination. For this reason, demographic information
and information about potential environmental factors affecting the community
should be shared among the site team in a timely manner, sometimes even
before the CIP is final. This should help ensure that these factors can be
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considered appropriately during the risk assessment or during the preparation of
other appropriate site analyses or decisions. For example, the risk assessment
and development of cleanup levels may take into consideration exposure
assumptions or other factors related to sensitive subpopulations. (For
information about the risk assessment process, see the Risk Assessment
Guidance for Superfund (RAGS) Part A, which provides guidance on the human
health evaluation activities that are conducted during the baseline risk
assessment.)
• Planning and implementing enhanced community involvement opportunities:
Relevant information about potential environmental justice concerns should be
considered when developing the CIP and when planning and conducting specific
community involvement activities. For sites that affect indigenous peoples,
special care should be taken to consult with tribal leaders and environmental
officials whenever the site team works with tribal members. Site teams should
consider tailoring community involvement approaches to reach out more
effectively to specific populations. Some examples include using translation or
interpretation services; partnering with local community groups or community
leaders; employing nontraditional media outlets for outreach; identifying
nongovernment locations to hold public meetings; scheduling community
involvement activities at times other than during subsistence fishing, hunting, or
agriculture seasons; and continuing to distribute paper copies of outreach
materials when members of the community lack access to electronic forms of
communication. Site teams also are encouraged to consult with their Regional
Environmental Justice Coordinators and EPA Tribal Program Managers, as
appropriate, and to work with state, local, or tribal governments to determine
whether they can offer assistance or insights into how to meet the special needs
of a community with environmental justice concerns.
EXHIBIT 11.2. COMMUNITY INVOLVEMENT PLAN REQUIREMENTS
Action
Performance
Lead
Action Date Requirements
Community Involvement Plan
EPA Performed
In-House
Finish: The date the Communitv Involvement Plan (CIP) is
published and released to the public.*
* CIPs should also be updated after the ROD is signed, or as needed, 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.
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c. Community Advisory Groups (CAGs)
A CAG is an organized group of local stakeholders representing the diversity of community
interests for a Superfund site. CAGs serve as a point for exchanging information among
the local community, EPA, the state regulatory agency, and other agencies involved in
Superfund cleanups. CAGs also provide a forum for community members to present and
discuss their needs and concerns related to the Superfund decision-making process. CAGs
may receive help from EPA, state, tribal and local governments, and universities in areas
such as meeting facilitation, technical assistance, and administrative support.
EXHIBIT 11.3. COMMUNITY ADVISORY GROUPS
Action
Performance Lead
Action Date Requirements
Community Advisory
Group
EPA Performed In-House
Start: Community Advisory Group has first meaningful
meeting of the established group.
Finish: As determined by the Community Advisory Group on a
case by case basis.
d. 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 11.4. TECHNICAL ASSISTANCE GRANTS REQUIREMENTS
Action
Performance Lead
Action Date Requirements
Technical Assistance
Grant
EPA Performed In-House
Start: Date of award as noted in EPA's official grants
database/system.
Finish: Date of closure as noted in EPA's official grants
database/system.
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 TAGs 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.
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e. Technical Assistance Services for Communities (TASC)
TASC was developed to provide communities that live near hazardous waste sites with
independent technical assistance to help them understand the technical issues related to
hazardous substance contamination and cleanup so that they can substantively
participate in the decision-making process. Just in Time and Super JTI are two related
services provided to communities.
Just in Time community services are offered through the EPA's Conflict Prevention and
Resolution Center contract. The 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) action data exist in SEMS for
historical purposes only. The TOSC program has been replaced by the TASC program.
EXHIBIT 11.5. TASC
Action
Performance
Lead
Action Date Requirements
Technical Assistance Services for
Communities (TASC)
EPA Performed
In-House
Start: COR issues technical direction to the contractor,
defining and initiating the project.
Finish: EPA approves the final deliverable under a proiect:
project is closed when contract ends; or COR discontinues
project through technical direction to the contractor
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Superfund Program Implementation Manual
FY 25
Chapter 12: Information Systems
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Chapter 12: Information Systems
Table of Contents
12.A Information Systems 1
12.A.1 Overview of SEMS 1
a. Remedial Site Assessment (See Chapter 6) 2
b. Removal Program (See Chapter 7) 2
c. Remedial Program (See Chapter 8) 2
d. Federal Facility Program (See Chapter 9) 3
e. Enforcement Program (See Chapter 10) 3
f Community Involvement (See Chapter 11) 4
g. Project Management 4
h. Program Management 5
12.A.2 SEMS System Components 5
12.A.3 Reporting Superfund Information 6
12.A.4 SEMS Information on the Internet 6
a. Superfund Site Profile Pages (SPP) 6
b. Key Documents Required for Site Profile Pages (SPP) 7
c. Superfund Records Collections (SEMS-PUB) 7
d. Superfund Remedial Performance Measures 8
e. Superfund Data and Reports 8
12.A.5 Data Owners/Sponsorship 9
List of Exhibits
Exhibit 12.1. Key Documents Required for Site Profile Pages 7
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CHAPTER 12: INFORMATION SYSTEMS
12.A INFORMATION 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 2020, due to significant changes in the Superfund program direction and
some outdated Superfund Enterprise Management System (SEMS) technologies, the Office of
Land and Emergency Management (OLEM) made a decision to modernize and re-engineer SEMS
by:
• Moving towards newer technology.
• Re-architecting the database to address programmatic gaps in requirements.
• Taking advantage of reducing storage costs by moving to a cloud environment.
• Enhancing user experience by re-designing the user interfaces based on human-
centered design.
• Improving data dissemination and visualization functionality.
SEMS legacy applications, databases, processes, business rules, security requirements,
external/internal user interfaces, and storage requirements will be re-evaluated to address
accessibility, usability, performance, right-size environment, and costs concerns.
