J () /, tC.· - Superfund Records Collections | US ... · Resources Management Division tC.· ~ ... Directive 9200.3-14-1 G-W, Superfund Program Implementation Manual (SPIM), Fiscal

MEMORANDUM

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, D.C. 20460

MAR 2 0 1012

SUBJECT: Final FY 2012 Superfund Program Implementation Manual (SPIM)

OFFICE OF SOLID WASTE AND

EMERGENCY RESPONSE

FROM: Robin H. Richardson, Director ~- J () _ /, Resources Management Division tC.· ~ Office of Superfund Remediation & Technology Innovation

TO: Addressees

PURPOSE

This memorandum announces the release of Office of Solid Waste and Emergency Response (OSWER) Directive 9200.3-14-1 G-W, Superfund Program Implementation Manual (SPIM), Fiscal Year (FY) 2012.

DOCUMENT

Headquarters and Regional staff worked collaboratively throughout the last year to completely revise the FY12 SPIM based on feedback received from the FYII effort. This final document represents a tremendous amount of time and effort of many people across the program. Thank you to all who participated in the review and update of the SPIM. The new look does impact the flow and format of the information.

The overall approach was to streamline the document and make it more readable. Each Chapter and Appendix was reviewed and edited by the relevant Subject Matter Experts (SME) and Data Sponsors and then circulated for two regional reviews. Final edits and responses were provided by the SME and Data Sponsors.

IMPACT ON CERCLIS

The attached Impact Analysis provides a comprehensive summary of potential impacts of the revised FY1,2 SPIM that may affect CERCUS and/or the SCAP reports.

ACTION

The SPIM is in an electronic format. If you have specific program questions, please contact the SME identified on the change log or within Appendix B of the SPIM. Please contact Renee Hamilton (703-603-9092) for general SPIM questions. The FY12 SPIM can be found at http://www.epa.gov/superfund/action/process/spim 12.html.

Attachments Internet Address (URL) • http://www.epa.gov

Recycled/Recyclable • Printed with Vegetable Oil Based Inks on 100% Postconsumer, Process Chlorine Free Recycled Paper

DISTRIBUTION LIST Addressees

TO: Superfund Branch Chiefs (Regions I- X) Regional Counsel Branch Chiefs (Regions I - X)

CC: OSRTI Division Directors and Branch Chiefs Superfund National Policy Managers (Regions I - X) Regional Counsels (Regions 1- X) Information Management Coordinators (Regions 1- X) Budget Coordinators (Regions I - X) Financial Management Coordinators (Regions I -X) Kathy Jones James Woolford Barnes Johnson Elizabeth Southerland Elliott Gilberg Laura Milton Charlotte Englert David Hindin (2222A) Gail Cooper Dana Stalcup Sue Priftis (5 I 03) Lance Elson (226 I A) Randy Hippen Marie Bell (51 06P) Terry Jeng Richard Jeng Tracy Hopkins Karin Koslow Pat Kennedy Kevin Brittingham (2733 R) Charles Sands Brendan Roache Steven Blankenship Deborah Dietrich Kerron Weston Monica Gardner Tina van Pelt Vincent Velez Iantha Gilmore Bernard Schorle Catherine Allen Phyllis Anderson Bill Finan Armando Santiago Mary Bell Lisa Guarneiri Eric French Ann Pontius Beckett Grealish Debbie Bishop Amy Vandenburg

OSWER Directive 9200.3-14-1G-W

FY 12 SPIM March 20, 2012

Superfund Program Implementation Manual FY 12

Impact Analysis


March 20, 2012 FY 12 SPIM

This Page Intentionally Left Blank



IMPACT ANALYSIS

The following are potential impacts resulting from the FY 12 SPIM that may affect CERCLIS or the SCAP reports. In addition, changes to the SPIM may impact Data Quality Objectives and Quick Reference Guides. The impacts identified are based on a limited review of the data. Additional impacts may be identified once the requirements analysis is complete.

GeneralChanges to the Subject Matter Experts will require updates to the Subject Matter Experts

in the SCAP reports.

References to the old Appendix structure of the SPIM will need to be updated in external materials.

Chapter VModified available Site Qualifiers and Type of Use Indicators. This change may require

changes to CERCLIS and/or SCAP reports.

Chapter VIIModified Remedial Investigation (RI) and Feasibility Study (FS) definitions. This change

may require changes to CERCLIS and/or SCAP reports.

Added Final Inspection by EPA SubAction to support new RA measure. This changemay require an update to CERCLIS and/or SCAP reports.

Renamed ‘Completion of a Response Action’ to ‘Remedial Action Completion’ for consistency with new RA measure. This change may require an update to SCAP reports.

Updated several activities to be consistent with new Close Out Procedures guidance. This change may require an update to CERCLIS and/or SCAP reports.

Chapter VIIIUpdated several activities to be consistent with new Close Out Procedures guidance.

This change may require an update to CERCLIS and/or SCAP reports.

Added new rules on due date for late Federal Facility Five Year Reviews (FYRs). This change may require an update to CERCLIS and/or SCAP reports.

Chapter IXModified Pre-Remedial Enforcement Action at Superfund Sites definition. This change

may require an update to CERCLIS and/or SCAP or Enforcement reports.


March 20, 2012 FY 12 SPIM2

Modified Criteria for Credit of Enforcement Activities at Superfund Alternative Sites title and definition. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

Modified Total Response Commitments definition. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

Modified Total Cost Recovery Settlements definition. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

Added a new measure for Compliance Tracking. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

Added a Reclassification of Special Account Funds definition. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

Modified Closure of Special Accounts definition. This change may require an update to CERCLIS and/or SCAP or Enforcement reports.

United States Office of OSWER 9200.3-14-1G-WEnvironmental Protection Solid Waste and March 20, 2012Agency Emergency Response

Superfund http://www.epa.gov/superfund/action/process/spim12.html

Superfund Program Implementation Manual Fiscal Year 2012

Program Implementation Guidance for OSRTI, OSRE, FFRRO, FFEO and OEM (Headquarters and Regional Offices)

Program Goals and Planning Requirements

Program Implementation Procedures





FY 12 SPIM TOC - 1 March 20, 2012


Table of Contents

Managers’ Schedule of Significant Events

Acronyms

Organizational Charts

Summary of Changes

Chapter I: IntroductionI.A Purpose ........................................................................................................................ I-1

I.B Introduction ................................................................................................................. I-2 I.B.1 Superfund Legislative Background .............................................................................. I-2 I.B.2 Description of Superfund Response and Enforcement Programs................................. I-3

a. Superfund Remedial (303DD2) .......................................................................... I-3 b. Superfund Emergency Response and Removal (303DC6) ................................. I-4 c. Federal Facilities Response (303DC9).............................................................. I-4 d. Superfund Enforcement (501EC7) ..................................................................... I-4 e. Base Realignment and Closure (303D41 and 303D41B4)................................. I-4 f. Federal Facilities Enforcement (501EH2)......................................................... I-5

I.C CERCLIS ..................................................................................................................... I-5

Chapter II: Performance Measures, Planning and Reporting RequirementsII.A Introduction ................................................................................................................II-1

II.B Performance Goals and Measures.............................................................................II-1 II.B.1 Removal Program Measures........................................................................................ II-4

a. Superfund-lead removal actions completed annually ....................................... II-4 b. PRP removal completions (including voluntary, Administrative Orders on

Consent (AOC) and Unilateral Administrative Order (UAO) actions) overseen by EPA............................................................................................................... II-5

c. Superfund-lead removal actions completed annually per million dollars ........ II-5 II.B.2 Remedial and Federal Facilities Program Measures ................................................... II-5

a. Number of Superfund remedial site assessments completed (Site Assessments). II-5

b. Number of Remedial Action project completions at Superfund NPL sites (Remedial Action (RA) Projects) ....................................................................... II-5

c. Annual number of Superfund sites with remedy construction completed (CCs)II-5 d. Number of Superfund sites with human exposures under control ..................... II-6


March 20, 2012 TOC - 2 FY 12 SPIM

e. Superfund sites with contaminated groundwater migration under control....... II-6 f. Number of Superfund sites ready for anticipated use sitewide (SWRAU)......... II-6 g. Acres “Protective for People Under Current Conditions” (PfP) ..................... II-7 h. Acres “Ready for Anticipated Use” (RAU)....................................................... II-7

II.B.3 Enforcement Program Measures ................................................................................. II-7 a. Pre-Remedial Enforcement Action.................................................................... II-7 b. Past Costs Addressed > $200,000..................................................................... II-7 c. Volume of Contaminated Media Addressed (VCMA) – Soil and Groundwater II-7 d. Total Response Commitments ........................................................................... II-8 e. Total Cost Recovery Settlements ....................................................................... II-8 f. Value of PRP Oversight .................................................................................... II-8

II.C Annual Performance Plan and Budget Development Cycle ....................................II-8 II.C.1 Outyear ........................................................................................................................ II-8 II.C.2 Planning Year .............................................................................................................. II-9 II.C.3 Current Year ................................................................................................................ II-9

II.D Planning and Reporting Cycle.................................................................................II-11 II.D.1 Third Quarter ............................................................................................................. II-12

a. Current Year Performance Tracking .............................................................. II-12 b. Planning for the Upcoming Year..................................................................... II-12

II.D.2 Fourth Quarter ........................................................................................................... II-13 a. Planning for the Upcoming Year..................................................................... II-13 b. End of Year Performance Tracking................................................................. II-13

II.D.3 First Quarter (of the subsequent year) ....................................................................... II-13 a. Planning for the Current Year......................................................................... II-13 b. Prior Year Performance Tracking .................................................................. II-13

II.E Planning, Target, and Accomplishment Reports ....................................................II-14 II.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment

Reporting ................................................................................................................... II-14 II.E.2 OSRE Management Reports...................................................................................... II-15 II.E.3 FFRRO Management Reports ................................................................................... II-16

Chapter III: Financial ManagementIII.A Introduction .............................................................................................................. III-1

III.B Financial Management Roles and Responsibilities................................................ III-1 III.B.1 Regional Organization Financial Roles and Responsibilities.....................................III-1

a. Regional Administrator (unless delegated) ......................................................III-1 b. Regional Financial Office (RFO).....................................................................III-2 c. Regional Program Office (RPO)......................................................................III-2 d. Administrative Support Unit.............................................................................III-2

III.B.2 Regional Staff Financial Roles and Responsibilities..................................................III-3 a. On-Scene Coordinator (OSC) ..........................................................................III-3 b. Remedial Project Manager (RPM)...................................................................III-3 c. Regional Project Officer (RPO)/Deputy Project Officer (DPO) .....................III-3

III.B.3 Headquarters Support Office Financial Roles and Responsibilities...........................III-4 a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO ........III-4 b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO.......III-4 c. Office of Acquisition Management (OAM), OARM..........................................III-4 d. Office of Budget, OCFO...................................................................................III-5



e. Office of Financial Management (OFM), OCFO.............................................III-5 f. Office of Grants and Debarment (OGD), OARM.............................................III-5 g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,

OCFO...............................................................................................................III-5

III.C Financial Vehicles.................................................................................................... III-5 III.C.1 Contracts.....................................................................................................................III-5 III.C.2 Interagency Agreements (IAs) ...................................................................................III-7 III.C.3 Cooperative Agreements (CA) ...................................................................................III-7 III.C.4 Technical Assistance Grants (TAGs) .........................................................................III-7

III.D Financial Data Management Tools......................................................................... III-8 III.D.1 CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) Reports.........III-8 III.D.2 Budget Automated System (BAS)..............................................................................III-8 III.D.3 Compass (formerly IFMS) .........................................................................................III-8 III.D.4 Compass Business Objects Reporting Tool................................................................III-9 III.D.5 Compass Data Warehouse (CDW).............................................................................III-9 III.D.6 Superfund Cost Recovery Package and Image On-Line System (SCORPIOS).........III-9 III.D.7 PeoplePlus (PPL)......................................................................................................III-10

III.E Superfund Accounting Information and Treatment of CERCLIS Data ............. III-10 III.E.1 Superfund Account Number.....................................................................................III-10

a. Fund/Appropriation Code ..............................................................................III-11 b. Budget Organization ......................................................................................III-12 c. Program Results Code (PRC) ........................................................................III-12 d. Project Field...................................................................................................III-14 e. Cost Organization ..........................................................................................III-14

III.E.2 Handling Financial Data in the CERCLIS Environment..........................................III-15 a. Deleting Planned Obligation Data from CERCLIS .......................................III-15 b. Correcting Financial Data.............................................................................III-15

III.F Allocating Superfund Resources Among the Regions.......................................... III-16 III.F.1 Managing Site Allowance Resources in CERCLIS .................................................III-16 III.F.2 Deobligating Prior Year Funds.................................................................................III-17 III.F.3 Removal Program Resources (PRC 303DC6)..........................................................III-17 III.F.4 Remedial Response Program Resources (PRC 303DD2) ........................................III-18

a. Remedial Action Site Allowance.....................................................................III-18 b. Pipeline Operations Site Allowance...............................................................III-19

III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9) ............................III-19 III.F.6 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-

specific]) ...................................................................................................................III-20 III.F.7 Enforcement Program (PRC 501EC7) .....................................................................III-20 III.F.8 Federal Facilities Enforcement Program Resources (PRC 501EH2) .......................III-21

III.G Cost Recovery ......................................................................................................... III-21 III.G.1 Recoverable Costs ....................................................................................................III-22

a. Direct Costs....................................................................................................III-22 b. Contractors' Annual Allocation Costs............................................................III-22 c. Indirect Costs .................................................................................................III-22

III.H Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) .............................................. III-23 III.H.1 WQ SSID and WQ Action Code ..............................................................................III-23

a. WQ SSID ........................................................................................................III-23 b. WQ Action Code.............................................................................................III-24



III.H.2 ZZ SSID ...................................................................................................................III-24 III.H.3 00 SSID ....................................................................................................................III-24

III.I Superfund State Contracts (SSC) .......................................................................... III-25 III.I.1 Cost Share Provisions...............................................................................................III-25 III.I.2 Constraints on Obligating Funds for RA..................................................................III-26 III.I.3 Cost Share Payments ................................................................................................III-26 III.I.4 Using Funds from State Cost Share Payments .........................................................III-27

III.J Special Accounts..................................................................................................... III-27

III.K Using the Fiduciary Reserve to Address Cost Overruns....................................... III-28

Chapter IV: CERCLIS Data Management and CERCLIS CodesIV.A Introduction ...............................................................................................................IV-1

IV.B CERCLIS Regional/Headquarters Roles and Responsibilities ...............................IV-1 IV.B.1 Regional Roles .......................................................................................................... IV-2

a. Information Management Coordinators .......................................................... IV-2 b. Budget Coordinators ........................................................................................ IV-2

IV.B.2 HQ Roles ................................................................................................................... IV-3 a. Data Sponsors .................................................................................................. IV-3 04b. Data Owners .................................................................................................... IV-3 c. OSRTI Resource Management Division – Budget Planning and Evaluation

Branch .............................................................................................................. IV-3 d. OSRTI Resource Management Division – Information Management Branch .IV-4 e. OSRTI Assessment and Remediation Division (ARD) Regional Support......... IV-4 f. Office of Site Remediation Enforcement (OSRE) Regional Support ................ IV-4 g. Office of Emergency Management (OEM) Regional Support .......................... IV-4 h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5

IV.C General CERCLIS Data Entry/Quality Requirements ............................................IV-5 IV.C.1 Quality and Timeliness of Data Entry ....................................................................... IV-5 IV.C.2 Setting Targets in CERCLIS ..................................................................................... IV-5

a. Remedial Program ........................................................................................... IV-5 b. Federal Facilities Program.............................................................................. IV-6 c. Enforcement Program...................................................................................... IV-6