12.A.1 Overview of SEMS
SEMS is EPA's official repository of nationally defined and required data for planning and
tracking Superfund activities across all areas of the pipeline (site assessment, remedial activities
and removal actions) at hazardous waste sites. This includes sites that are on the National
Priorities List (NPL) or are being considered for the NPL. SEMS represents a joint redesign of the
current application and ongoing collaboration between Superfund's Remedial, Removal, Federal
Facilities, Enforcement, and Emergency Response programs. It provides its wide audience base
with a means of ongoing analysis of Superfund Program actions and informational needs at the
site, regional and national management levels.
SEMS provides access to a variety of program data, including Superfund records. The
system is being re-designed to serve as a nexus linking OLEM data to systems in other program
offices, such as EPA s Office of Emergency Management, the Office of Enforcement and
Compliance Assurance, and the Office of Mission Support.
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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 referenced chapter of
this document.
a. Remedial Site Assessment (See Chapter 6)
To support the remedial site assessment and 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 actions.
• Store program records that support remedial site assessment and NPL listing
decisions.
• Generate standard reports and perform ad hoc queries.
• 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 7)
To support the removal process, SEMS provides the following capabilities:
• Manage schedule of removal actions.
• 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.
• Generate standard reports and perform ad hoc queries.
c. Remedial Program (See Chapter 8)
To support the remediation process, SEMS provides the following capabilities:
• Manage schedule of remedial actions.
• 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.
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• 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.
• Assist in the management of remedial budgets for various contract vehicles and
other EPA costs.
• Store program records that support remedial program decisions.
• Generate standard reports and perform ad hoc queries.
d. Federal Facility Program (See Chapter 9)
To support Federal Facilities, SEMS provides the following capabilities:
• Manage schedule of Federal Facility actions.
• 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.
• Generate standard reports and perform ad hoc queries.
e. Enforcement Program (See Chapter 10)
To support the enforcement process, SEMS provides the following capabilities:
• Manage schedule of enforcement actions.
• 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 at a site.
• Group parties for enforcement actions or correspondence mailings.
• Track party compliance with 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 the type of response actions sought and cost
recovery amount sought.
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• 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 deposited into a Special Account as part of the settlement, and
whether the settlement was with de minimis parties.
• Log case numbers and names.
• Track referrals, including the type of referral, statutes, response actions sought,
cost recovery amount sought, and outcome.
• Track pipeline actions 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.
• Generate standard reports and perform ad hoc queries.
f. Community Involvement (See Chapter 11)
To support the community involvement process, SEMS provides the following
capabilities:
• Manage schedule of community involvement actions.
• Identify the Community Involvement Coordinator (CIC) and other site contacts.
• Store program records that support community involvement decisions.
• Generate standard reports and perform ad hoc queries.
g. Project Management
To support the project management process, SEMS provides the following capabilities:
• Manage schedules for all site actions.
• Identify RPMs and other site contacts.
• View and edit action-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 actions.
• Add and view action-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.
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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 (El) and Land Reuse data at the site/action level,
and view summary information for Indicators identified in Chapter 8, titled
'Remedial Program/ at the national (at HQ only) and regional levels.
• View financial data transferred from Compass on a daily basis.
• Generate HQ program management reports.
12.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 through a variety of interfaces. Basic site
information (e.g., location, site action type), site schedules, planned site obligations and other
action-specific information is entered in the Site Management Module (SEMS-SM). Supporting
documentation is entered and indexed through the Records Management Module (SEMS-RM).
Users may run reports, customize dashboards and perform ad hoc queries through 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 the Comprehensive Environmental Response, Compensation,
and Liability Information System (CERCLIS). These data extracts include:
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• Active: This dataset contains active sites and related program management
information tracked through the Superfund Comprehensive Accomplishments
Plan (SCAP) process.
• Freedom of Information Act (FOIA): This dataset contains active sites and related
information that is releasable to the public.
• Archive: This dataset contains archived sites and related information.
Additional datasets can be created to meet additional program needs and special
initiatives as they are defined.
In addition, each day, financial data from Compass are transferred into SEMS.
12.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.
12.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 (SPP) 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, GMUC, 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). Hard links to site specific records can be added to the SPPs to highlight time
sensitive information or data for public information.
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b. Key Documents Required for Site Profile Pages (SPP)
Beginning in FY 2022, each SPP has a Key Documents collection with select action records
chosen by Superfund subject matter experts to provide visitors to the site profile pages
with quick access to key information about cleanup decisions and actions. The Key
Documents collection will appear at the top of the list of Reports and Documents
collections on the Site Documents & Data Page of the SPP.
The site team will identify the official version of the documents on the list below and,
after legal review and approval for publication, will assign them to the Key Documents
collection in SEMS-RM, with the assistance of records managers as needed.
EXHIBIT 12.1. KEY DOCUMENTS REQUIRED FOR SITE PROFILE PAGES
Key Documents Required for Site Profile Pages
Deletion/Partial Documents (as relevant: FCOR or partial deletion, and a partial deletion justification)
Engineering Evaluation/Cost Analysis (EE/CA) for Non Time-Critical Removal Actions
Explanation of Significant Differences (ESD)
Federal Register Notice
Five-Year Review Report
Index of documents included in the Administrative Record
Proposed Plan
Public Involvement documentation including: fact sheets, Community Involvement Plans (CIP), newspaper and other
public notices, documentation of public meetings, public comments and responses to significant comments
Record of Decision (ROD)
Record of Decision (ROD) Amendment
Remedial Investigation/Feasibility Study (RI/FS), workplan and final
Risk and Endangerment assessments
Site Listing Narrative
Settlement documents such as finalized Consent Decrees, Administrative Orders, Consent Agreements, Unilateral
Administrative Orders, Generic Settlements & Orders, Judgements, and Bankruptcy Settlements & Amendments
Technical studies of significance performed for the site
The SPPs can be accessed via the following websites:
• Cleanups in My Community.