IV.C.3 Data Lockout on Historical Accomplishments.......................................................... IV-6 IV.C.4 Data Validation and Verification............................................................................... IV-7

IV.D CERCLIS Program Priority Codes...........................................................................IV-8 IV.D.1 Superfund Alternative Approach............................................................................... IV-8 IV.D.2 Mega-Sites................................................................................................................. IV-8

IV.E Action Lead Codes.....................................................................................................IV-9

IV.F Action Codes Available for Financial Transactions..............................................IV-10

IV.G Action and Other Qualifier Codes ..........................................................................IV-15 IV.G.1 Takeovers, Phased Indicators and Other Action Code Anomalies.......................... IV-15

a. Takeovers ....................................................................................................... IV-16 b. CERCLIS Coding For Takeovers ................................................................... IV-17 c. Phased Projects.............................................................................................. IV-18 d. Other Anomalies............................................................................................. IV-19



IV.G.2 Other Qualifiers.......................................................................................................IV-19

Chapter V: Site Assessment/NPL ListingV.A Site Assessment........................................................................................................... V-1

V.A.1 Introduction .................................................................................................................V-1 V.A.2 Site Assessment ...........................................................................................................V-2 V.A.3 Site Assessment Backlogs ...........................................................................................V-3 V.A.4 Overview of Site Assessment/NPL Listing Targets and Measures .............................V-3 V.A.5 Site Status Indicators ...................................................................................................V-6 V.A.6 Data Quality ..............................................................................................................V-10 V.A.7 Action Qualifiers for Site Assessment Actions .........................................................V-10

a. No Further Remedial Action Planned (NFRAP)............................................. V-10 b. Further Evaluation.......................................................................................... V-11 c. Perform a Removal.......................................................................................... V-11 d. Defer the Site to RCRA (Subtitle C) or the NRC ............................................. V-11 e. Sites addressed as part of existing NPL sites .................................................. V-11 f. Sites addressed as part of other existing non-NPL sites ................................. V-12 g. State Deferral Action Qualifiers...................................................................... V-12 h. Referred From RCRA Action Qualifier ........................................................... V-13 i. Assessment Complete – Decision Needed Action Qualifier ............................ V-13

V.A.8 Special Initiatives ......................................................................................................V-15 V.A.9 Site Assessment Critical Indicators ...........................................................................V-15 V.A.10 Pre-CERCLIS Screening Assessments......................................................................V-16

a. Definition of Accomplishment:........................................................................ V-16 b. Referred From RCRA ...................................................................................... V-18 c. Site Discovery.................................................................................................. V-19 d. Sites Archived.................................................................................................. V-21 e. Preliminary Assessments (PA) at Non-Federal Facility Sites......................... V-23 f. Federal Facility Preliminary Assessment Reviews ......................................... V-25 g. Site Inspections (SI) at Non-Federal Facility Sites ......................................... V-25 h. Site Reassessment ............................................................................................ V-27 i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites...................... V-29 j. Federal Facility SI Reviews ............................................................................ V-31 k. Federal Facility ESI Reviews .......................................................................... V-31 l. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-

Federal Facility Sites ...................................................................................... V-31 m. State Deferral of Non-Federal Facility Sites .................................................. V-33 n. Hazard Ranking System Package (HRS)......................................................... V-34 o. NPL Listing ..................................................................................................... V-36 p. Other Cleanup Activity (OCA) ........................................................................ V-38

V.A.11 Tribal Inventory Information.....................................................................................V-41 a. Native American Interest................................................................................. V-41 b. Associating Site to an American Indian Tribe/Alaskan Native Entity............. V-41

Chapter VI: Removal ProgramVI.A Protect Human Health and the Environment ..........................................................VI-1

VI.A.1 Removal Actions ....................................................................................................... VI-1 VI.A.2 Removal Initiation ..................................................................................................... VI-1



VI.A.3 Overview of Removal Actions Target and Measures................................................ VI-1 a. Removal Starts.................................................................................................. VI-2 b. Removal Completions....................................................................................... VI-4

Chapter VII: Remedial ProgramVII.A Remedial Program Targets and Measures ............................................................. VII-1

VII.A.1 Remedial Program Targets and Measures ................................................................ VII-1 VII.A.2 Remedial Program Definitions ................................................................................. VII-3

a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund Alternative)......................................................................................................VII-3

b. Feasibility Study (FS) (NPL & Superfund Alternative)...................................VII-6 c. Combined RI/FS (NPL & Superfund Alternative) .........................................VII-10 d. Treatability Studies (NPL & Superfund Alternative) ....................................VII-13 e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund

Alternative)....................................................................................................VII-14 f. Engineering Evaluation/Cost Analysis (EE/CA)...........................................VII-15 g. Decision Documents (NPL & Superfund Alternative)...................................VII-16 h. Final Remedy Selected ..................................................................................VII-20 i. Remedial Design (RD) Start (NPL & Superfund Alternative).......................VII-22 j. RD Completion (NPL & Superfund Alternative)...........................................VII-24 k. Remedial Action Start (NPL & Superfund Alternative) ................................VII-25 l. RA Contract Award (NPL & Superfund Alternative) ....................................VII-31 m. Start of On-Site Construction (NPL & Superfund Alternative).....................VII-32 n. Operational and Functional (NPL & Superfund Alternative).......................VII-35 o. Final Inspection by EPA (NPL & Superfund Alternative) ............................VII-36 p. Remedial Action Completion (NPL & Superfund Alternative)......................VII-37 q. Construction Completion (NPL & Superfund Alternative) ...........................VII-39 r. Long-Term Response Action (LTRA and PRP LR) (NPL & Superfund

Alternative)....................................................................................................VII-40 s. Operation and Maintenance (O&M) (NPL & Superfund Alternative)..........VII-42 t. Cleanup Goals Achieved (NPL & Superfund Alternative) ............................VII-44 u. Ground Water Monitoring (NPL & Superfund Alternative) .........................VII-45 v. NPL Site Completions ...................................................................................VII-46 w. Five Year Reviews .........................................................................................VII-47 x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative) ...........VII-52 y. Partial NPL Deletion ....................................................................................VII-53 z. Final NPL Deletion .......................................................................................VII-55 aa. Protective for People Under Current Conditions (PFP) ..............................VII-56 bb. Ready for Anticipated Use (RAU) .................................................................VII-58 cc. Cross-Program Revitalization Measures (CPRM) Indicators ......................VII-60 dd. Human Exposure Under Control ..................................................................VII-62 ee. Migration of Contaminated Ground Water Under Control ..........................VII-67 ff. Populations Protected ...................................................................................VII-70 gg. Cleanup Volume ............................................................................................VII-71 hh. Support Agency Assistance............................................................................VII-72 ii. Technical Assistance .....................................................................................VII-73



Chapter VIII: Federal Facility ProgramVIII.A Federal Facilities Goals and Priorities..................................................................VIII-3

VIII.A.1 Overview ..............................................................................................................VIII-3 VIII.A.2 Superfund Federal Facility Goals.........................................................................VIII-3

a. Strategic Federal Facility Goals................................................................... VIII-3 b. Cross-Program Revitalization Measure Implementation.............................. VIII-5 c. Cross-Program Revitalization Measures (CPRM) Indicators ...................... VIII-5

VIII.A.3 EPA's Federal Facility Superfund Cleanup Principles .........................................VIII-8 VIII.A.4 Federal Facility Docket and Site Discovery/Site Assessment............................VIII-11

a. Overview...................................................................................................... VIII-11 b. Federal Facility Docket Process and the Federal Facilities Site Discovery

Process ........................................................................................................ VIII-11 c. Federal Facility Site Assessment Process and Time Frames...................... VIII-13 d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 VIII-13 e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation

..................................................................................................................... VIII-14 f. Tracking of Federal Facility Sites in CERCLIS.......................................... VIII-15

VIII.A.5 BRAC Budget and Financial Guidance..............................................................VIII-16 a. Resources and Tracking Mechanisms ......................................................... VIII-16 b. Accountability for Resources ...................................................................... VIII-16

VIII.A.6 Cleanup Privatization at BRAC NPL Sites ........................................................VIII-18 VIII.A.7 Military Munitions Response Program ..............................................................VIII-18 VIII.A.8 Stakeholder Involvement....................................................................................VIII-19

VIII.B Federal Facilities Targets and Measures ............................................................VIII-20 VIII.B.1 Overview of Federal Facilities Targets and Measures .......................................VIII-20 VIII.B.2 Federal Facilities Site Discovery/Site Assessment Definitions..........................VIII-23

a. Site Discovery.............................................................................................. VIII-23 b. Federal Facility Preliminary Assessment Reviews ..................................... VIII-24 c. Federal Facility SI Reviews ........................................................................ VIII-26 d. Federal Facility Expanded Site Inspection (ESI) Reviews.......................... VIII-28

VIII.B.3 Federal Facilities Accomplishment Definitions .................................................VIII-29 a. Base Closure Decisions: Start and Completions ........................................ VIII-29 b. Non-BRAC Property Actions....................................................................... VIII-31 c. Federal Facility Agreement (FFA)/Interagency Agreement (IA)................ VIII-32 d. Federal Facility Dispute Resolution ........................................................... VIII-33 e. Use of Supplemental Environmental Projects (SEPs)................................. VIII-33 f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation

(RFI) Starts.................................................................................................. VIII-34 g. Timespan from Final NPL Listing To RI/FS ............................................... VIII-35 h. Decision Documents.................................................................................... VIII-35 i. Final Remedy Selected ................................................................................ VIII-36 j. ROD Amendments ....................................................................................... VIII-37 k. Explanation of Significant Differences (ESD)............................................. VIII-38 l. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) ....... VIII-39 m. Duration of ROD to IA Negotiation Completion......................................... VIII-40 n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)

Starts ........................................................................................................... VIII-40 o. Timespan from ROD Signature to RA Start ................................................ VIII-41 p. RA or CMI Completions.............................................................................. VIII-41



q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions..................................................................................................................... VIII-43

r. Migration of Contaminated Ground Water Under Control ........................ VIII-44 s. Human Exposure Under Control Indicator................................................. VIII-47 t. Operation and Maintenance (O&M)........................................................... VIII-50 u. Cleanup Goals Achieved ............................................................................. VIII-50 v. NPL Site Construction Completions............................................................ VIII-51 w. Federal Facility Partial NPL Deletion ....................................................... VIII-52 x. Federal Facility Final NPL Deletion .......................................................... VIII-54 y. Federal Facility Five-Year Reviews............................................................ VIII-55

VIII.B.4 Community Involvement Definitions.................................................................VIII-59 a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)VIII-

59 b. Technical Assistance Grants (TAGs) .......................................................... VIII-60

VIII.B.5 Cross Program Revitalization Measures (CPRM)..............................................VIII-61 a. Sitewide Ready for Anticipated Use ............................................................ VIII-61 b. Protective for People Under Current Conditions (PFP) ............................ VIII-62 c. Ready for Anticipated Use (RAU) ............................................................... VIII-64

VIII.B.6 Cleanup Privatization at BRAC NPL Sites ........................................................VIII-66

Chapter IX: EnforcementIX.A FY12 Enforcement ....................................................................................................IX-1

IX.A.1 Promoting the Superfund Enforcement Program ...................................................... IX-1 IX.A.2 Current GPRA Measures for Enforcement................................................................ IX-2

a. Volume of Contaminated Media Addressed (VCMA)....................................... IX-2 b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or

Claims in Bankruptcy ....................................................................................... IX-3 c. Pre-Remedial Enforcement Action at Superfund Sites..................................... IX-5

IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative Approach Sites .......................................................................................................... IX-8

a. Potentially Responsible Party (PRP) Search Starts......................................... IX-9 b. Preliminary PRP Search Completions ............................................................. IX-9 c. PRP Search Completions ............................................................................... IX-12 d. Section 104(e) Referrals and Orders Issued .................................................. IX-13 e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for RD/RA

Negotiations ................................................................................................... IX-14 f. Issuance of General Notice Letters (GNLs) ................................................... IX-14 g. Issuance of Special Notice Letters (SNLs) ..................................................... IX-15 h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS)

Negotiation Starts........................................................................................... IX-16 i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &

Superfund Alternative) ................................................................................... IX-16 j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund

Alternative)..................................................................................................... IX-18 k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and

Other) (NPL & Superfund Alternative) .......................................................... IX-20 l. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility

NPL and Superfund Alternative Sites............................................................. IX-22 m. Total Response Commitments (Including Dollar Value)................................ IX-23



n. Total Active Response Enforcement Instruments in SNC and Not Addressed through Formal Enforcement......................................................................... IX-25

o. Total Amount of Response Commitments Secured through Financial Assurance........................................................................................................................ IX-29

p. De Minimis Settlements and Number of Parties............................................. IX-30 q. Cashout Settlements ....................................................................................... IX-32 r. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) .. IX-

33 s. Issuance of Demand Letter............................................................................. IX-34 t. Total Cost Recovery Settlements (Including Dollar Value) ........................... IX-34 u. Number and Amount of CERCLA Penalties Assessed.................................... IX-36 v. Number of Settlements Where EPA Settled Based on Ability-to-Pay............. IX-37 w. Bona Fide Prospective Purchaser Agreements.............................................. IX-38 x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements

(PLAs) ............................................................................................................ IX-39 y. Issuance of Comfort/Status Letters................................................................. IX-40 z. Contiguous Property Owners (CPOs)............................................................ IX-41 aa. Windfall Lien Resolution - Finalized.............................................................. IX-42 bb. Orphan Share - EPA Offer and Compensation .............................................. IX-43 cc. Non-Exempt De Micromis Parties Settlements and Number of Parties......... IX-45 dd. PRP Oversight Administration....................................................................... IX-47 ee. Settlements Designating Funds for Deposit to Special Accounts................... IX-48 ff. Deposits into Special Accounts ...................................................................... IX-49 gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs

........................................................................................................................ IX-50 hh. Disbursements from Special Accounts for Response Actions......................... IX-51 ii. Reclassification of Special Account Funds .................................................... IX-53 jj. Closure of Special Accounts........................................................................... IX-53 kk. Management of Special Accounts................................................................... IX-54

IX.A.4 Institutional Controls and Site Revitalization.......................................................... IX-57 a. Institutional Controls ..................................................................................... IX-57 b. Site Revitalization........................................................................................... IX-57

Chapter X: Community InvolvementX.A INTRODUCTION ...................................................................................................... X-1

X.B COMMUNITY INVOLVEMENT ACTIVITIES ...................................................... X-1 X.B.1 Overview of FY12 Community Involvement Activities .............................................X-1

a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) .................................................................... X-1

b. Technical Assistance Grants (TAGs) ................................................................ X-2 c. Technical Assistance Services for Communities (TASC) .................................. X-3

X.C CIPIB Data Sponsor Responsibilities........................................................................ X-4 X.C.1 National Program Requirements and the Data Sponsor Role......................................X-4

a. Program Goals and Objectives ......................................................................... X-4 b. Statutory Mandates ........................................................................................... X-4 c. Regulatory and Policy Requirements ................................................................ X-5 d. Superfund Reforms ............................................................................................ X-5 e. OSWER’s Community Engagement Initiative (CEI) ......................................... X-5 f. Reauthorization, Congressional Inquiries, and Audits ..................................... X-6



X.C.2 CIPIB HQ and Regional Organization ......................................................................X-10 X.C.3 Program Monitoring and Reporting ..........................................................................X-10

a. Data Quality.................................................................................................... X-10 b. Management Reports....................................................................................... X-11 c. Coding Guide .................................................................................................. X-11

Chapter XI: Information SystemsXI.A Information Systems..................................................................................................XI-1