• Search for Superfund Sites Where You Live.
• Redirects from individual regional pages or press releases
c. 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 Records or Special Collections. Users can
search using the following criteria:
• Region.
• Collection Type.
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• 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. Searchable tables will eventually replace hard-linking to
individual documents.
d. 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.
e. 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 FY 2025 SPIM are:
• Superfund Data and Reports Data Dictionary.
• FOIA 1 - List of Sites with Potential Smelting-Related Operations.
• FOIA 2 - Completed RODs, ROD Amendments, and ESDs.
• FOIA 3 - List of All Proposed NPL Sites.
• FOIA 4-List of All Final NPL Sites.
• FOIA 5 - List of all Deleted NPL Sites.
• FOIA 7 - Remedy and Contaminant Data (two reports).
• FOIA 8 - CERCLA to RCRA Site Associations.
• FOIA 11 - Noticed Parties at SEMS Sites.
• FOIA 12 - Lien on Property.
• FOIA 13 - Public Settlement Report.
• FOIA 14 - Superfund Alternative Approach Agreement Sites and Settlements.
• List 8R - Active and Archived Site Inventory with Action Details.
• LIST 10 - Top 20 Contaminants at Superfund Sites.
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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.
12.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/owners 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 ownership may
either be centralized through the Information Management Coordinator (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/owners may conduct audits to determine if there are systematic data problems (e.g.,
incorrect use of codes, data gaps, etc.).
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Superfund Program Implementation Manual
FY 25
Chapter 13: Superfund Records Management
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Chapter 13: Superfund Records Management
Table of Contents
13. A Records Management Compliance 1
13.A.1 Regulatory and Policy Requirements 1
13. B Managing Superfund Records 1
13.B.1 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)l
a. Electronic Records Management 2
b. Publishing Records to the Site Profile Pages (SPP) 2
c. Retention Management 2
13.B.2 Roles and Responsibilities 3
a. Identifying Records 3
b. The Regional Superfund Records Manager 3
13.C Capturing Superfund Records 5
13.C.1 How records get added to SEMS- RM 5
c. Records Submittal 5
13. D Purpose of Records for Superfund 5
13.D.1 Action Records in SEMS 5
a. Capture Into SEMS-RM 6
b. Associate to SEMS-SM Action 6
c. Add to National Collection 6
d. Key Documents Collection 6
13.D.2 Action Records Goals and Objectives 7
13. E Reporting and Disclosure 7
13.E.1 SEMS Records Reports 7
13.E.2 Disclosure 8
List of Exhibits
Exhibit 13.1 Regional Superfund Records Manager Responisbilities and stakeholders 4
Exhibit 13.2 Spotlight on the Administrative Record 4
EXHIBIT 13.3 Action Record GOALS AND OBJECTIVES 7
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CHAPTER 13: SUPERFUND RECORDS MANAGEMENT
13.A RECORDS MANAGEMENT COMPLIANCE
13.A.1 Regulatory and Policy Requirements
Records serve as the Agency's historical data; they are of critical importance in ensuring
that the organization continues to function effectively and efficiently, and in compliance with
federal regulations and policies. The Office of Superfund Remediation and Technology
Innovation (OSRTI) engages with the Regions in the development of national standards, best
practices, and technology innovation to meet federal requirements and Superfund Program goals
for efficient and responsive access to and dissemination of Superfund records and information.
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.
The Office of Management and Budget (OMB)/NARA directive M-19-21 directs all federal
agencies to transition business processes to an electronic environment, including managing all
permanent records in an electronic format by 2019. See also OMB directive M-23-07: Update to
Transition to Electronic Records.
13.B MANAGING SUPERFUND RECORDS
13.B.1 SEMS Records Management (SEMS-RM) and SEMS Site Management (SEMS-SM)
Since the inception of Superfund and its original information management system,
Comprehensive Environmental Response, Compensation, and Liability Information System
(CERCLIS), the Program has leveraged advanced technology to better support the efficient and
effective operation of the Superfund program through the integration of records management
(RM) and site management (SM) into what is now an enterprise management system, SEMS.
SEMS-RM is the central component in ensuring compliance with regulatory and policy
records management requirements. The RM module utilizes Superfund program-specific
metadata to store and retrieve documents at Headquarters (HQ) and across all 10 regions of EPA.
Records that are associated to site actions in the SEMS-SM module must first be added to the
SEMS-RM module.
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a. Electronic Records Management
Well ahead of OMB/NARA's recent directives to go paperless, Superfund has been
digitizing records since the 1990's.
The date span for SEMS records ranges from 1970 to the present, although there are some
scanned reference documents dated earlier than 1970. As of June 2024, SEMS has over
11M records.
For several years, digitized Superfund records have served as the de facto record in the
conduct of EPA business with a range of stakeholders including states, tribes, concerned
citizens, the legal community, and other federal agencies. From the beginning, the
Program has been committed to the accuracy, quality, and long-term preservation of
digitized records to ensure their ability to stand up to legal scrutiny and document cleanup
work that often continues over decades.
b. Publishing Records to the Site Profile Pages (SPP)
Many Superfund record types are required by law to be proactively made available for
public reference within specific timeframes. Traditionally that has meant providing paper
copies to designated, legally required repositories located near the site such as a public
library or town hall. However, for several years now, site profile pages on the EPA website
(epa.gov) have become the public's preferred method for accessing site records which
are published directly from SEMS. Local information repositories are still required by the
National Oil and Hazardous Substances Pollution Contingency Plan ((NCP) but, because of
EPA efforts, in 2013 the NCP was amended to allow electronic-only availability of
Administrative Records if it is determined that the site repository and the community do
not require the analog version. Since then, and especially during the COVID pandemic, it
has become apparent to both Superfund records managers and Community Involvement
Coordinators that communities are turning first to the digitized documents available on
the site profile pages for site information rather than the local repository.
c. Retention Management
All federal government records are required to have a retention schedule approved by
the National Archives and Records Administration (NARA). EPA uses the terms "records
schedules" or "schedules." A records schedule provides mandatory instructions on how
long to keep records (retention) and when they can be destroyed and/or transferred to
alternate storage facilities (disposition). Schedules identify which records are temporary
(eligible for destruction after a specific time period) and which are permanent
(transferred to NARA after a specific time period). As defined in 36 CFR 1220.18.
permanent records should be protected, secured, and preserved while they are still in
Agency custody.
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Superfund records relate to environmental issues within the United States and have
historical value for both commerce and quality of life uses. As such, a significant portion
of Superfund records have been designated by 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 site-specific records be scheduled as permanent
records and ultimately turned over to NARA (as a comparison, approximately only 3% of
all federal records are scheduled as permanent). Additionally, Superfund records that are
not permanent records of the United States require long-term temporary retention (e.g.,
75 years for sampling data) that is still far longer than many other records throughout the
federal government. 86% of the records in SEMS have permanent retention.
Superfund currently has 17 records schedules which will eventually be consolidated into
one schedule when approved by NARA. When records are submitted to SEMS, the
Retention Module will assign the appropriate records schedule according to the site
status and site type.
13.B.2 Roles and Responsibilities
Anyone who creates, receives, works with Superfund records is responsible for submitting and managing
their records in the Records Management module of the Superfund Enterprise Management System
(SEMS-RM).
a. Identifying Records
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?
• Does it document financial transactions?
• Does it have historical information or evidential value?
Note that many files in staff possession meet the conditions in this list but may not rise
to being official records and could be considered working files. For help in identifying and
managing Superfund records, contact the Superfund Records Manager for the relevant
Region or HQ. A list of Regional Superfund Records Managers (SFRM) is available in
Appendix A.
b. The Regional Superfund Records Manager
The Regional Superfund Records Manager (SFRM) is the Region's point of contact for
anything pertaining to its management and use of Superfund records and information
including web publishing, docket and field repository coordination, FOIA response,
system administration, records center operations, customer support and training, and
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strategic planning. The SFRM works with an array of stakeholders to ensure maximum
compliance with records management requirements and program goals.
EXHIBIT 13.1 REGIONAL SUPERFUND RECORDS MANAGER RESPONSIBILITIES AND STAKEHOLDERS
Core Responsibility
Stakeholders
Lead management of the Region's Superfund records.
Superfund staff; Community Involvement; OSRTI
Facilitate access to records, as appropriate.
SEMS System Administrator; site team; IMC
Publish collections to the web.
Site team
Provide training on records policies and procedures.
Regional Superfund community; RLO; OSRTI
Collaborate with OSRTI and Regional colleagues on policy
implementation and process improvement.
OSRTI 1MB and SMEs; SFRM monthly and annual
meetings
EXHIBIT 13.2 SPOTLIGHT ON THE ADMINISTRATIVE RECORD
Spotlight on the Administrative Record
Creation of the AR is a coordinated effort between the Superfund records team and the site team.
The Administrative Record (AR) contains the documents that form the basis for the selection of a response action. An AR is
required by the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), as amended by the
Superfund Amendments and Reauthorization Act (SARA). The AR must be prepared in accordance with federal statute
(CERCLA,42 USC 9613(k) (1)), regulations (NCP 40 CFR 300.800-825), and agency guidance, and must be produced as
scheduled and in a manner that is consistently organized and accessible.
The EPA Administrative Record Coordinator (AR Coordinator) monitors data in the Superfund Enterprise
Management System (SEMS) Site Management module (SEMS-SM) to be aware of upcoming decision documents
or settlement documents that may require creation of an AR.
The Remedial Project Manager (RPM) or On-Scene Coordinator (OSC) designates the documents to be included in
the AR and ensures they are provided to the Superfund records center or SEMS on an on-going basis. The records
team indexes and scans or processes each document into SEMS.
The EPA Case Team or RPM/OSC reviews and approves the index.
A Superfund records manager places the AR collection on the web using SEMS-Pub
(https://semspub.epa.aov/src/search) as the default method of distribution. CD/DVDs or paper ARs should be
sent to the site's information repository only on request of the EPA Case Team/RPM or field repository.
The AR Coordinator creates a repository letter for the AR telling the repository that the AR is now on the web and
provides the Universal Resource Locator (URL) to access the collection.
Federal Facility NPL Site AR
For Federal Facility NPL sites, while EPA is the lead regulatory agency that ensures CERCLA requirements are met, the lead
federal agency (owner/operator of the facility) is responsible for site remediation, community involvement and creating and
maintaining the Administrative Record for the site. A complete copy of the Administrative Record can be obtained by
contacting the lead agency and/or the site's public Information Repository. The EPA Remedial Project Manager and/or
Community Involvement Coordinator may also be able to help direct the public to the Administrative Record. Some site
documents may be included in the Reports and Documents section of the Site Profile Page for the site.
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13.C CAPTURING SUPERFUND RECORDS
13.C.1 How Records Get Added to SEMS- RM
Records can exist in both paper and in electronic formats. The Superfund Program
digitizes paper records into SEMS and automatically converts them to PDF. Other formats such
as Excel and Zip files are retained in their native format. Professional records management staff
perform functions on submitted records that enable the preservation of and access to records
determined to be releasable to the public. These functions are referred to as "processing" or
"preparing" records and include quality assurance for scan quality; ensuring every page within a
PDF record is full-text searchable (OCR: Optical Character Recognition) including oversized
images; and making the records 508 compliant by tagging (via document properties) for web
Accessibility.
c. Records Submittal
Superfund records management staff coordinate the receipt of paper record submissions
both in person in the Records Center and via the Records Transfer Interface (RTI) which
enables submitters to initiate the submittal, including special instructions and required
records metadata, from within SEMS-RM itself. Similarly, electronic records of any format
can be submitted via email, OneDrive, SharePoint, or RTI.