XI.A.1 Purpose of CERCLIS and SEMS .............................................................................. XI-1 a. Site Assessment................................................................................................. XI-2 b. Remedy Selection.............................................................................................. XI-2 c. Federal Facilities ............................................................................................. XI-3 d. Community Involvement ................................................................................... XI-4 e. Removal............................................................................................................ XI-4 f. Enforcement ..................................................................................................... XI-4 g. Project Management ........................................................................................ XI-5 h. Program Management...................................................................................... XI-6

XI.A.2 Superfund Data Architecture ..................................................................................... XI-7 XI.A.3 Reporting Superfund Information ............................................................................. XI-8

a. Regional Users ................................................................................................. XI-8 XI.A.4 Data Owners/Sponsorship ......................................................................................... XI-8

Chapter XII: Records and Information ManagementXII.A Introduction ............................................................................................................. XII-1

XII.B Record Definition .................................................................................................... XII-1

XII.C Records..................................................................................................................... XII-1

XII.D Superfund Enterprise Management System (SEMS) ............................................ XII-2

XII.E Applicability to Superfund ...................................................................................... XII-2

XII.F Applicability of the Freedom of Information Act................................................... XII-7 XII.F.1 Reports Releasable under Freedom of Information Act (FOIA) .............................. XII-7 XII.F.2 Sensitive Information Not Releasable under FOIA.................................................. XII-8 XII.F.3 Ad Hoc Reporting................................................................................................... XII-11 XII.F.4 Accessing FOIA Information ................................................................................. XII-11

Appendix A: New Initiatives/New RequirementsA.A Superfund Initiatives.................................................................................................. A-1

A.A.1 Integrated Cleanup Initiative .......................................................................................A-1 A.A.2 Community Engagement Initiative..............................................................................A-2

A.B Other Superfund Program Priorities......................................................................... A-3

A.C New Superfund Requirements ................................................................................... A-3

A.C.1 Performance Measures .............................................................................................. A-3



Appendix B: Regional and Headquarters ContactsB.A Headquarters (HQ) Subject Matter Experts/Data Sponsors .................................... B-1 B.B SCAP Report Contacts ............................................................................................... B-3 B.C Office of Emergency Management (OEM) HQ Removal Coordinators .................. B-3 B.D HQ Superfund Cost Recovery Contacts .................................................................... B-4 B.E Cost Recovery Contacts .............................................................................................. B-4 B.F Regional Budget Coordinators .................................................................................. B-5

Appendix C: FY 12 Work Planning Memorandum

Appendix D: American Recovery and Reinvestment Act (ARRA)D.A General Information .................................................................................................. D-1

D.A.1 Purpose, Contents, and Applicability ..........................................................................D-1 Why is EPA issuing this guidance? ...................................................................D-1 a. What is in this guidance? ..................................................................................D-1 b. To whom does this guidance apply to? .............................................................D-2 c.

D.A.2 Responsible Officials in the Superfund Program ........................................................D-2 D.A.3 Ensuring Accountability for Recovery Act Implementation .......................................D-2 D.A.4 Roles and Responsibilities of Other EPA Offices .......................................................D-2 D.A.5 EPA Governance and Risk Management Activities....................................................D-3 D.A.6 Inspector General Activities ........................................................................................D-4 D.A.7 Links to Other Information..........................................................................................D-4

D.B Superfund Remedial Program Provisions of the American Recovery and Reinvestment Act ........................................................................................................ D-5 D.B.1 Availability of Funds...................................................................................................D-5 D.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program ........D-5 D.B.3 Comparison to Regular Appropriations.......................................................................D-6 D.B.4 Eligible Activities........................................................................................................D-6 D.B.5 Distribution of Recovery Act Funds............................................................................D-6 D.B.6 State Cost Share...........................................................................................................D-7 D.B.7 Monitoring and Evaluating Recovery Act Implementation.........................................D-7

D.C Superfund Recovery Act Communications and Reporting....................................... D-8 D.C.1 Recovery Act Press Release Procedures .....................................................................D-8 D.C.2 Recovery Act Award Notification Procedures ............................................................D-8

Monday Close of Business.................................................................................D-8 a. Tuesday Noon....................................................................................................D-8 b. Thursday............................................................................................................D-8 c. Friday................................................................................................................D-8 d.

D.C.3 Public Communication Procedures .............................................................................D-9 D.C.4 Recipient Reporting Requirements..............................................................................D-9 D.C.5 EPA Reporting Requirements ...................................................................................D-10 D.C.6 Weekly Financial and Activity Reports.....................................................................D-10 D.C.7 Agency and Program-Specific Plans .........................................................................D-11 D.C.8 Performance Measures ..............................................................................................D-11 D.C.9 Reporting and Tracking Systems...............................................................................D-12



D.D Recovery Act Budget Execution Guidance for the Superfund Remedial ProgramD-14 D.D.1 Budget Structure and Coding ....................................................................................D-14 D.D.2 Allocating Recovery Act General Resources ............................................................D-15 D.D.3 Allocating Recovery Act Management and Operation Resources ............................D-15 D.D.4 Reprogramming of Recovery Act Funds...................................................................D-16 D.D.5 CERCLIS Planning ...................................................................................................D-16 D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds ...............................D-17 D.D.7 Cost Recovery ...........................................................................................................D-17

D.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative Agreements ............................................................................................................... D-17 D.E.1 Recovery Act Financial Award Vehicles ..................................................................D-17 D.E.2 Contracts....................................................................................................................D-18 D.E.3 Interagency Agreements and Interagency Assisted Acquisitions..............................D-18 D.E.4 Best Interest Reviews for Assisted Acquisitions.......................................................D-18 D.E.5 Direct Cite Programs .................................................................................................D-19 D.E.6 Cooperative Agreements ...........................................................................................D-19 D.E.7 Superfund State Contract Payment Schedules...........................................................D-19 D.E.8 Socio-Economic Goals ..............................................................................................D-20 D.E.9 Bona Fide Needs Rule ...............................................................................................D-20 D.E.10 Infrastructure and Buy American Provisions ............................................................D-20 D.E.11 Davis Bacon Act........................................................................................................D-21 D.E.12 Funds-In Interagency Agreements for Federal Facility Oversight ............................D-22

List of Exhibits

Exhibit II.1. Superfund Performance Measures........................................................................................ II-3 Exhibit II.2. Budget Planning Timeline .................................................................................................. II-10

Exhibit III.1. EPA Forms Commonly Used for Superfund Procurements...............................................III-6Exhibit III.2. Superfund Account Number Structure .............................................................................III-10Exhibit III.3. Sample Superfund Appropriation Codes..........................................................................III-11Exhibit III.4. Superfund Program Results Codes and Site Allowance Codes........................................III-13Exhibit III.5. Project Field ..................................................................................................................... III-14Exhibit III.6. Project Field for IT Related Transactions ........................................................................III-14

Exhibit IV.1. Regional/HQ CERCLIS Responsibilities ......................................................................... IV-2 Exhibit IV.2. Action Lead Codes in CERCLIS ...................................................................................... IV-9 Exhibit IV.3. Action Codes Available for Financial Transactions Sorted by CERCLIS Action Name (Who Pays for What) ...................................................................................................................................... IV-11 Exhibit IV.4. CERCLIS Action Anomaly Reference Table ................................................................. IV-16 Exhibit IV.5a. Takeovers ...................................................................................................................... IV-18 Exhibit IV.5b. Phased Projects ............................................................................................................. IV-19 Exhibit IV.5c. Other Anomalies ........................................................................................................... IV-19

Exhibit V.1. Superfund Site Assessment Process .....................................................................................V-2 Exhibit V.2. Site Assessment/NPL Listing Activities ..............................................................................V-5 Exhibit V.3. Site Assessment Action Qualifiers .....................................................................................V-14



Exhibit VI.1. Removal Program Activities ............................................................................................. VI-1

Exhibit VII.1. Remedial Program Activities.......................................................................................... VII-1 Exhibit VII.2. Human Exposure Evaluation Flowchart ....................................................................... VII-66 Exhibit VII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet....... VII-69

Exhibit VIII.1a. Federal Facilities NPL Sites .....................................................................................VIII-21 Exhibit VIII.1b. Federal Facilities BRAC Sites..................................................................................VIII-22 Exhibit VIII.1c. Federal Facilities Non-NPL Sites .............................................................................VIII-23 Exhibit VIII.2. Remedial Pipeline Flow Charts ..................................................................................VIII-43 Exhibit VIII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet ....VIII-46 Exhibit VIII.4. Superfund Long-Term Human Health Protection Worksheet ....................................VIII-49

Exhibit IX.1. Enforcement Program Performance Measures.................................................................. IX-7 Exhibit IX.2. Summary of CERCLIS Compliance Status Values ........................................................ IX-26 Exhibit IX.3. Measure Results Calculations ......................................................................................... IX-27

Exhibit X.1. Community Involvement Requirements...............................................................................X-6 Exhibit X.2. CIPIB HQ and Regional Roles and Responsibilities .........................................................X-10

Exhibit XI.1. SEMS-Solution Architecture ............................................................................................ XI-7

Exhibit XII.1. Superfund CORE Documents......................................................................................... XII-3

D.1. Attachment A: Funding Award Notification Template...................................................................D-23 D.2. Attachment B: OMB Definition of Obligation and Outlay.............................................................D-25 D.3. Attachment C: Class Deviation Approval 3/9/09............................................................................D-27





FY 12 SPIM Managers’ Schedule - 1 March 20, 2012

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March 20, 2012 Managers’ Schedule - 2 FY 12 SPIM




MANAGERS’ SCHEDULE OF SIGNIFICANT EVENTS

The Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) is the official repository for Superfund data. Data are expected to be kept complete, current, and consistent in order to be readily available for routine, unexpected, and immediate needs.

FY 12OCTOBER 2011 QUARTER 1 (FY 12)

11 Headquarters (HQ) pulls 4th quarter fiscal year (FY) 11 accomplishment and financial data from CERCLIS and provides for:1) Special program reports2) Initial FY 11 end-of-year Program Assessment

11 HQ pulls 4th quarter FY 11 accomplishment data from CERCLIS for review of end of year Government Performance and Results Act (GPRA) accomplishments and inclusion in EPA’s FY 2011 Performance and Accountability Report (PAR).

18 HQ pulls 4th quarter FY 11 final accomplishment and financial data from CERCLIS for non-GPRA targets.

NOVEMBER 2011

8-10 Superfund (SF) National Policy Managers Meeting

Early Assistant Administrator (AA)/Regional Administrator (RA) Priorities Meeting for FY 12

Early Agency publishes Performance and Accountability Report for FY 11

14 Regions revise CERCLIS to reflect GPRA performance goals, and program targets/measures for FY 12.

Late Nov Office of Management and Budget (OMB) passback of FY 12 budget request

DECEMBER 2011

Early/Mid Dec

Agency appeal of the OMB FY 12 budget passback

Mid/Late Dec

Office of Superfund Remediation and Technology Innovation (OSRTI) sets targets for national remedial pool deobligations.



JANUARY 2012 QUARTER 2 (FY 12)

9 Superfund Comprehensive Accomplishments Plan (SCAP) Pull for 1st Quarter FY 12 accomplishments and financial data – close of business (COB) 5th working day of the month

20 Regions submit draft deobligation plans to OSRTI

Late OSRTI issues Pipeline operations Site Allowance resources to regions

Late Jan/ Early Feb

HQ pulls 1st quarter data for Quarterly Management Report (QMR).

FEBRUARY 2012

6 President submits FY 13 budget request to Congress

Mid Feb National Program Managers (NPM) issue draft National guidance for FY 2013

Early/Mid March

MARCH 2012Send Mid Year Work planning memo

26 NPMs issue National Program Guidance for FY 2013

APRIL 2012 QUARTER 3 (FY 12)

6

9

Data Entry for 2nd quarter accomplishments and financial data from CERCLIS and provides for:1) Special program reports2) Mid-Year Work Planning evaluation3) OSRTI 2nd quarter data pulls

MAY 2012

Mid

Late

Annual Goal Team Meetings with Deputy Administrator on FY 12 progress and FY 13 priorities

NPMs meet with the Administrator to review FY13 program goals

Late OSRTI/Office of Site Remediation and Enforcement (OSRE) send work planning memorandum to regions on proposed budgets, GPRA annual performance goals and program targets/measuresfor FY13



JUNE 2012

1-30 Regions update schedules and financial information in CERCLIS for FY 13, FY 14, and FY 15 in preparation for work planning meetings

Mid/Late June

HQ presents FY 13 Superfund goals and priorities and FY 14 investments to the Administrator and Regional Administrators

Mid/Late June

Administrator and Office of the Comptroller (OC) provide HQ program offices and regions with policy for FY 14 budget formulation

Late NPMs/regions begin bidding process for FY13 accomplishments

JULY 2012 QUARTER 4 (FY 12)

2 Regions draft commitments due in the Annual Commitment System (ACS)

9 OSRTI pulls planning information from CERCLIS:1) to support FY 13 and FY 14 budget request2) to prepare for FY 14 work planning3) Quarterly Management Report

9 OSRTI pulls 3rd quarter accomplishment and financial data from CERCLIS.

9 Enforcement provides:1) Special program reports 2) 3rd quarter performance evaluations

Early/Mid July

NPMs submit proposed FY 14 budgets to Office of the Chief Financial Officer (OCFO)/Administrator

Mid July HQ program offices and lead regions make presentation to Administrator/Deputy Administrator on FY 14 program priorities [FY 14 Budget Forum]

Late July Administrator passback of FY 14 budget request



AUGUST 2012

Early August HQ/regions begin work planning sessions on the final FY 13 GPRA annual performance goals and program targets/measures and budget

Mid August Agency develops FY 14 budget for submission to OMB

7 HQ pulls CERCLIS data to assist in preparation of the FY14 budget to OMB

Late August Final revisions to FY 14 Annual Performance Goals (APG) and Annual Performance Measures (APM) due to OCFO

Mid NPMs begin drafting FY2012 Annual Performance Report

SEPTEMBER 2012

10 Agency submits FY 14 budget to OMB

Mid Final GPRA commitments due in the Budget Automation System (BAS)



FY 13

OCTOBER 2012 QUARTER 1 (FY 13)

8 HQ pulls 4th quarter FY12 accomplishment and financial data from CERCLIS and provides for:1) Special program reports2) Initial FY 12 end-of-year Program Assessment3) Quarterly Management Report

8 HQ pulls 4th quarter FY 12 final accomplishment data from CERCLIS for review of end-of-year GPRA accomplishments and inclusion in EPA’s FY 2012 Performance and Accountability Report

15 HQ pulls 4th quarter FY 12 final accomplishment data from CERCLIS for non-GPRA targets.

NOVEMBER 2012

7 Regions revise CERCLIS to reflect GPRA performance goals and program targets/measures forFY 13

Early Nov SF National Policy Managers Meeting

Mid/Late Nov

Agency publishes Performance and Accountability Report for FY 12

Late Nov OMB passback of FY 13 budget request

Late Nov AA/RA Priorities Meeting for FY 13

Late Nov Agency appeal of the OMB FY 13 budget passback

DECEMBER 2012

Mid Dec OSRTI sets targets for national remedial pool deobligations

JANUARY 2013 QUARTER 2 (FY 13)

8 SCAP Pull for 1st Quarter FY 13 accomplishments and financial data - 5th working day of the month

Mid Regions submit draft FY 13 deobligation plans to HQ

Mid OSRTI issues Pipeline Operations Site Allowance resources to regions



FEBRUARY 2013

4 President submits FY 14 budget request to Congress

Mid NPMs issue draft program guidance for FY14

MARCH 2013

Early Call for Mid Year work planning

Late NPMs issue final National Program Guidance for FY 14

APRIL 2013 QUARTER 3 (FY 13)

8 OSRTI pulls 2nd quarter accomplishment and financial data from CERCLIS and provides for:1) Special program reports2) Mid-Year Work Planning evaluation3) Quarterly Management Report

MAY 2013

Late OSRTI/OSRE send work planning memorandum to regions on proposed budgets and GPRA annual performance goals and program targets/measures

Mid Annual Goal Team Meetings with Deputy Administrator on FY13 progress and FY14 priorities

Late NPMs meet with the Administrator to review FY14 program goals

JUNE 2013

1-30 Regions update schedules and financial information in CERCLIS for FY14, FY15, and FY16 in preparation for work planning meetings

Mid OSWER presents FY14 Superfund goals and priorities and FY15 investments to the Administrator and Regional Administrators

Mid/Late June

Administrators and OC provide HQ program offices and regions with policy for FY 15 budget formulation

Late NPMs/regions begin bidding process for FY14 accomplishments



JULY 2013 QUARTER 4 (FY 13)

1 Regions draft commitments due in BAS

8 OSRTI pulls planning information from CERCLIS:1) to support FY 14 and FY 15 budget request2) to prepare for FY 14 work planning

8 OSRTI pulls 3rd quarter accomplishment and financial information from CERCLIS.

8 Enforcement provides:1) Special program reports2) 3rd quarter performance evaluations

Early/Mid July

NPMs submit proposed FY 15 budgets to OCFO/Administrator

Mid HQ program offices and lead regions make presentations to Administrator/Deputy Administrator on FY 15 program priorities [FY 15 Budget Forum]

Late Administrator passback of FY15 budget request

AUGUST 2013

7 Agency pulls CERCLIS data to assist in preparation of the FY15 budget to OMB

Early HQ/regions begin work planning sessions on the final FY14 GPRA annual performance goals and program targets/measures and budget

Mid NPMs begin drafting FY13 performance report

Mid Agency develops strategy for presenting the FY 15 budget to OMB

Late Final revisions to FY 15 APGs and APMs due to OCFO

SEPTEMBER 2013

9 Agency submits FY 15 budget to OMB

Mid Final GPRA commitments due in BAS





FY 12 SPIM Acronyms - 1 March 20, 2012


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March 20, 2012 Acronyms - 2 FY 12 SPIM




AA OECA Assistant Administrator for the Office of Enforcement and Compliance AssuranceAA OSWER Assistant Administrator for the Office of Solid Waste and Emergency ResponseAA Assistant AdministratorACS Annual Commitment SystemADR Alternative Dispute ResolutionAH Allowance HolderAH/RC Allowance Holder/Responsibility CenterAO Administrative OrderAOC Administrative Order on ConsentAPA Abbreviated Preliminary AssessmentAPR Annual Performance ReportAR Administrative RecordARD Assessment and Remedial DivisionARRA American Recovery and Reinvestment ActATSDR Agency for Toxic Substances and Diseases RegistryBAS Budget Automation SystemBC Budget CoordinatorBCP Base Realignment and Closure (BRAC) Cleanup PlanBCT Base Cleanup TeamBFPL Bona Fide Prospective LesseeBFPP Bona Fide Prospective PurchaserBFY Budget Fiscal YearBOC Budget Object ClassBPEB Budget, Planning and Evaluation BranchBRAC Base Realignment and ClosureCA Consent Agreement; Cooperative AgreementCAG Community Advisory GroupCARE Community Action for a Renewed EnvironmentCAS No. Chemical Abstract Services NumberCBD Commerce Business DailyCBORT Compass Business Objects Reporting ToolCC Construction CompletedCCDS Case Conclusion Data SheetCD Consent DecreeCDR Covenant Deferral RequestCDW Compass Data WarehouseCEI Community Engagement InitiativeCERCLA Comprehensive Environmental Response, Compensation, and Liability Act of

1980CERCLIS Comprehensive Environmental Response, Compensation, and Liability

Information SystemCERFA Community Environmental Response Facilitation ActCFC Cincinnati Finance Center



CFMC Cincinnati Financial Management CenterCIC Community Involvement CoordinatorCIP Community Involvement PlanCIPIB Community Involvement and Program Initiatives BranchCLP Contract Laboratory Program CMD Corrective Measure DesignCMI Corrective Measure ImplementationCMS Corrective Measure StudyCO Contracting Officer COB Close of BusinessCOC Contaminants of ConcernCOI Conflict of InterestCOR Contracting Officer RepresentativeCPARS Consolidated Payroll Reporting SystemCPO Contiguous Property OwnerCPRM Cross Program Revitalization MeasureCPS Contract Payment SystemCWA Chemical Warfare ActCWM Chemical Warfare MaterialDA Deputy AdministratorDCN Document Control NumberDD Division DirectorDERP Defense Environmental Response ProgramDNPV Decision Not to Pursue ViolationsDoD Department of DefenseDOE Department of EnergyDOJ Department of JusticeDPO Deputy Project OfficerDRA Deputy Regional AdministratorDS Data SponsorE.O. Executive OrderEAS EPA Acquisition SystemEBS Environmental Baseline Survey EE/CA Engineering Evaluation/Cost AnalysisEFY End of Fiscal YearEI Environmental IndicatorEJ Environmental JusticeEPA Environmental Protection AgencyEPA ID EPA Identification Number EPCRA Emergency Planning and Community Right to Know Act of 1986EPM Environmental Programs and ManagementEQR EPA Quarterly ReportERR Emergency Response and Removal



ERRS Emergency and Rapid Response Services ERS Eligible Response SitesESAT Environmental Services Assistance Team ESCA Environmental Services Cooperative AgreementESD Explanation of Significant Differences ESI Expanded Site Inspection ESI/RI Expanded Site Inspection/Remedial Investigation FAD Final Assessment Decision FAS Field Analytical Sampling FCOR Final Close-Out ReportFDMS Federal Docket Management SystemFDW Financial Data Warehouse FE Federal Enforcement FE&C Federal Enforcement and ComplianceFF FYR Federal Facility Five Year Review FF Federal FacilityFFA Federal Facility Agreement FFEO Federal Facilities Enforcement OfficeFFERDC Federal Facilities Environmental Restoration Dialog CommitteeFFLC Federal Facility Leadership CouncilFFRRO Federal Facilities Restoration and Reuse OfficeFMD Financial Management Division FMFIA Federal Managers Financial Integrity Act FMO Financial Management Office FOIA Freedom of Information ActFOSET Finding of Suitability to Early TransferFOSL Finding of Suitability to Lease FOST Finding of Suitability to TransferFPDS-NG Federal Procurement Data Systems’ New GenerationFPS Fellowship Payment SystemFS Feasibility Study FTE Full-time Equivalent FUDS Formerly Used Defense Site FUSRAP Formerly Used Site Remediation Action ProgramFWS U.S. Fish and Wildlife ServiceFY Fiscal Year FY/Q Fiscal Year/QuarterFYR Five Year Review GAAP Generally Accepted Accounting PrincipleGAD Grants Administration Division GAO General/Government Accountability Office GFO Good Faith Offer GICS Grants Information Control System



GIS Geographic Information SystemGM Ground Water ManagementGNL General Notice Letter GPAS Grants Payment Allocation SystemGPRA Government Performance and Results Act GSA General Services AdministrationGWMUC Groundwater Migration under ControlHE Human ExposureHEID Insufficient Data to Determine Human Exposure Control StatusHENC Human Exposure Non Under ControlHEPR Human Exposure Under Control and Protective Remedies in PlaceHEUC Human Exposure Under ControlHHPA Human Exposure Under Control and Long Term Human Health Protection

Achieved.HQ Headquarters HRS Hazard Ranking System IA Interagency AgreementIAA Interagency Assisted AcquisitionIASSC Interagency Agreement Shared Service CenterIC Institutional ControlICI Integrated Cleanup InitiativeICIS Integrated Compliance Information System ICTS Institutional Control Tracking System IFMS Integrated Financial Management System IG Inspector General IGCE Independent Government Cost EstimateIGMS Integrated Grants Management SystemIMB Information Management Branch (OSRTI) IMC Information Management CoordinatorIRMS Integrated Resource Management SystemISM Interim/Stabilization MeasureIT Information TechnologyJTI Job Training InitiativeKPI Key Performance IndicatorLGR Local Government ReimbursementLTRA Long Term Response ActionLVFC Las Vegas Finance CenterM&O Management and OperationsMAAC Maximum Amount Appropriate for CompensationMC Munitions ConstituentsMEC Munitions and Explosives of ConcernMIPR Military Interdepartmental Purchase RequestMM/DD/YY Month/Day/Year



MMRP Military Munitions Response ProgramMOA Memorandum of AgreementMOU Memorandum of UnderstandingMRS Munitions Response SiteMS Mega SiteNCP National Contingency Plan; National Oil and Hazardous Substances Pollution

Contingency PlanNEPA National Environmental Policy ActNFFA No Further Federal Action NFRAP No Further Remedial Action Planned NOA New Obligating AuthorityNOAA National Oceanic and Atmospheric Administration NOID Notice of Intent to DeleteNOIPD Notice of Intent to Partially DeleteNPL National Priorities List NPM National Program Manager NRC National Response Center; Nuclear Regulatory Commission NRT National Response TeamNTC Non-Time Critical NTCRA Non-Time Critical Remedial/Removal ActionO&F Operational and Functional O&M Operation and Maintenance OAM Office of Acquisition Management OARM Office of Administration and Resources Management OB Office of BudgetOB/OD Open Burn/Open DetonationOC Office of Compliance; Office of the ComptrollerOCA Other Cleanup Activity OCFO Office of the Chief Financial Officer OCIR Office of Congressional and Intergovernmental AffairsOECA Office of Enforcement and Compliance Assurance OEI Office of Environmental InformationOEM Office of Emergency Management OERR Office of Emergency and Remedial ResponseOFM Office of Financial ManagementOGC Office of General Counsel OGD Office of Grants and DebarmentOIG Office of the Inspector General OMB Office of Management and Budget OPA Office of Public Affairs; Oil Pollution Act of 1990OPS Operating Properly and SuccessfullyORC Office of Regional CounselOSC On-Scene Coordinator



OSRE Office of Site Remediation and Enforcement (OECA) OSRTI Office of Superfund Remediation and Technology InnovationOSWER Office of Solid Waste and Emergency Response OU Operable Unit PA Preliminary AssessmentPAD Public Affairs DirectorPAR Performance and Accountability ReportPAT Performance Assessment ToolPCOR Preliminary Close-Out Report PECB Program Evaluation & Coordination Branch (OSRE) PFP Protective for People Under Current ConditionsPIN Procurement Initiation NotificationsPLA Prospective Lessee AgreementPOC Point of ContractPOLREP Pollution ReportPPA Prospective Purchaser Agreement PPED Policy & Program Evaluation Division (OSRE) PPL PeoplePlusPR Procurement RequestPRC Program Results CodePRN Pre-Referral/Remedial NegotiationPRP Potentially Responsible PartyQA Quality AssuranceQRG Quick Reference GuideRA Regional Administrator; Remedial ActionRAB Restoration Advisory BoardRAC Remedial Action ContractRAU Ready for Anticipated UseRC Regional CoordinatorRCMS Removal Cost Management SystemRCRA Resource Conservation and Recovery ActRD Remedial Design RD/RA Remedial Design/Remedial Action RFA RCRA Facility AssessmentRFI Resource Conservation and Recovery Act Facility InvestigationRFO Regional Finance OfficeRFP Request for Proposal RI Remedial Investigation RI/FS Remedial Investigation/Feasibility Study RMDS Resource Management Directives SystemROC Remedial Oversight Contract ROD Record of Decision RP Responsible Party



RPIO Responsible Program Implementation OfficeRPM Remedial Project Manager RPO Regional Project Officer RRT Regional Response Team RTP Research Triangle Park SA Superfund AlternativeSAA Superfund Alternative ApproachSAM Site Assessment ManagerSARA Superfund Amendments and Reauthorization Act of 1986SB/RTC Statement of Basis/Response to Comments SCAP Superfund Comprehensive Accomplishments PlanSCDS Superfund Comprehensive Data SourceSCORPIOS Superfund Cost Recovery Package and Image On-Line System SDMS SEMS Document Management System SDWA Safe Drinking Water ActSEMS Superfund Enterprise Management SystemSEP Supplemental Environmental ProjectSFO Servicing Finance Office SI Site Inspection SIP Site Inspection Prioritization SME Subject Matter ExpertSMOA Superfund Memorandum of AgreementSNC Substantial Non-ComplianceSNL Special Notice Letter SOL Statute of Limitations SOW Statement of Work SPIM Superfund Program Implementation ManualSPITS Small Payment Information Tracking SystemSRO Senior Responsible OfficialSSAB Site-Specific Advisory Board SSC Superfund State Contract SSID Site/Spill Identification CodeSTART Superfund Technical Assistance and Response TeamSWRAU Sitewide Ready for Anticipated UseTAG Technical Assistance GrantTAPP Technical Assistance for Public ParticipationTASC Technical Assistance Service for CommunitiesTC Time CriticalTDD Technical Direction DocumentTSD Treatment, Storage, and Disposal Facility UAO Unilateral Administrative Order UMTRCA Uranium Mill Tailings Radiation Control ActUSACE United States Army Corps of Engineers



USCG United States Coast Guard UST Underground Storage Tank VCMA Volume of Contaminated Media AddressedVCP Voluntary Cleanup ProgramWA Work AssignmentWEBOS Web Order SystemWL Windfall LienWQ Bulk Funding


FY 12 SPIM Organizational Charts - 1 March 20, 2012


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March 20, 2012 Organizational Charts - 2 FY 12 SPIM




Office of Solid Waste and Emergency Response Federal Facilities l

Restoration & Reuse Office I Reggie Cheatham, Director

Brendan Roache, Acl Dep_ Oir

Innovat ion Partnership & Communication Office

Marsha Minter, Director

Center for Program Analysis

Brigid Lowery, Director

Re-sou.rces Management Division

Robin H. Richardson Div. Dir.

Assessm-ent & Remediation

6nvironmen.tal Response Team David Wrign~ Chief

H.any Compton. DBC (East) NJ Oennisses Valdes, DBC (West) NV

IMMEDIATE OFFICE OF THE ASSISTANT ADMINISTRATOR

Mathy Stanislaus, AA Bany N. Breen, PDAA

Lisa Feldt, DAA

organizational Management & Integrity Staff

Lora C utver, Director PMO

Office of Progra~ Management

Information Management & Data Quality Staff

Stephen Schmitt, Director IMO

Barbara H.ostage, Act. Dir.

Policy Ana lysis & Regulatory

Management Staff Gerain Perry, Act Dir. l

Mat<!rials Recovery & Waste M anagement Div. Rabat Oeninger. Director

Resoul"ce Cons.ervation & S uslainabifity Div.

Betsy Smidnger. Director

Program Implementation & Information Division James Berlow, Ofi!<:tor

Management &

Communications Division

Judy Kettel>!'r. D~

Release Prevention Division

Unda Gerber. Act. CKectcr

Cleanup and Revitalization Divis.ion

Wili.-.m Anderson. Act. Director

SIO

Acquisition & Resources Management Staff Sue Priftis, Director

SBO

Homeland Security Laboratory R~pons~ C@n~r

Schat:zi Fttz.James. Team Leader

Business Oper;>tions Center

Dana St.llctJp, Director

N;olion.al Planning & Preparedness Division Mark Mjon.,ss. Director

Revised December S, 2011

National Decontamination Tum Erica Canzler, Difecior

Program Operations & Coon:Hnation Oiv;sion

Gilt>Mo Irizarry. Oil.

Evaluation &

Communications Division

VICtoria van Roden. Oir.