The Office of Superfund Remediation and Technology Innovation (OSRTI) has developed
an Outlook-to-SEMS "connector" functionality for direct transfer of email records into
SEMS-RM. Users can organize their Superfund emails from their Inbox, Outbox and Online
Archive (which contains emails carried over from Lotus Notes) into Outlook folders,
labeling the folders with required SEMS metadata. The Connector will automatically copy
email records from these transfer folders to SEMS-RM, using the metadata to catalog the
records. A visual indicator appears on the email indicating when the email has been
transferred.
13.D 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 overall program guidance as well
as all distinct phases of the Superfund program from site discovery, community involvement,
cleanup actions proposed or selected, enforcement actions, and site reuse. All Superfund
program records must be captured in SEMS-RM.
13.D.1 Action Records in SEMS
A subset of Superfund program records, Action Records support a SEMS-Site
Management (SEMS-SM) action because it is the evidence that the action was completed or
because the document has high value and is best associated to a specific action for tracking
purposes. Action Records which are not defined as Key Documents may be published on the Site
Profile Pages at the Region's discretion.
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Action Records were formerly referred to as "program-required." When records were
mainly in paper, it was useful to single out a subset of records as "required" to ensure their
capture in SEMS. Now that we are squarely in the Electronic Records Management (ERM) era,
we simply say that all Superfund records must be captured in SEMS. The "program-required"
spreadsheet has been removed from the FY25 SPIM as it undergoes revision to reflect updated
definitions and business processes. The spreadsheet will be inserted back into the SPIM when
the revision is completed.
In the SEMS-SM module, Action Records document the progress of sites and the program
in general as follows:
a. Capture Into SEMS-RM
Action Records must be captured by the Region into SEMS-RM.
b. Associate to SEMS-SM Action
Upon verification that the document supports the SEMS-SM action data, the document's
SEMS-RM Document Identification number is associated to the action by the office that
submits the record. A document may support a SEMS-SM action because it is the evidence
that the action was completed or because the document has high value and is best
associated to a specific action for tracking purposes (e.g., Superfund State Contracts,
Financial Assurance Instruments, Institutional Control Instruments, etc.).
c. Add to National Collection
Select Action Records are to be added to HQ Collections in SEMS-RM. Some of the
collections are published to make the documents available to the public. The Regional
SEMS Data Entry Control Plan (Chapter 4 - SEMS Data Management and Coding) should
specify which method the Region follows to support this objective:
1. Adding regional documents directly to the national collection by including select
regional staff to each collection group, or
2. Notifying the HQ Subject Matter Expert (SME) when new documents are
available to be added to the national collection. The HQ Collection Owner/SME
may be notified by one of the following:
Periodically running and reviewing the PGMT-006 or other query in the SEMS
Reporting Tools to locate the SEMS-RM Regional Doc ID that was associated
tothe action, or
Receiving notification from the Regional Superfund Site Records Manager, via
email, that the document was added to SEMS-RM and provide the SEMS-RM
Regional Doc ID.
d. Key Documents Collection
To help the public quickly locate the key documents for a site, a subset of Superfund
records has been designated Key Documents, as described in Chapter 12 - Information
Systems. For sites with Site Profile Pages, the site team identifies the official version of
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the site's Key Documents and, after legal review and approval for publication, assigns
them to the Key Documents collection in SEMS-RM, with the assistance of records
managers as needed. The Key Documents collection appears at the top of the list of
Reports and Documents collections on the Site Documents & Data section of the Site
Profile Page.
13.D.2 Action Records Goals and Objectives
Supplementing its regulatory responsibilities pertaining to records management, the
Superfund program has the following additional program-level goals and objectives for
documenting cleanup actions.
EXHIBIT 13.3 ACTION RECORD GOALS AND OBJECTIVES
Objective
Number
Objective
Goal
1
Ensure all Action Records are captured
into the program's official record keeping
system (SEMS-RM).
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 Action Records are associated
to the appropriate action within the Site
Schedule.
Within ten (10) working days of the accomplishment date.
3
Ensure select Action Records are added
to specified published regional site-
specific and HQ collections. Some of
these collections proactively make the
document available to the public via
EPA's website (for example, the Key
Documents collection on Site Profile
Pages).
Within twenty (20) working days of the accomplishment
date.
4
For sites with Site Profile Pages, the site
team shall identify the official version of
the documents on the Key Documents
list and add them to the Key Documents
collection in SEMS-RM, with the
assistance of records managers as
needed.
Publish all key documents for a particular site to the Key
Documents collection on the site's profile page even if the
document already appears in another collection on the
page (e.g., ROD, Five Year Review, AR).
13.E REPORTING AND DISCLOSURE
13.E.1 SEMS Records Reports
A variety of reports are available via the SEMS-ReportingTool to assist HQ and the Regions
in verifying, tracking, and monitoring their performance of meeting the records goals and
objectives of the Superfund program. Examples are:
• 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 key ("SPP
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required") documents. The Collections tab identifies SEMS collections to which
associated documents have been assigned.
• PGMT-033: Actions with SEMS Doc Info shows all sites with planned, ongoing,
overdue and/or completed actions, selectable by action type.
• RM-002: Collection Count Records Report displays various record information for
Administrative Record Collections and Special Collections in HQ and all 10 Regions.
The regional SEMS Data Entry Control Plan (Chapter 4 - SEMS Data Management and
Coding) should be used to reflect the reports being used.