R"gui<Jtion & Policy o .. ...,lopmenl Division

R C raig Matth~sen. Dir.



Office of Superfund Remediation and Technology Innm·afion

J....Wuwru.)- Ja.mt."$ ~"'oollord, Di.Nftor Thu Willi.am• f>p•dal A•siuu.t Boron John.•on, Deputy DirK tor Spuial Assiuut

I I Resources I edmologr lw!o\11tiou A~st'SSmtnt and

~!nn::~~geme.nt Dirision - :tnd Field Secrric"' Di..-ision - Runodi.~tioo Di..-ision

Robin H. Ridurdson, Dirortor JtJfHoimullllln, Arlin~ Dirortor I:liubeth Southerland. Dirortor

Cheryl t:ptou, A .. odote Dire<lor D:~n3 S talcup) .\C'tiJI: A s$oci2te Dire-ctor Phylli. Anderson, A.ssoriato Dirertor

Site .-\ssosm>enl ond - Bum:tn R•sou_rr.t-s Br:~ncb .\nolytiul Se.r..-iru Branch - Remec!J· Ded•ions Branch

Connie Andnw., Chief - ~1el•nie Hoff, Chid Dou!:l•• Ammon, Chief

CoiDIDuwty In..-olnmont and Coorrorm L\lan.a~emeol Broncb T.,rbnolos:;r lnte~:rorion and - Pro:ram lniriati-rt-s Bra.ot'h

,...- Barbaro 1\!cDonou~b, Chief - lnform"rion Broncb Su1anuo Wells, Chief

Dau Po'l\"oll, Chiof Lorry Zaroc:ou, As.oriot• Chief

- lnformo tiou L\bu • ~ement Branch Patricio C..wlud, Chief Conslrucrion and Poo;a-Construction

Chorle• Sonds, Associate Chief - - 1\bnoc:emeut Branch T e-rbnolo~:r .-\.s'S en me:nt Branch CN~oey C.n·ais. Chief D•uid E. Coop•r, Chief

John J . Smith, A"'oriate Chief

Budr;et, Plolllliu~: ond I:nluotioo Branch - .-\rt Flaks, Chief .\lao Youtt.I .. , Assori210 Chief

Eo,ironmeni:ll RHpoo~e T eom Da rid " 'ri,ht, Chio£ - Science Polic-y Brouh

- Harry Comptou. Deputy Chief (I:AST) Helen Dan-•on. Chief D•lllli" "' \ 'old.,, Deptuy Cbi•f <"1"-ST)

08130/JJ



Federal Facilities Enforcement Office (FFEO)

Director. David Kling 000 (A ): Ame Heald

I I Office of Compliance Office o f Civi.l

(OC) Enforcement (OCE)

Director: Usa C. l.lJnd Directoc (A ): Pam DO~ David A. Hindin Mazakas

AD: Mamie 1\.tllef" DOD: Pam Mazakas AD: John P. Fogarty

! ! Enforcement Targeting N r Enforcement Division

tl1d Data Division (ETDD) (AED) Director: John Oiredor: Phillip Brooks Dombrowski ID Matthew W . tvlooison

DO~ Lucy Reed ID Apple Chapman

Monitoring Assistance Special Uligation and and Media Programs Projects Division (SlPD)

DMsion (MAMPD) Director: Bernadette Director (A ): Rappold Ed Messina A~ Susan O'Keefe

ODD: Rick Duffy ODD: AM Pontius Waste and Chemical

EnlorcemerX Division National Enforcement (WCEO)

Training Institute Division Director: Rosem:~rie (NETI) Kelley

Director: Mike Walker A~ Don Loll DO: Michael Richaldson

AD: Deborah Hanlon AD (A): Kenneth Schefski

Water Enfaroernent Planning, Measl.l"es and DMsion (WED)

Oversight Division Director: Mark Polins (PMOD) ODD: K:~te Andernon Director: AD (A ): Greg Snyder

Christopher Knopes ODD (A ): Daniel Palmer

Immediate Office

Assistant Administrator: Cynthia Giles

PDAA: Lawrence Starfield

DAA: Steve Chester Offtce of Environmental

r-- AAA-EJ: Lisa Garcia r--Justice (OEJ)

Directoc (A): Heathef" Case

DAAA-EJ : Cha~es lee 000 (A): Kent Benjamin AD: Vacant

I I I Office of Crim inal Office of Administration Office of Site

Enforcement, Forensics and Policy (OAP) Remediatio n Enfor-cement and Tra ining (OCEFT) (OSRE) Director. Henry Barnet Director (A): Mark Diredor: Bliott Gilberg

DOD (A ): Michael R. Fisher Badalamente DOD (A): Ken Patterson AD: Ella R. Barnes DOD (A): Kenda Layne

AD: Jonathan S. Cole

l ! ! Criminal Investigation Adminislrntion Management Po~cy and Program

DNision (CID) Division (AMD) Evaluation Division (PPEO) Oirectoc (A): Doug Palller Direcmr : Deborah Caution Director: Monica Gardner

ODD (A ): Ed Goodwin DOD (A ): Helena Healy AD: V acant

Budget and Flrll!l1cial

Field Operations Progarn Management Division Regional Support Division

(FOP) (BFMO) (RSD)

Director: steven c. Olielak Director: David SWack Directoc (A ): Karin lefl

DDO: Ted J . stanich ODD (A): Benjamin Lammie

Information Technology Division (ITO) Program Operntion staff

Legal Counsel Division Director (A ): Kenda Layne (POS) (LCD) Or ector: Lat.ra Milton

Director (A): Policy and Legislative Thomas J . Seaton Coordination Division

ODD (A ): John Gregory (PLCO) Director: Caroline Ahearn

National Enforcement Investigations Center

(NBC) Director: Carol Rushin DD~ Tom Nonis

PDAA ; Principal Oepo..ty Assistant Administrator

Revised December 20, 2011

I Office of Fedet"al Activities (OFA)

Director. Susan Bromm DOD: Kimbeftey DePaul AD: Chetyl Wasserman

l lntematiooal CompfiWlce

Assurance ~on (ICAD) Director: Robert Heiss

NEPA Compliance Division {NCO)

Director: Cliff Rader

nd ce A)



.;;:,. '....__

OFFICE OF EMERGENCY MANAGEMENT

, ~ O f fli ce of Emergency

Management Dana T ul is, .A. ct. D iT.

l\•1la r .:lAnn P etrole. A ct. Dep _ D i r_ ,

aome-1\and Se-curi t y Labora.t o ry Nation a l R e :s p o .n.se C e <f""llf.e r I-- 10 e .-con t arniin.ati on T e a n 'l

c hatzi F it.z-Jarnes. TeaJI"'Yl L eader S=~~ li-h .Jd son.. A ct. D i.ce-c t c ;r ..-'

B u s .i.n e-s:s O p e r .at rons Pro g r ;a m 0 p oe- r a t i ons & C ent e r - - Co.ordiinatic:u~ D i>.'ii :si o n

Dana S tal cuu. D irector G i f b-e rto l r .iza:rry. D i ll".

.,-

l Nalti o n a l Planning & E va. I uation &

C om ~m~u.nicatio·nrs Prepa~re-dnes s O iivis ion - - D h r i s iio n r.1a:rk 'l'..<ljon:-e -ss .. 10ir.e c.1:or

I

K .a thleen Jones. Director __./

--1 Reg ul a ti on & Po l ic!Jf

De·· .. ·e lop me n t Dh.risiion IR . Cra ig ~ .. 1a'tthiessen . D ir_

--"'


FY 12 SPIM Summary of Changes - 1 March 20, 2012


Summary of Changes


March 20, 2012 Summary of Changes - 2 FY 12 SPIM




Summary of Changes to FY 12 SPIM

SPIM LeadsRenee Hamilton – Chapters XI, XII and Appendix DJennifer Hovis – Chapters V – VIII Keriema Newman – Chapters I – IV, IX and X

The most notable changes to the SPIM include:- The first three Chapters have been reorganized now into four Chapters:

- Chapter I - Introduction; - Chapter II - Discussion on the program's performance, measures (Government

Performance and Results Act (GPRA), the Annual Commitment System (ACS)system), planning and reporting requirements

- Chapter III - Financial management; and - Chapter IV - All things related to the Comprehensive Environmental Response,

Compensation and Liability Information System (CERCLIS)

- The Appendices remain structured by program / program component but have been titled as Chapters. The order by which they are in the document has also been modified:

- Chapter I: Introduction- Chapter II: Performance Measures, Planning and Reporting Requirements - Chapter III: Financial Management- Chapter IV: CERCLIS Data Management and CERCLIS Codes- Chapter V: Site Assessment / National Priorities Listing (NPL) Listing - Chapter VI: Removal Program- Chapter VII: Remedial Program- Chapter VIII: Federal Facility Program- Chapter IX: Enforcement - Chapter X: Community Involvement - Chapter XI: Information Systems - Chapter XII: Records and Information Management

- Appendix A: New Initiatives/New Requirements - Appendix B: Regional and Headquarters Contacts- Appendix C: 2012 Work Planning Memorandum- Appendix D: American Recovery and Reinvestment Act (ARRA)

- The familiar content of the Appendices remain.

- Each program's (remedial, federal facilities, removal and enforcement) external reporting measures are grouped together and presented in one table in Chapter II.Additionally, a separate table summarizing each program's key measures and targets



remain in each of the respective chapters; this table includes internal and external measures.

- The tables/exhibits of subject matter experts, data sponsors, contacts, etc. will be centralized and organized in one location instead of throughout the text. Also the tables will be organized according to subject rather than by individuals. This will make it easier to make revisions to individuals and/or their contact information because the information is located in one place.

- Appendix G (GPRA) has been removed and those sections are streamlined and incorporated into the text of Chapter II in the discussion of GPRA, Strategic Plan, and Annual Commitment System, etc.

- The annual work planning Memorandum will be added as an Appendix to the SPIM

- New and future Superfund Initiatives or Requirements are included as an Appendix instead of in the Introduction

- ARRA will remain as an appendix, because it will be phased out of the SPIM in future years.

Additional summary level changes can be seen in the sections below for each chapter. In addition to these changes, there were other minor edits and corrections made throughout.

Chapter I: Introduction- Deleted Section on Principles for Superfund Cleanup in 21st Century- Deleted Superfund Initiatives and added it as appendix- Moved the Chapter II description of Superfund National Response and Enforcement

programs into Chapter I

Chapter II: Performance Measures, Planning and Reporting Requirements- The performance measures, planning and reporting requirements were split out and made

separate from Financial Management (all topics financial management related were moved; financial management is its own chapter, titled Chapter III)

- Summary table added to include each of the individual program’s external reporting measures (removal, remedial, federal facilities and enforcement); the table includes citations on how and where the measures are reported; the table is followed by complete descriptions of the measures for each program

- Most of the language from Appendix G about the Strategic Plan, GPRA, the Annual Performance Plan, the Performance and Accountability Report was incorporated into Chapter II and Appendix G has been removed

- Added description of ACS and the Integrated Compliance Information System (ICIS)- Moved the Chapter II description of Superfund National Response and Enforcement

programs into Chapter I - The chapter was revised to include more details about the work planning process,

reporting cycle for the current year, upcoming year, and end of year accomplishments



Chapter III: Financial Management- Discussion of all things financial management related have been moved and are included

in Chapter III (contracts, Interagency Agreements (IA), Cooperative Agreements (CA),and Technical Assistance Grants (TAG), financial management tools, allocation of resources to the region for each program, and other special financial management topics like – indirect costs, annual allocation, deobligations, and bulk funding)

- Discussion of the financial management tools has been revised to address Compass- Superfund State Contracts has its own Section- Special Accounts has its own Section- All CERCLIS discussions (CERCLIS data requirements, CERCLIS Action leads codes,

CERCLIS data roles and responsibilities for regions/HQ) moved to its own chapter, Chapter IV.

Chapter IV: CERCLIS Data Management and CERCLIS Codes - All things CERCLIS related have been included in this chapter (CERCLIS data

requirements, CERCLIS action leads codes, CERCLIS data roles and responsibilities for regions/HQ)

- Discussion of the Budget, Planning and Evaluation Branch (BPEB) and Information Management Branch (IMB) added to the CERCLIS roles and responsibilities section

- The Program Results Codes (PRCs) have been updated to reflect the changes due to Compass and Strategic Plan

- Financial management tools section have been revised to address Compass- More detailed discussion about program priority codes, takeovers, coding of takeovers,

phased projects, anomalies

Chapter V – Site Assessment/NPL Listing (formerly Appendix A)- Addresses new Strategic Plan measure- Restructured chart showing internal/external reporting measures- New Resource Conservation and Recovery Act (RCRA) ID field mentioned for cross-

program consistency- New Assessment Complete – Decision Needed qualifier added- Additional details on Other Cleanup Activity action- Deleted references to Tribal Association on Solid Waste and Emergency Response

(TASWER) Survey Site indicator - Updated subject matter expert (SME) chart and moved to the new Appendix B- Other minor edits and corrections

Chapter VI – Removal Program (formerly Appendix F)- Deleted Homeland Security section- Restructured chart showing internal/external reporting measures- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections



Chapter VII – Remedial Program (formerly Appendix B)- Deleted Current Program Priorities section to narrow focus - Restructured chart showing internal/external reporting measures- Consolidated references to Superfund Alternative and Special Account guidance, rather

than citing after each activity- Added definition of completion for Remedial Investigation (RI), Feasibility Study (FS),

and RI/FS- Deleted RI/FS Duration since this is a calculated value, not a separate measure- Updated several activities to be consistent with new Close Out Procedures guidance (RA,

CC, deletion, etc.)- Added Final Inspection by EPA SubAction to support new RA measure- Renamed Completion of a Response Action to Remedial Action Completion for

consistency with new RA measure- Edited FYR sections for improved clarity- In the Data Entry Timeliness Requirement table for each action, lengthy text on

timeliness was moved out of table and pasted as narrative above it, in order to shorten the table (doing this for every action significantly shortened the appendix as a whole)

- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections

Chapter VIII – Federal Facility Program (formerly Appendix D)- Restructured chart showing internal/external reporting measures- Updated several activities to be consistent with new Close Out Procedures guidance

(Remedial Action (RA), Construction Completion (CC), deletion, etc.)- Made all Cross Program Revitalization Measure (CPRM) language consistent with text in

Chapter VII- Described new rules on due date for late Federal Facility Five Year Reviews (FYRs)- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections

Chapter IX – Enforcement (formerly Appendix C)- Added a Data Entry Timeliness Requirement for each action definition- Updated and moved the FY12 Enforcement GPRA goals and measures to the beginning

of the chapter- Modified the definition of and Definition of Accomplishments for Pre-Remedial

Enforcement Action at Superfund Sites- Restructured chart showing internal/external Enforcement Activities- Modified the title for Criteria for Credit of Enforcement Activities at Superfund

Alternative Sites to: Targets and Measures at Superfund Sites and Superfund Alternative Approach Sites and modified the language in the definition

- Added measure for Compliance Tracking- Modified and added language to the Total Response Commitments (Including Dollar

Value) - Definition of Accomplishment to include the conclusion of a section 106, or

Section 106 and 107 judicial action judgment and conclusion of a claim in bankruptcy



- Description of how Total Response Commitments will be reported- Description of an active enforcement

- Added language to the Total Cost Recovery Settlements (Including Dollar Value) - Definition of Accomplishment to include the conclusion of a Section 106, or

Section 106 and 107 judicial action judgment and conclusion of a claim in bankruptcy

- Description of Site Lead Action Qualifier of Multi-Site-First Site (MF) or Multi-Site-Subsequent Site (MS) settlements to covering multiple sites without double counting

- Removed the Recoverable Past Costs That Have Been Addressed by Program to Date Via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy definition

- Removed the Number and Amount of CERCLA Supplemental Environmental Projects (SEPs) definition

- Added language about Compass to the Deposits to Special Accounts definition- Added a Reclassification of Special Account Funds definition- Modified language in the Closure of Special Accounts definition - Added language to the Management of Special Accounts and modified the Instruction

Guide for Entering Planning Data in the CERCLIS Superfund Special Accounts Management Screen

- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections

Chapter X – Community Involvement (formerly Appendix H)- There have not been any major changes to the community involvement chapter measures- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections

Chapter XI – Information Systems (formerly Appendix E)- Updated and expanded the Superfund Enterprise Management System (SEMS) section to

address rollout and integration status- Moved the Freedom of Information Act (FOIA) section to Chapter XII- Updated SME chart and moved to the new Appendix B- Other minor edits and corrections

Chapter XII – Records and Information Management (formerly Appendix I)- Changed the name from ‘Superfund Documents’ to ‘Records and Information

Management’ - Modified the SEMS Document Management System (SDMS) section to refer to SEMS

and the new environment- Included the FOIA section moved from the Information Systems Chapter- Other minor edits and corrections

Appendix A – New Initiatives/New Requirements- Superfund Initiatives moved from Chapter I to Appendix A- Other minor edits and corrections



Appendix B – Regional and Headquarters Contacts- Updated SMEs were compiled into one appendix

Appendix C – FY2012 Work Planning Memorandum- Change log not applicable

Appendix D – American Recovery and Reinvestment Act (ARRA)- Discussion of the financial management tools has been revised to address Compass- Other minor edits and corrections




CChhaapptteerr II:: IInnttrroodduuccttiioonn





FY 12 SPIM I-i March 20, 2012

CCHHAAPPTTEERR II:: IInnttrroodduuccttiioonn

Table of Contents

I.A Purpose ........................................................................................................................ I-1

I.B Introduction ................................................................................................................. I-2 I.B.1 Superfund Legislative Background ........................................................................... I-2 I.B.2 Description of Superfund Response and Enforcement Programs ............................. I-3

a. Superfund Remedial (303DD2) .......................................................................... I-3 b. Superfund Emergency Response and Removal (303DC6) ................................. I-4 c. Federal Facilities Response (303DC9).............................................................. I-4 d. Superfund Enforcement (501EC7) ..................................................................... I-4 e. Base Realignment and Closure (303D41 and 303D41B4)................................. I-4 f. Federal Facilities Enforcement (501EH2)......................................................... I-5

I.C CERCLIS ..................................................................................................................... I-5


March 20, 2012 I-ii FY 12 SPIM



FY 12 SPIM I-1 March 20, 2012

CHAPTER I: INTRODUCTION

I.A PURPOSEEPA, 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 programaccomplishments and processes for planning and tracking these accomplishments through program targets and measures.

The SPIM is part of EPA’s internal control structure, and, as required by the Comptroller General of the United States through generally accepted accounting principles (GAAP) and auditing standards, this document defines program scope and schedule in relation to budget, and is used for audits and inspections by the Government Accountability Office (GAO) and the Office of the Inspector General (OIG). The SPIM is updated annually but may also be revisedduring the year as needed.

The SPIM is divided into twelve separate chapters. Chapter I offers an introduction ofSuperfund along with descriptions of each of the Superfund programs and the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS). Chapter II describes the Superfund program measures, budget and program planning, and reporting requirements. Chapter III describes the financial management mechanisms within the Superfund program and addresses resource management topics, financial vehicles for obligating resources, systems and tools that manage financial data, Superfund resource allocation procedures, Superfund State Contracts (SSCs), and special accounts. Chapter IV describes CERCLIS which is the Superfund program’s mechanism for planning accomplishments and data tracking system. The CERCLIS chapter defines general and special CERCLIS data elements, including codes used for targeting and reporting accomplishments as well as codes that describe specific budget sources and actions.

The next six chapters highlight program priorities and initiatives and provide detailed information on annual targets for GPRA performance measures and targets for Key Programmatic Measures for Superfund programmatic areas, and for the removal, remedial, and Federal Facility programs. The chapters are given in the following order: Chapter V: Site Assessment/National Priority Listing (NPL), Chapter VI: Removal Program, Chapter VII:Remedial Program, Chapter VIII: Federal Facility Program, Chapter IX: Enforcement, and Chapter X: Community Involvement.


March 20, 2012 I-2 FY 12 SPIM

The last two chapters of the SPIM are Chapter XI: Information Systems and Chapter XII:Records and Information Management. Chapter XI describes the program’s new information management system, the Superfund Enterprise Management System (SEMS), which will combine CERCLIS, the SEMS Data Management System (SDMS), and the Institutional Controls Tracking System (ICTS) into a single system. Chapter XII describes the process of documenting records and information in SDMS/SEMS.

In addition, there are four Appendices that provide supplemental information to the SPIM. Appendix A provides details on new and future data initiatives and data reporting requirements. Appendix B includes subject matter expert and data sponsor contact information for both Headquarters (HQ) and regional offices. Appendix C contains the fiscal year (FY) 2012 Work Planning Memo that identifies the scope and schedule of FY 2012 work planning activities and priorities. Appendix D describes in detail the provisions, reporting requirements, budget execution guidance and financial management as it relates to American Recovery and Reinvestment Act (ARRA).

I.B INTRODUCTION

I.B.1 Superfund Legislative BackgroundCongress passed the Comprehensive Environmental Response, Compensation, and

Liability Act (CERCLA), commonly called Superfund, in 1980. The Superfund program addresses contamination from uncontrolled releases at Superfund hazardous waste sites that threaten human health and the environment. The overarching goals of the program are to ensure the protection of human health and the environment and to maximize the participation of potentially responsible parties (PRPs) in conducting cleanups at sites, also known as "enforcement first." EPA continues to generally address the worst sites first, while balancing the need to complete response actions at all contaminated sites.

Prior to CERCLA, there was no authority for direct federal response to hazards posed by abandoned and uncontrolled hazardous waste sites. Existing environmental laws, such as the Resource Conservation and Recovery Act (RCRA), provided regulatory requirements to address present activities and prevent future catastrophes, but lacked authority to allow federal emergency and long-term responses to past hazardous waste disposal problems.

CERCLA is unique in that it provided the first federal response authority to address the problem of uncontrolled hazardous waste sites. CERCLA, for the first time, required EPA to step beyond its traditional regulatory role and provide response authority to clean up hazardous waste sites.

In October 1986, Congress reauthorized CERCLA by enacting the Superfund Amendments and Reauthorization Act (SARA). SARA included Title III, a freestanding statute that created the Emergency Planning and Community Right-to-Know Act (EPCRA). EPCRA is designed to help communities prepare to respond in the event of a chemical emergency, and to increase the public’s knowledge of the presence and threat of hazardous chemicals. SARA also included the Defense Environmental Response Program (DERP) which authorized the Department of Defense to create a response program similar to EPA’s Superfund Remedial Program.



The major regulatory framework that guides Superfund response efforts is the National Oil and Hazardous Substances Pollution Contingency Plan (NCP). The NCP outlines a step-by-step process for implementing Superfund responses and defines the roles and responsibilities of EPA, other federal agencies, states, tribes, private parties, and the communities in response to situations in which hazardous substances are released into the environment.

The Omnibus Reconciliation Act of 1990, which extended Superfund authority, expired in 1994. Since 1994, many Congressional bills have been advanced to reauthorize the Superfund program, but none have been enacted. Many aspects of the program that have been subject to reauthorization proposals have been addressed through Superfund administrative reform. Through the act of appropriations, SARA authority for the Superfund program has been extended annually. During the 1990s, through various Defense Authorization Acts, Congress has modified provisions of section 120, particularly those related to transfer of contaminated properties.

On January 11, 2002, President Bush signed into law the Small Business Liability Relief and Brownfields Revitalization Act (Public Law 107-188; H.R. 2869). The law provides a new definition of Brownfields as real property, the expansion, redevelopment, or reuse of which may be complicated by the presence or potential presence of a hazardous substance, pollutant, or contaminant. The law expands potential financial and technical assistance for Brownfields cleanup and revitalization, including grants for assessment, cleanup, and job training. In addition, the law provides limited liability relief to certain contiguous property owners and prospective purchasers of contaminated properties, and clarifies the innocent landowner defense to encourage Brownfields cleanup and redevelopment. The law also enhances the roles and funding for state and tribal response programs.

I.B.2 Description of Superfund Response and Enforcement ProgramsThe Superfund budget reflects a continued commitment to implementing GPRA with

emphasis on completing construction at contaminated waste sites and maximizing PRP involvement in site cleanup. Each Superfund Program/Project addresses a different set of goals and priorities to achieve these aims. The following descriptions are adapted from the Agency FY 2011 Program Project Description Book.http://intranet.epa.gov/ocfo/budget/architecture/2010/fy10ppdbook.pdf

a. Superfund Remedial (303DD2)The Superfund Remedial program implements numerous processes to determine the need for and to conduct response actions. These processes include collecting data on sites to determine the need for CERCLA response, adding sites to the NPL conducting or overseeing investigations and studies to select remedies, designing and constructing or overseeing construction of remedies and post-construction activities at non-Federal Facility sites, including returning sites to productive use. Additionally, the Remedial program works closely with states and communities to ensure their meaningful involvement in cleanup decisions and implementation activities. The Remedial program also conducts technical and administrative support activities to assist, monitor, and track response actions to ensure remedies are and remain protective, to provide public accountability, and to recover costs from PRPs, redevelopment functions, participation of states, tribes, and communities in cleanups, and enhancement of response capabilities of states and tribes.



b. Superfund Emergency Response and Removal (303DC6)EPA’s Emergency Response and Removal (ERR) Program responds to chemical, oil, biological, and radiological releases and large-scale national emergencies, including homeland security incidents. More than 250 On-Scene Coordinators and other ERR staff ensure that releases of hazardous substances and oil in the inland zone are appropriately addressed when state and local first responder capabilities have been exceeded or where additional support is needed. They also direct or monitor responses by responsible parties or other agencies. The first priority is to prevent, reduce, or mitigate threats posed by releases or potential releases of hazardous pollutants. The ERR Program prioritizes and provides services to sites that are known to pose greater actual or potential risk to public health and the environment. In carrying out these responsibilities, the ERR Program coordinates with other EPA programs (including the Superfund Remedial Program), other federal agencies, states, tribes, and local governments.

c. Federal Facilities Response (303DC9)The Agency's Superfund Federal Facilities Response Program provides technical and regulatory oversight at Federal Facilities, including Formerly Used Defense Sites (FUDS), to ensure protection of human health and the environment, effective program implementation, and meaningful public involvement, while facilitating restoration and reuse of the properties. The Federal Facilities program provides oversight of removal, remedial, and post-remedial work conducted by other federal agencies; this may include technical assistance, document review, and stakeholder involvement assistance to other federal agencies when their facilities are on the NPL.

d. Superfund Enforcement (501EC7)The Superfund Enforcement program works to ensure that PRPs either clean up contaminated sites themselves or pay for a cleanup performed by others (i.e., EPA, a state, or other PRPs). Superfund enforcement activities include finding the companies or people responsible for contamination at a site; determining whether those PRPs have an ability to pay for the cleanup; maximizing PRP performance of cleanups by negotiating Remedial Design/Remedial Action (RD/RA) and removal settlement agreements or issuing unilateral orders to all appropriate parties; monitoring and ensuring PRP compliance with performance or payment obligations under those enforcement instruments to ensure timely and protective cleanups at Superfund sites; and addressing cost recovery cases where Trust Fund dollars have been used to clean up sites.

e. Base Realignment and Closure (303D41 and 303D41B4)Base Realignment and Closure (BRAC) is an EPA/Department of Defense (DOD) supported reimbursable program carrying out accelerated cleanup at selected BRAC sites with the ultimate goal of providing for rapid economic conversion and redevelopment for the local communities affected by base closure. DOD provides reimbursement to EPA on an annual basis to fund EPA work years (FTEs) for the Agency's participation at selected DOD BRAC installations. EPA's role is to ensure protection of human health, effective program implementation, and meaningful public involvement while facilitating restoration and reuse of DOD's excess properties.



f. Federal Facilities Enforcement (501EH2)The Federal Facilities Enforcement Office as well as the Federal Facilities Regional Programs ensures that Federal agencies who own sites currently listed on the NPL have an Interagency Agreement (IA) in place to ensure clean up and compliance with Federal environmental statutes and regulations. IA's are also referred to as Federal Facilities Agreements (FFAs). The following is a detailed list of activities supporting this program.

- Developing CERCLA guidance and policies for the Federal Facilities Enforcement program;

- Negotiating FFAs/IAs with federal agencies whose sites are listed on the NPL;

- Monitoring milestones provided in the FFAs/IAs to ensure full implementation;

- Using dispute resolution to ensure full implementation of FFA/IA; and- Assessing stipulated penalties and using supplemental environmental projects

when appropriate.

I.C CERCLISCERCLIS is the Superfund program's accomplishment planning and tracking data

management system. It is the Superfund program's primary data source to answer questions from the public, Superfund stakeholders, Congress, federal and state agencies, and EPA national program managers on the status of Superfund program accomplishments. Regions plan current and outyear site and non-site-specific accomplishments and resource use in CERCLIS as well as use the system to report on actual accomplishments. EPA response and enforcement program activities and milestones as well as state and PRP performance are tracked in CERCLIS. HQ uses CERCLIS data as the basis for tracking, managing, and reporting on national program performance.







Chapter II: Performance Measures, Planning and Reporting ,Requirements





FY 12 SPIM II-i March 20, 2012

CHAPTER II: Performance Measures, Planning and Reporting ,Requirements

Table of Contents

II.A Introduction ................................................................................................................II-1

II.B Performance Goals and Measures.............................................................................II-1

II.B.1 Removal Program Measures ....................................................................................... II-4 a. Superfund-lead removal actions completed annually.......................................... II-4 b. PRP removal completions (including voluntary, Administrative Orders on Consent

(AOC) and Unilateral Administrative Order (UAO) actions) overseen by EPA . II-5 c. Superfund-lead removal actions completed annually per million dollars ........... II-5

II.B.2 Remedial and Federal Facilities Program Measures................................................... II-5 a. Number of Superfund remedial site assessments completed (Site Assessments) . II-5 b. Number of Remedial Action project completions at Superfund NPL sites (Remedial

Action (RA) Projects) ........................................................................................... II-5 c. Annual number of Superfund sites with remedy construction completed (CCs).. II-5 d. Number of Superfund sites with human exposures under control........................ II-6 e. Superfund sites with contaminated groundwater migration under control ......... II-6 f. Number of Superfund sites ready for anticipated use sitewide (SWRAU) ........... II-6 g. Acres “Protective for People Under Current Conditions” (PfP)........................ II-7 h. Acres “Ready for Anticipated Use” (RAU) ......................................................... II-7

II.B.3 Enforcement Program Measures................................................................................. II-7 a. Pre-Remedial Enforcement Action ...................................................................... II-7 b. Past Costs Addressed > $200,000 ....................................................................... II-7 c. Volume of Contaminated Media Addressed (VCMA) – Soil and Groundwater... II-7 d. Total Response Commitments .............................................................................. II-8 e. Total Cost Recovery Settlements.......................................................................... II-8 f. Value of PRP Oversight ....................................................................................... II-8

II.C Annual Performance Plan and Budget Development Cycle ....................................II-8

II.C.1 Outyear........................................................................................................................ II-8 II.C.2 Planning Year.............................................................................................................. II-9 II.C.3 Current Year................................................................................................................ II-9

II.D Planning and Reporting Cycle.................................................................................II-11

II.D.1 Third Quarter ............................................................................................................ II-12 a. Current Year Performance Tracking ................................................................. II-12 b. Planning for the Upcoming Year ....................................................................... II-12

II.D.2 Fourth Quarter........................................................................................................... II-13 a. Planning for the Upcoming Year ....................................................................... II-13 b. End of Year Performance Tracking ................................................................... II-13

II.D.3 First Quarter (of the subsequent year)....................................................................... II-13 a. Planning for the Current Year ........................................................................... II-13 b. Prior Year Performance Tracking ..................................................................... II-13

II.E Planning, Target, and Accomplishment Reports ....................................................II-14


March 20, 2012 II-ii FY 12 SPIM

II.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment Reporting .................................................................................................................. II-14

II.E.2 OSRE Management Reports ..................................................................................... II-15 II.E.3 FFRRO Management Reports................................................................................... II-16

List of Exhibits

Exhibit II.1. Superfund Performance Measures........................................................................................ II-3

Exhibit II.2. Budget Planning Timeline .................................................................................................. II-10


FY 12 SPIM II-1 March 20, 2012

CHAPTER II: PERFORMANCE MEASURES, PLANNING AND REPORTING REQUIREMENTS

II.A INTRODUCTIONThe Office of Emergency Management (OEM), Office of Superfund Remediation and

Technology Innovation (OSRTI), the Federal Facilities Enforcement Office (FFEO), the Office of Site Remediation Enforcement (OSRE), and the Federal Facilities Restoration and Reuse Office (FFRRO) are responsible for overall program planning and reporting on Superfund program accomplishments. This chapter describes EPA’s performance measurement approachgenerally, and, more specifically, the Superfund program's processes for planning, budgeting, tracking, and reporting progress both internally and externally.