13.E.2 Disclosure
SEMS-RM is a key EPA information asset used to meet the Superfund program's
responsibilities for recordkeeping and transparency particularly in response to litigation, FOIA
requests, and audits. It enables the proactive disclosure of SEMS recordsvia web publishing (e.g.,
the Administrative Record) and proactive release of records and record-types that have a high
expectation of being requested by the public, and provides multiple distribution methods such
as the web, FTP, CD/DVD-ROM, and email. On the EPA website, the public can search for records
related to cleanups in their community and other Superfund data such as information on
common contaminants found at Superfund sites. Additional Superfund information is available
to the public on EPA's Superfund Data and Reports and Superfund Sites Where You Live websites.
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Superfund Program Implementation Manual
FY 25
Appendix A: Regional and Headquarters Contacts
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Appendix A: Regional and Headquarters Contacts
Table of Contents
A.A Headquarters (HQ) Subject Matter Experts/Data sponsors A-l
A.B OSRTI Regional Coordinators (Pre-Remedial) A-2
A.C OSRTI Regional Coordinators (Remedy Selection) A-3
A.D OSRTI Regional Coordinators (Construction & Post Construction) A-3
A.E FFRRO Regional Coordinators A-4
A.F OSRE Regional Analysts/Coordinators A-4
A.G Regional Information Management Coordinators A-5
A.H Regional Budget Coordinators A-5
A.I HQ Superfund Cost Recovery Contacts A-6
A.J Regional Cost Recovery Contacts A-6
A.K Regional Superfund Records Managers A-7
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APPENDIX A: REGIONAL AND HEADQUARTERS CONTACTS
A.A HEADQUARTERS (HQ) SUBJECT MATTER EXPERTS/DATA SPONSORS
Subject Area
Name of Contact
Email
Budget Formulation System (BFS)
& Remedial Superfund
Performance Measures
Daniel Ginsburg (OSRTI)
Claire Polacheck (OSRTI)
Mary Bell (OSRE)
Jem Zillmer (OEM)
John Burchette (FFRRO)
ginsburg.daniel(® epa.gov
polacheck.claire(® eoa.gov
bell. marv(®epa. gov
zillmer. iemalvn(® epa.gov
burchette. iohn(® epa.gov
Community Involvement
Helen DuTeau
Freya Margand
duteau.helen(® epa.gov
margand.freva(® epa.gov
Construction Completions
Chip Love
love.chip(®epa.gov
Cost Recovery Statute of
Limitations (SOL)
Mary Bell
bell.marv(®epa.gov
Data Quality (Program)
Sheldon Selwyn (OSRTI)
Mary Bell (OSRE)
selwvn.sheldon(® epa.gov
bell.marv(®epa.gov
Enforcement Measures & Reports
Mary Bell
bell.marv(®epa.gov
Environmental Indicators
Laura Ngo (OSRTI)
Bill Dalebout (OSRTI)
Caroline Baier-Anderson (FFRRO)
ngo.laura(®epa.gov
dalebout. william(® epa.gov
baier-anderson.caroline(® epa.gov
Environmental Justice
Helen DuTeau
duteau.helen(® epa.gov
Federal Facilities Measures
John Burchette
burchette. iohn(® epa.gov
Federal Facilities Response
John Burchette
burchette. iohn(® epa.gov
Federal Facilities Response
Budget Planning
Marie Bell-Anderson
bell-anderson.marie(® epa.gov
Five-Year Reviews
Jennifer Edwards
edwards.iennifer(® epa.gov
FOIA
David Reynolds (OSRTI)
Mary Bell (OSRE)
revnolds.david(® epa.gov
bell.marv(®epa.gov
Groundwater
David Bartenfelder
bartenfelder.david(® epa.gov
Institutional Controls
Matt Sander (OSRE)
Alisha Chugh (OSRTI)
Rommel Ramos (OSRTI)
sander. matthew(® epa.gov
chugh.alisha(® epa.gov
ramos.rommel(® epa.gov
Mining Sites
Shahid Mahmud
mahmud.shahid(® epa.gov
Munitions
Doug Maddox
maddox.doug(® epa.gov
NPL Deletions/Partial Deletions
Chuck Sands
sands.chariest® epa.gov
FY 25 SPIM
A-l
Final September 2024
-------
OLEM Directive 9200.3-158
Subject Area
Name of Contact
Email
NPL Listing (Excluding Deletions)
Matthew Jefferson
Vanessa Van Note
iefferson.matthew(® eoa.gov
vannote. vanessa (Seoa.gov
OEM - Removal Implementation
Jemalyn Zillmer
zilmer.iemalvn(® eoa.gov
OEM - Removal Planning &
Reporting
Jemalyn Zillmer
zilmer.iemalvn(® eoa.gov
OSRTI Budget, Planning &
Evaluation
Daniel Crystal
crvstal.danieKSeoa.gov
Annual Budget Process
(SEMS Action Codes)
Daniel Crystal (OSRTI)
crvstal.danieKSeoa.gov
Regional Remedial and
Enforcement Work Planning
Bill Dalebout (OSRTI)
Alyson Campbell (OSRE)
dalebout. william(® eoa.gov
camobell.alvson(® eoa.gov
OLEM Budget
Meridith Sebring
sebring. meridith(® eoa.gov
Pipeline Allocation Model
Bill Dalebout
dalebout. william(® eoa.gov
Post-Construction
Amanda Van Epps
vaneoos.amanda(® eoa.gov
Radiation Contaminated Sites
Stuart Walker
walker.stuart (Seoa.gov
Remedial Design/Remedial Action
Richard Jeng
ieng.richard@eoa.gov
Remedial Financial Data
Laura Ngo
Bill Dalebout
ngo.laura(®eoa.gov
dalebout. william(® eoa.gov
Remedy Selection
Matthew Jefferson
iefferson.matthew(® eoa.gov
SCAP Report Coordinator
Dave Reynolds
revnolds.david(® eoa.gov
Site Assessment
Vanessa Van Note
Randy Hippen
vannote. vanessa (Seoa.gov
hiooen.randv(® eoa.gov
Special Accounts
Tracey Stewart
Stewart.tracev(® eoa.gov
SPIM Lead
Daniel Ginsburg
ginsburg.danieKSeoa.gov
Superfund Alternative Approach
Nancy Browne
browne.nancv(® eoa.gov
Superfund Redevelopment
Chelsea Sebetich
sebetich. chelsea(® eoa.gov
A.B OSRTI REGIONAL COORDINATORS (PRE REMEDIAL)*
Subject Area
Name of Contact
Email
Region 1 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
Region 2 Coordinator
Vanessa Van Note
vannote. vanessa (Seoa.gov
Region 3 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
Region 4 Coordinator
Vanessa Van Note
vannote. vanessa (Seoa.gov
FY 25 SPIM
A-2
Final September 2024
-------
OLEM Directive 9200.3-158
Subject Area
Name of Contact
Email
Region 5 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
Region 6 Coordinator
Vanessa Van Note
vannote. vanessa (Seoa.gov
Region 7 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
Region 8 Coordinator
Vanessa Van Note
vannote. vanessa (Seoa.gov
Region 9 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
Region 10 Coordinator
Matthew Jefferson
iefferson.matthew(® eoa.gov
AC OSRTI REGIONAL COORDINATORS (REMEDYSELECTION)*
Subject Area
Name of Contact
Email
Region 1 Coordinator
Rashmi Mathur
mathur.rashmi(® eoa.gov
Region 2 Coordinator
Ji-Sun (Sun) Yi
vi.ii-sun(®eoa.gov
Region 3 Coordinator
Yolanda Singer
singer. volanda(® eoa.gov
Region 4 Coordinator
Rashmi Mathur
mathur.rashmi(® eoa.gov
Region 5 Coordinator
Ji-Sun (Sun) Yi
vi.ii-sun(®eoa.gov
Region 6 Coordinator
Jesse Aviles
aviles. iesse(® eoa.gov
Region 7 Coordinator
Jesse Aviles
aviles. iesse(® eoa.gov
Region 8 Coordinator
Rommel Ramos
ramos.rommeKSeoa.gov
Region 9 Coordinator
Heather Newton
newton.heather(® eoa.gov
Region 10 Coordinator
Rafael Hernandez
hernandez.rafaeKSeoa.gov
A.D OSRTI REGIONAL COORDINATORS (CONSTRUCTION & POST CONSTRUCTION)*
Subject Area
Name of Contact
Email
Region 1 Coordinator
Chuck Sands
sands.charles(® eoa.gov
Region 2 Coordinator
Richard Jeng
ieng.richard (Seoa.gov
Region 3 Coordinator
Matt Spencer
soencer.matthew(® eoa.gov
Region 4 Coordinator
Chip Love
love.chio(®eoa.gov
Region 5 Coordinator
Alisha Chugh
Matt Spencer
chugh.alisha(® eoa.gov
soencer.matthew(® eoa.gov
Region 6 Coordinator
Ashley Miller
miller. ashlev(® eoa.gov
Region 7 Coordinator
Josh Williard
williard.ioshua(® eoa.gov
Region 8 Coordinator
Jena Sleboda
sleboda. iena(® eoa.gov
FY 25 SPIM
A-3
Final September 2024
-------
OLEM Directive 9200.3-158
Subject Area
Name of Contact
Email
Region 9 Coordinator
Amanda Van Epps
vaneoos.amanda(® eoa.gov
Region 10 Coordinator
Jennifer Edwards
edwards.iennifer(® eoa.gov
FFRRO REGIONAL COORDINATORS*
Subject Area
Name of Contact
Email
Region 1 Coordinator
Jon Tso
tso. ionathan(® eoa.gov
Region 2 Coordinator
John Burchette
burchette. iohn(® eoa.gov
Region 3 Coordinator
Mary T. Cooke
cooke. marvt (Seoa.gov
Region 4 Coordinator
Emerald Laija
laiia.emerald(® eoa.gov
Region 5 Coordinator
Emily Royal
roval.emilv(® eoa.gov
Region 6 Coordinator
Cal Baier-Anderson
baier-anderson.caroline(® eoa.gov
Region 7 Coordinator
Jyl Lapachin
laoachin.ivK® eoa.gov
Region 8 Coordinator
Jill Branby
branbv.iill(®eoa.gov
Region 9 Coordinator
Jon Tso
tso. ionathan(® eoa.gov
Region 10 Coordinator
Monica McEaddy
mceaddv.monica (Seoa.gov
A.F OSRE REGIONAL ANALYSTS/COORDINATORS*
Subject Area
Name of Contact
Email
Region 1 Analyst
Diana Marcum
Mary Bell
marcum.diana(® eoa.gov
bell.marv(®eoa.gov
Region 2 Analyst
Zaheeda Abedin
Mary Bell
abedin.zaheeda(® eoa.gov
bell.marv(®eoa.gov
Region 3 Analyst
Zaheeda Abedin
Mary Bell
abedin.zaheeda(® eoa.gov
bell.marv(®eoa.gov
Region 4 Analyst
Diana Marcum
Mary Bell
marcum.diana(® eoa.gov