II.B PERFORMANCE GOALS AND MEASURESThe Government Performance and Results Act (GPRA) of 1993 provides a general

framework for government accountability through the use of strategic planning. Under this framework, EPA develops strategic plans, annual performance goals and other measures, and national program offices develop planning and tracking mechanisms and conduct program evaluations to ensure the Agency meets these goals effectively and efficiently. Under GPRA the Agency has developed several management and reporting tools.

The Superfund Comprehensive Accomplishments Plan (SCAP) is as an internal management tool used by the Assistant Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the progress each region is making towards achieving the GPRA annual performance goals. In addition, SCAP is used to project and track activities that contribute to these GPRA goals. The Superfund program sets national goals based on historical performance and performance expectations for the performance measures in GPRA.

EPA's Strategic Plan is the foundation of the Agency's planning and budgeting process. The Strategic Plan is a five-year plan that outlines the Agency's mission, establishes quantifiable goals and objectives, and describes the means and strategies, including GPRA Performance Measures, that EPA programs employ to accomplish specific desired environmental results over a multiple year period. The Agency must update the Strategic Plan every three years or more often when there is significant policy, programmatic, or other changes to any element of the current plan.

EPA's Annual Performance Plan defines the Agency’s annual budget's goals and objectives in greater detail by linking the annual budget to the Strategic Plan. The Annual Performance Plan contains Annual Performance Plan Commitments (Annual Commitments) for meeting the GPRA Performance Measures in the Strategic Plan as well as additional Agencyperformance measures. The Annual Commitments are calculated to ensure the successful accomplishment of each five-year cumulative GPRA Performance Measure set by the Strategic Plan. The President’s annual budget request to Congress, known as the Justification of


March 20, 2012 II-2 FY 12 SPIM

Appropriation Estimates for the Committee on Appropriations (also known as the Congressional Justification) also contains the Annual Commitments.

EPA’s senior leadership also tracks Key Performance Indicators (KPIs), previously called Senior Management Measures, to advance Strategic Goals and Cross-Cutting Fundamental Strategies in EPA’s Strategic Plan. KPIs are a subset of the existing Annual Commitments that are tracked in Annual Commitment System (ACS).

In addition, EPA maintains High Priority Performance Goals (HPPGs), which are measurable commitments that represent high priorities for the Agency, have high relevance to the public or reflect the achievement of key Agency missions; and will produce significant, measurable results over the next 12 to 24 months.

Each year in November, the Agency also publishes the Performance and Accountability Report (PAR), which summarizes the program performance for the fiscal year (FY) just ended.The PAR consists of three reports, a summary Highlights Report, the Agency Financial Report,and the Annual Performance Report (APR). The APR provides the results EPA achieved against its Annual Commitments and progress toward the long-term goals established in the Agency’s Strategic Plan.

To facilitate the development and tracking of the Annual Commitments by each EPA program, the Office of the Chief Financial Officer (OCFO) uses ACS. ACS is a performance tracking module in the Agency's Budget Automated System (BAS). OCFO annually issues National Program Manager (NPM) guidance identifying the schedule for entering data into ACS.Coordinators in OSWER and OECA work with their regional counterparts to ensure that the regional programs are aware of the schedule for entering draft and final bids and final performance commitments into ACS. Regions negotiate their own specific commitments with Headquarters (HQ) during annual work planning sessions. The work planning process isdiscussed in section II.D.2 in more detail.

The Integrated Compliance Information System (ICIS) is a web-based national database for federal (and some state) enforcement and compliance data, and is managed by OECA's Office of Compliance. ICIS is a comprehensive tool which integrates data from all media, including Superfund, and allows users to access multi-media enforcement and compliance data.The database is primarily used for programmatic management of EPA's federal enforcement and compliance (FE&C) program. ICIS is used by OECA and the regions to manage information associated with the Volume of Contaminated Media Addressed (VCMA) GPRA measure.Annually, OECA issues the Reporting Plan memorandum and its attachments which contain a schedule and detailed instructions for reporting FE&C activities and results for the FY. Deputy Regional Administrators (DRAs) certify to the accuracy and completeness of the ICIS and the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) data during a mid-year and end-of-year certification process lead by the Office of Compliance.

Cross-Program Revitalization Measures are a collection of indicators and performancemeasures that represent the Agency's effort to document progress toward land revitalization across all of the Office of Solid Waste and Emergency Response's various cleanup programs:



Brownfields, Superfund, Resource Conservation and Recovery Act (RCRA) Corrective Action, Underground Storage Tanks (UST), Federal Facilities Response, and Emergency Response. With hundreds of communities having reclaimed formerly contaminated properties for ecological, recreational, commercial, residential and other productive uses, EPA has recognized the importance of measuring these revitalization accomplishments in order to better capture and communicate their potential benefit and impact. These measures are reported through the Superfund Program Redevelopment webpage (http://www.epa.gov/superfund/programs/recycle/effects/index.html).

Exhibit II.1 identifies the venues through which the Superfund measures are reported and which Superfund programs are responsible for these measures. A description of each measurefollows Exhibit II.1.

EXHIBIT II.1. SUPERFUND PERFORMANCE MEASURES

Measure Name

Strategic Plan GPRA Performance

Measures

Annual Performance

Plan Commitments*

Key Performance

Indicators

High Priority

Performance Goals

Cross-Program

Revitalization Measures

Responsible Superfund Program

Superfund-lead removal actions

completed annuallyX X

(ACS#132) Removal

Potentially Responsible Party

(PRP) removal completions (including

voluntary, AOC and UAO actions) overseen by EPA

X(ACS#133) Removal

Superfund-lead removal actions

completed annually per million dollars

Removal

Number of Superfund remedial

site assessments completed

(Site Assessments)

X X(ACS #122)

Remedial,Federal

Facilities

Number of Remedial Action

project completions at Superfund

National Priorities List (NPL) sites(RA Projects)

X(ACS #131)

Remedial,Federal

Facilities

Annual number of Superfund sites

with remedy construction

completed (CCs)

X(ACS #141)

Remedial,Federal

Facilities

Number of Superfund sites

with human X X

(ACS #151)X

(ACS #151)

Remedial,Federal

Facilities



Measure Name

Strategic Plan GPRA Performance

Measures

Annual Performance

Plan Commitments*

Key Performance

Indicators

High Priority

Performance Goals

Cross-Program

Revitalization Measures

Responsible Superfund Program

exposures under control (HEUC)Superfund sites

with contaminated groundwater

migration under control (GWMUC)

X(ACS #152)

Remedial,Federal

Facilities

Number of Superfund sites

ready for anticipated use

sitewide (SWRAU)

X X(ACS #S10)

X(ACS #S10)

X(ACS #S10)

Remedial,Federal

Facilities

Acres “Protective for People Under

Current Conditions” (PfP)

X

Remedial,Federal

Facilities,Removal

Acres “Ready for Anticipated Use”

(RAU)X

Remedial,Federal

Facilities,Removal

Pre-Remedial Enforcement

Action at Superfund Sites

X OSRE-01 Enforcement

Past Costs Addressed > $200,000 via Settlements,

Referral, Write-Off, or Claims in Bankruptcy

X OSRE-02 Enforcement

Volume of Contaminated

Media Addressed (VCMA)

X HQ-VOL Enforcement

Total Response Commitments Enforcement

Total Cost Recovery

SettlementsEnforcement

Value of PRP Oversight Enforcement

*Code numbers are provided for each measure tracked in ACS or ICIS.

II.B.1 Removal Program Measures

a. Superfund-lead removal actions completed annuallyEPA has established the position of federal On-Scene Coordinators (OSCs) with authority to monitor or direct response actions, and to deploy federal resources if needed.This measure tracks the number of removal completions performed by EPA. The Agency



is responding to the release of hazardous substances with the goal of cleaning the contamination and protecting human health and the environment. Removal actions fall into one of three categories: 1) emergency, 2) time-critical, and 3) non-time critical. EPA is the lead for Superfund-lead removal actions when the responsible party cannot be identified or is unable to perform the cleanup. Funding for these actions comes from Superfund, established as part of Comprehensive Environmental Response, Compensation and Liability Act (CERCLA).

b. PRP removal completions (including voluntary, Administrative Orders on Consent (AOC) and Unilateral Administrative Order (UAO) actions) overseen by EPAThis measure tracks the number of removal completions overseen by EPA where the primary responsible party has been identified and is performing the cleanup with or without an enforcement instrument (e.g., AOCs, UAOs or voluntary agreements).

c. Superfund-lead removal actions completed annually per million dollarsThis measure is designed to illustrate the efficiency with which EPA’s Emergency Response and Removal program conducts Superfund-lead removal actions.

II.B.2 Remedial and Federal Facilities Program Measures

a. Number of Superfund remedial site assessments completed (Site Assessments) Site assessments are conducted in order to address uncertainty regarding contamination and determine the need for remedial cleanup, as well as to determine which sites do not need additional cleanup or further EPA involvement. Completing site assessments achieves a significant milestone in the cleanup continuum. It also determines whichcleanup program is the best approach for addressing site conditions (National Priorities List (NPL), removal, state voluntary cleanup program, etc.). This also allows the program to show benefits earlier in the cleanup process. More information about the Site Assessment measure can be found in Chapter V, titled Site Assessments/NPL Listing.

b. Number of Remedial Action project completions at Superfund NPL sites (Remedial Action (RA) Projects)This measure communicates incremental progress in reducing risk to human health and the environment (multiple Remedial Action (RA) projects may be necessary prior to achieving sitewide construction completion). Completion of the RA is documented in a Remedial Action Report (see Close Out Procedures for NPL Sites, OSWER 9320.2-22,May 2011). More information about the RA Projects measure can be found in Chapter VII, titled Remedial Program.

c. Annual number of Superfund sites with remedy construction completed (CCs)Construction completion signifies physical construction of all cleanup actions is complete at a site, including actions to address all immediate threats and to bring all long-term threats under control. This measure communicates to the public that a site has generally entered a phase of long-term, routine operation and maintenance. Construction completion is documented in a Preliminary Close Out Report (see Close Out Procedures



for NPL Sites, OSWER 9320.2-22, May 2011), and requires concurrence by HQ. More information about the CCs measure can be found in Chapter VII, titled Remedial Program.

d. Number of Superfund sites with human exposures under controlThe Human Exposure Under Control (HEUC) environmental indicator is designed to document long-term human health protection on a site-wide basis by measuring the incremental progress achieved in controlling unacceptable human exposures at a Superfund site. Information about the HEUC indicator is available on EPA’s website at http://www.epa.gov/superfund/accomp/ei/ei.htm. More information about the HEUC indicator can be found in Chapter VII, titled Remedial Program. HEUC is one of EPA's senior leadership KPIs, used to advance Strategic goals and Cross-Cutting Fundamental Strategies in EPA's Strategic Plan. For KPI reporting, the Superfund Remedial Program's HEUC result will include final and deleted NPL and SA sites and be combined with the Office of Resource Conservation and Recovery's (ORCR's) human exposure under control measure's accomplishments (CA1).

e. Superfund sites with contaminated groundwater migration under controlThe Groundwater Migration Under Control (GWMUC) environmental indicatordocuments whether contamination is below protective, risk-based levels or, if not, whether the migration of contaminated ground water is stabilized and there is no unacceptable discharge to surface water and monitoring will be conducted to confirm thataffected ground water remains in the original area of contamination. Information about the GWMUC indicator is available on EPA’s website at http://www.epa.gov/superfund/accomp/ei/ei.htm. More information about the GWMUC indicator can be found in Chapter VII, titled Remedial Program.

f. Number of Superfund sites ready for anticipated use sitewide (SWRAU)Tracking sites where all physical construction is completed, human exposure from hazardous substances is under control, and all Institutional Controls are in place, demonstrates the Agency’s efforts to make sites ready for reuse. This is an integral part of the Superfund process and reflects the importance of considering future land use as part of the cleanup process. It also demonstrates that land at Superfund sites is available for the intended reuse as specified in the Record of Decision (ROD) or other decision documents (s). Information about the SWRAU measure is available on EPA’s website at http://www.epa.gov/superfund/programs/recycle/effects/swrau.html. More information about the SWRAU measure can be found in Chapter VII, titled Remedial Program. SWRAU is one of EPA's senior leadership KPIs, used to advance Strategic goals and Cross-Cutting Fundamental Strategies in EPA's Strategic Plan. In addition, SWRAU is a HPPG which will produce significant, measureable results in the next 12 to 24 months, is relevant to the public, and represents a high priority for the Agency. For KPI and HPPG reporting, the Superfund Remedial program's SWRAU result will include final and deleted NPL and SA sites, exclude groundwater only sites, and exclude sites that have been deferred to other programs. For KPI and HPPG reporting, the Superfund Remedial Program's SWRAU result will be combined with ORCR, Office of Brownfields and Land



Revitalization (OBLR), and Office of Underground Storage Tanks (OUST) accomplishments.

g. Acres “Protective for People Under Current Conditions” (PfP)Measuring land revitalization accomplishments is important to communicate the benefits of land cleanup. This measure communicates to the public the number of acres and sites at which no complete pathway for human exposures to unacceptable levels of contamination exists based on current site conditions. Information about Cross Program Revitalization Measure (CPRM) measures is available on EPA’s website at http://www.epa.gov/superfund/programs/recycle/effects/cprm.html.

h. Acres “Ready for Anticipated Use” (RAU)Measuring land revitalization accomplishments is important to communicate the benefits of land cleanup. This measure communicates to the public the number of sites and acres which are ready for anticipated use sitewide (SWRAU). Information about CPRM measures is available on EPA’s website at http://www.epa.gov/superfund/programs/recycle/effects/cprm.html.