bell.marv(®eoa.gov
Region 5 Analyst
Zaheeda Abedin
Mary Bell
abedin.zaheeda(® eoa.gov
bell.marv(®eoa.gov
Region 6 Analyst
Diana Marcum
Mary Bell
marcum.diana(® eoa.gov
bell.marv(®eoa.gov
Region 7 Analyst
Diana Marcum
Mary Bell
marcum.diana(® eoa.gov
bell.marv(®eoa.gov
FY 25 SPIM
A-4
Final September 2024
-------
OLEM Directive 9200.3-158
Subject Area
Name of Contact
Email
Region 8 Analyst
Diana Marcum
Mary Bell
marcum.diana(® eoa.gov
bell. marv(®epa. gov
Region 9 Analyst
Zaheeda Abedin
Mary Bell
abedin.zaheeda(® eoa.gov
bell. marv(®epa. gov
Region 10 Analyst
Zaheeda Abedin
Mary Bell
abedin.zaheeda(® eoa.gov
bell.marv(®eoa.gov
A.G REGIONAL INFORMATION MANAGEMENT COORDINATORS
Subject Area
Name of Contact
Email
Region 1
Nati Figueroa
figueora.nati(® eoa.gov
Region 2
Kristin Giacalone
giacalone. kristin(® eoa.gov
Region 3
Susie Chun
chun.susie(® eoa.gov
Region 4
Gina Monroy
monrov.geraldine(® eoa.gov
Region 5
LaVetta Walters
Vince Saunders
waiters, lavetta (Seoa.gov
saunders.vince(® eoa.gov
Region 6
Alice Hollier
hollier. alice(® eoa.gov
Region 7
Michelle Quick
auick.michelle(® eoa.gov
Region 8
Dianna Lim
lim.dianna(®eoa.gov
Region 9
Kevin Castro
castro. kevin(® eoa.gov
Region 10
Doug Zamastil
zamastil.doug(® eoa.gov
A.H REGIONAL BUDGET COORDINATORS
Location/Region
Name of Contact
Email
Region 1
Joan Buonopane
buonooane.ioan(® eoa.gov
Region 2
Courtney McEnery
mcenerv.courtnev(® eoa.gov
Region 3
Kevin Eller
eller.kevin(® eoa.gov
Region 4
Gina Monroy
monrov.geraldine(® eoa.gov
Region 5
Saray Cubacub
cubacub.sarav(® eoa.gov
Region 6
Tyrone Hoskins
hoskins. tvrone(® eoa.gov
Region 7
Debbie Bishop
bishoo.debbie(® eoa.gov
Region 8
Mandi Rodriguez
rodriguez.mandi(® eoa.gov
Region 9
Anabel Yo-Eco
vo-eco.anabeKSeoa.gov
FY 25 SPIM
A-5
Final September 2024
-------
OLEM Directive 9200.3-158
Location/Region
Name of Contact
Email
Region 10
Edward Johnson
iohnson.edward eoa.gov
A.I HQ SUPERFUND COST RECOVERY CONTACTS
Area of Specialization
Name of Contact
Email
Annual Allocation
Alan Eng
Carol Lee
eng.alan(®eoa.gov
lee.caroKSeoa.gov
Cost Documentation and
Reporting
Elizabeth McGuffrey
mcguffev.elizabeth(® eoa.gov
Chief, General Ledger Analysis &
Reporting Branch
Director, Policy, Training, and
Accountability Division
Simran Jassal
Brian Webb
iassal. sim ran ieet(® eoa.gov
webb.brian(® eoa.gov
Regional Coordination &
SCORPIOS
Donnie Giamporcaro
giamoorcaro.donald(® eoa.gov
Superfund Indirect Costs
Alan Eng
Carol Lee
eng.alan(®eoa.gov
lee.caroKSeoa.gov
Superfund Interest Rate; Trust
Fund Oversight
Carol Lee
lee.caroKSeoa.gov
^2
Location/Region
Name of Contact
Email
Region 1
Joan Buonopane
buonooane.ioan(® eoa.gov
Region 2
Carlos Kercado
Alexida Perez
Don Pace
kercado. carlos(® eoa.gov
oerez.alexida(® eoa.gov
oace.donald(® eoa.gov
Region 3
Daria Arnold
Steven Pandza
Diane McCall
arnold.daria(® eoa.gov
oandza.steven(® eoa.gov
mccall.diane(® eoa.gov
Region 4
Sarah Franco
Kristy Eubanks
franco. sarah(® eoa.gov
eubanks.krsitv(® eoa.gov
Region 5
Richard Hackley
Michael Bednarz
hacklev.richard(® eoa.gov
bednarz.michael(® eoa.gov
Region 6
Carolyn Ragon
ragon.carolvn (Seoa.gov
Region 7
John Phillips
ohillios.iohn(® eoa.gov
Region 8
Karren Johnson
Joe Poetter
iohnson.karren(® eoa.gov
ooetter.ioe(®eoa.gov
FY 25 SPIM
A-6
Final September 2024
-------
OLEM Directive 9200.3-158
Location/Region
Name of Contact
Email
Region 9
Marie Ortesi
Magdalen Mak
ortesi. marie(® eoa.gov
mak.magdalen(® eoa.gov
Region 10
Scott Ryan
Jeanette Carriveau
rvan.scott (Seoa.gov
carriveau. ieanette(® eoa.gov
A.K REGIONAL SUPERFUND RECORDS MANAGERS
Location/Region
Name of Contact
Email
Region 1
Holly Inglis
Ross Gilleland
inglis.hollv(®eoa.gov
gilleland.ross(® eoa.gov
Region 2
Melinda Morgan
morgan.melinda(® eoa.gov
Region 3
Claudette Reed
reed. claudette(® eoa.gov
Region 4
Tina Terrell
terrell.tina(® eoa.gov
Region 5
Todd Quesada
auesada.todd(® eoa.gov
Region 6
Derek Ragon
ragon.derek(® eoa.gov
Region 7
Melissa Yocum
vocum.melissa (Seoa.gov
Region 8
Shirley Dunomes
dunomes.shirlev(® eoa.gov
Region 9
Elaine Chan
chan.elaine(® eoa.gov
Region 10
Jennifer MacDonald
macdonald.iennifer(® eoa.gov
*NOTE: Up-to-date lists of Regional Coordinators can be found on the OSRTI SharePoint site.
FY 25 SPIM
A-7
Final September 2024
------- |