II.B.3 Enforcement Program Measures

a. Pre-Remedial Enforcement ActionPre-Remedial Enforcement Action at Superfund sites is to maximize Potentially Responsible Party (PRP) participation by reaching a settlement or taking an enforcement action by the time of the RA start at 99% of non-federal Superfund sites (with RA starting during the FY), that have known viable, liable parties. Also, see Chapter IX,titled Enforcement, for further discussion on the measures.

b. Past Costs Addressed > $200,000Past Costs Addressed is the decision either to take cost recovery action by use of administrative cost recovery settlement, to transmit a section 106/107 or 107 judicial referral for cost recovery, including settlements for past costs under a Consent Decree (CD) (with no prior litigation referral); to prepare a decision document or 10-point settlement analysis document not to pursue cost recovery, or to file a claim in bankruptcy at 100% of sites with statute of limitation (SOL) cases and unaddressed past Superfund costs greater than or equal to $200,000. Also, see Chapter IX, titled Enforcement, for further discussion on the measures.

c. Volume of Contaminated Media Addressed (VCMA) – Soil and GroundwaterBy 2015, The OECA program will obtain commitments to clean up 1.5 billion cubic yards of contaminated soil and groundwater media nationally as a result of concluded enforcement actions. This measure is a national measure with an annual target of 300 million cubic yards per FY. Information for this target is entered into OECA’s ICIS database. Further information on calculating the VCMA may be found in the “Final Methodology for Estimating Superfund and RCRA Corrective Action (CCDS) Environmental Benefits 12-12-03.” Also, see Chapter IX, titled Enforcement, for further discussion on the measures.



d. Total Response CommitmentsTotal Response Commitments is the total universe of CERCLA enforcement instruments (CDs, UAOs, AOCs, Consent Agreements (CAs), Bankruptcy Settlements and Judicial/Civil Judgments (JGs)) where the parties agree to conduct cleanup work and/or make cash payments toward future response costs at a site. The value of Total Response Commitments is based on the estimated value of PRP response work and/or payments (cashout) made by responsible parties toward response costs at a site. Also, see Chapter IX, titled Enforcement, for further discussion on the measures.

e. Total Cost Recovery SettlementsTotal Cost Recovery Settlements is the total universe of CERCLA enforcement cost recovery settlements (CDs, AOCs, CDs, CAs, Bankruptcy Settlements, JGs, andAdministrative/Voluntary Cost Recovery actions i.e., demand letters) where the parties agree to pay past costs to the Agency. Also, see Chapter IX, titled Enforcement, for further discussion on the measures.

f. Value of PRP OversightThe Value of PRP Oversight is the total amount billed to PRPs for responsible party (RP)-lead actions where a settlement document is in place with EPA that provides for payment of federal oversight costs. Also, see Chapter IX, titled Enforcement, for further discussion on the measures.

II.C ANNUAL PERFORMANCE PLAN AND BUDGET DEVELOPMENT CYCLEDevelopment of the Annual Performance Plan and the budget development process go

hand in hand. The budget development process is ongoing, and, in any given month, activities may be taking place for several budget years at the same time. In any given year, the Agency is concurrently formulating the President’s request for the outyear budget, planning the upcoming year’s budget, and implementing (executing) the current year budget.

II.C.1 Outyear Outyear preparation of the Annual Performance Plan and budget formulation process

begins in the spring, eighteen months prior to the start of the FY for which the budget is being prepared. Budget formulation is guided by the Agency’s Strategic Plan, the Annual Performance Plan, Agency initiatives, and other emerging priorities. The Annual Performance Plan includes objective, results-oriented, quantifiable, and measurable performance goals; resources necessary to meet goals; performance indicators to assess outputs, services, and outcomes; and verification and validation procedures. Development of the budget includes identification of major program issues, analysis of program costs, and alignment of resources among competing priorities. The plan, initiatives, priorities, and the budget are established through a series of executive level planning and decision meetings, which take place in the late spring and early summer.

EPA program offices generally submit budget formulation proposals to OCFO in the late spring. CERCLIS outyear planning data are used to inform senior managers of Superfund program resource trends and highlight opportunities to invest or disinvest in specific initiatives.



As such, high quality site planning data are essential. Once the proposals pass through an internal review process, EPA submits its proposal to the Office of Management and Budget (OMB) in the late summer. After the late fall OMB “passback”, during which time other revisions to EPA’s proposals may be made, the President submits a final budget (Annual Performance Plan and Congressional Justification) to Congress by the first Monday in February for the new FYbeginning on October 1.

II.C.2 Planning Year The second component of the budgeting process begins the summer before the upcoming

FY and involves revising the budget in anticipation of enactment of an appropriation and determination of the allocation of funds for the regions for the new FY. During Phase I of operating plan development, OCFO sets preliminary targets, based on the President’s budget request, for the national programs to use to develop initial resource allocations for regional budgets by budget object class (BOC) and other categories. OCFO pre-calculates the regional targets for some of these categories, such as budgets for non-site travel, working capital fund, workforce support, and payroll. The Superfund national program offices have responsibility for allocating the other categories of resources, including contracts and interagency agreements, grants and cooperative agreements, and site travel to the regions, primarily through Site Allowances. However, at this stage of operating plan development, program offices are not required to distinguish among these BOCs. Some HQ program offices (the remedial program in particular) assign resources to a Regional Reserve, which does not identify the specific amounts that individual regions will receive in the upcoming year. Rather, during annual work planning meetings that start in late summer, HQ program offices review and analyze regional Superfund implementation and funding plans (based on CERCLIS data) and develop preliminary budgetestimates 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. Adescription of the financial management process is outlined in Chapter III, titled Financial Management.

II.C.3 Current Year Phase II of operating plan development advances the planning year into the budget

execution year as the new FY begins and the appropriation is enacted by Congress. Enacted operating plans for HQ and regional offices are finalized in the Agency’s BAS by BOC, and initial resources are issued to the programs by OCFO through the Agency’s financial management system.

Those HQ Superfund program offices that maintain Regional Reserve resources will program these resources to individual regions throughout the course of the year in Site Allowances according to site-specific allocation methodologies or formulas (program-specific details are provided in the section on Site Allowances).

In some years, an appropriation is not enacted by the start of the FY, and Congress passes one or more Continuing Resolutions (CRs) to fund the government until a final appropriation is enacted. Under a CR, only a portion of the annual appropriation is made available for the Agency’s use. OCFO issues special guidance to address funding issues under the CR, and any increases, reductions or mandated redirections are reflected in the Agency’s final operating plan.Under short term CRs, the program offices work very closely with the regions to determine the



funding needs on a monthly (or weekly) basis to ensure that the limited available resources are allocated where needed.

Superfund HQ program offices expect regions to work within the annual regional Superfund budgets (generally the Site Allowances) allocated to them. Agency-wide policy allows regions and HQ offices to shift resources across programs on a limited basis throughout the year as long as they are consistent with specific program office and OCFO policies regarding the shifting of resources. However, regional Superfund program offices may not shift appropriated funds among Site Allowances without prior HQ program office approval. HQprogram offices also use a more formal mid-year evaluation/review process to assess progress in meeting performance targets and to realign resources in the current FY. Current year resource adjustments focus on changes needed due to cost and project schedule modifications. Changes may result in resource shifts both within program areas and among regions.

Exhibit II.2 provides a timeline for the formulation, planning, and execution processes. Timing for some activities is dependent on the completion of other actions; e.g., occasions when Congress does not pass an appropriation by the beginning of the FY.

EXHIBIT II.2. BUDGET PLANNING TIMELINE

MonthOutyear Budget

(FY 2)Planning Year Budget

(FY 1)Current Year Budget

(FY 0)

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. OSWER finalizes preliminary ongoing RA funding plan and issues first quarter RA and Pipeline Site Allowance resources to regions. OECA and the Office of Compliance (OC)approve allocation of the initial technical enforcement Site Allowanceand the full year Site Allowance for the legal case budget

November OMB passback of budget request OCFO issues prior year carryover

December Revision to the Agency’sStrategic Plan begins.

HQ appeal of the OMB budget passback

January OSWER 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 Allowancesand remaining call memo for



MonthOutyear Budget

(FY 2)Planning Year Budget

(FY 1)Current Year Budget

(FY 0)enforcement Site Allowance are issued

April

Annual national goal meetings are held OSWER pulls programs and financial planning information from CERCLIS to assist OSWER managers in developing proposals

Mid-year assessment held to evaluate regional progress and utilization of regional programmatic budgetsOSWER issues third quarter RA Site Allowance allocation to regions. OECA issues second allocation of enforcement Site Allowance resources.

May

National planning meetings are held and NPMs submit investment/disinvestment proposals

OSWER generally begins to approve recertification requests of deobligated resources (may occur earlier)

June OMB sets budget targets and OCFO issues policy for budget formulation

Regions submit and OSWER pulls program and financial planning information from CERCLIS (planning year budget process begins here)

fourth quarter response Site Allowances calculated

July

OCFO begins review process of national program proposals, develops a straw budget, and conducts a budget forum

OSWER reviews and analyzes regional budget estimates.Phase I operating plan development data are entered into BAS.

OSWER issues fourth quarter RA Site Allowance resources and final allocation of Pipeline Site Allowanceresources.HQ pulls target/accomplishment and financial data from CERCLIS for analysis of program accomplishments and obligation/commitment rate.

August

Agency leadership makes budget decisions and EPA submits proposed budget to OMB on the secondMonday of the month.

OSWER/OECA/regions hold work planning meetings to establish budget/targets for planning year.

OSWER/OECA continues to pull target/accomplishment and financial data from CERCLIS for analysis of program accomplishments and regional obligation commitment rate.

September (Go to beginning of Planning Year Budget)

OSWER develops initial ongoing RA funding plan(Go to beginning of Current Year Budget).

II.D PLANNING AND REPORTING CYCLEThe Superfund planning and reporting process is roughly a 16-month cycle beginning in

June. The cycle ends with final accomplishment reporting after the completion of the fiscal implementation year. Because the duration of this cycle exceeds a year, multiple cycles overlap, which means the regions and HQ conduct reporting activity the current year and planning activity for subsequent years at the same time.



II.D.1 Third Quarter

a. Current Year Performance TrackingOn the sixth working day of April, OSRTI pulls second quarter planning and accomplishment data for the current FY from CERCLIS. Generally, OSRE pulls second quarter enforcement accomplishments data from CERCLIS and other systems on the eleventh working day of April.

Shortly after the sixth working day of April, OSRTI transfers mid-year Annual Performance Measures data into ACS and then regions raise performance issues using the “Comments” field on the results screen in ACS.

In the April/May timeframe, HQ and the regions discuss regional progress in achieving current year negotiated targets and regional budget utilization (obligation rates) during mid-year reviews. These discussions provide both HQ and the regions with an opportunity to assess performance, consider the impact of regional program performance on the Superfund pipeline, and identify trends in program performance and adjust program management strategies accordingly. These meetings also facilitate communications regarding site-specific technical and funding issues as well more general policy and strategic planning questions. During the mid-year review processes, the regions are also expected to update plans to use available funds in each special account consistent with guidance. Special accounts are discussed further in section III.J of Chapter III, titled Financial Management.

During this timeframe, OSRE also requests the regions to submit site and activity specific requests for additional extramural enforcement resources, and will allocate remaining enforcement resources based on these submissions.

b. Planning for the Upcoming YearIn late June (or early July), HQ issues a Superfund Remedial and Enforcement WorkPlanning memorandum that outlines the process and the procedures for the upcoming work planning sessions. The work planning memorandum includes the schedule, scope and areas of emphasis for developing the upcoming year's priorities, targets and budgets.A copy of the Superfund Remedial and Enforcement Work Planning memorandum is included in Appendix C of the SPIM.

The Removal and Federal Facilities programs conduct separate work planning sessions with the regions that address similar topic areas as the Remedial program, but with a program-specific focus. Schedules for these discussions are determined on an annual basis.

Work planning sessions between HQ program offices and the regions allow HQ to communicate program priorities, discuss new initiatives, and obtain preliminary estimates for program performance and funding needs for the upcoming FY. HQ may also use this opportunity to review past and projected regional accomplishments, historical obligation trends, and planned durations/dollars to ensure that the region is planning the appropriate amount of work given the dollars it is requesting.



II.D.2 Fourth Quarter

a. Planning for the Upcoming YearDuring July, HQ staff will schedule work planning meetings with each region to take place during August and September. Pursuant to the guidance in the Superfund Remedial and Enforcement Work Planning memorandum (issued late June, or early July), regions will enter the applicable planning data into CERCLIS by dates negotiated between HQand the region (usually three to five days before the region’s scheduled meeting), and HQprogram offices will review program target and accomplishment data before the meetings. Data to be reviewed include projections of activities that will be undertaken, site- and non-site-specifically, annual performance goal and other internal program measure targets that will be achieved, and planned resources (appropriated and reimbursable) for the expected work.

b. End of Year Performance TrackingHQ 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 thatmay affect program success. In the final weeks of the FY, HQ staff from each Superfund program office will closely monitor regions’ progress toward meeting Annual Performance Plan commitments and ensure that the accomplishment data are entered into CERCLIS, ACS, and ICIS in a timely manner.

II.D.3 First Quarter (of the subsequent year)

a. Planning for the Current YearDuring the first quarter of the FY, HQ meets with the regional division directors to discuss the national program’s annual performance goals. OSRTI issues preliminary ongoing construction funding plans to the regions and Pipeline Operations Site Allowance resource allocations. FFRRO also issues a memo that outlines regional commitments and allocation of funds.

b. Prior Year Performance TrackingHQ pulls final CERCLIS accomplishment reports for annual performance measure accomplishments as well as all other regional accomplishments on the eleventh working day (holidays are not counted as a working day) of October. OSRTI and OEM annual performance measure data are transferred to ACS by HQ after a short review period following the eleventh working day of October. Regions explain differences that occur between the commitment and actual performance using the “Comments” field on the results screen in ACS. HQ will publicly report these accomplishments in late October to mid-November. This schedule allows regions opportunity to review end-of-year financial data, ensure that all accomplishments are accurately reflected in CERCLIS, and determine when the commitments were met. In November, each Superfund program conducts an end-of-year assessment. This assessment is an integrated analysis of program performance activities for the year. The purpose of the end-of-year assessment is to



emphasize pipeline issues (e.g., slipped targets and their impact on commitments for the next year). Missed targets may have resource implications for the next FY. The end-of-year review also notes progress toward implementing strategies identified in the mid-year assessment, and identifies regions that might require additional HQ assistance as the new FY begins.

Although OSRE coordinates end-of-year accomplishment reporting with OSWER and OECA, OECA’s accomplishments reporting schedule differs from the Superfund program’s reporting schedule. Each year, the OC issues the current FY's reporting plan.The “Reporting Plan” describes the enforcement and compliance reporting requirements for regional and OECA offices, including key dates for second quarter and end-of-year data entry and reporting as well as data certification deadlines. Typically, the annual “Reporting Plan” is distributed to the regions in April.

II.E PLANNING, TARGET, AND ACCOMPLISHMENT REPORTSThe following lists provide the primary CERCLIS reports used by HQ and the regions to

track regional performance. The first set of reports is used to establish regional targets/measures and to evaluate and report regional accomplishments. OSRE and FFRRO-specific management reports are also identified. OEM does not use CERCLIS to run any management reports.

In addition, Superfund also maintains a set of senior management reports through Superfund eFacts, an internal web-based reporting tool that integrates planning and accomplishment data in CERCLIS with cost data from the Agency's financial management system. Superfund eFacts data are updated daily and the senior management reports illustrate site progress through the Superfund pipeline and the involvement of PRPs in cleanup activities. Superfund eFacts provides information on site assessment, Federal Facilities, construction completions, performance on annual commitments and other internal program measures. The data are available in regional, state, or national views and the reports are designed to supplement conventional quarterly accomplishment CERCLIS reports by providing a more comprehensive examination of program activity.

II.E.1 OSRTI Management Reports for Planning/Target Setting and Accomplishment Reporting

SCAP-02: The Site Summary Report is used by EPA to display enforcement sensitive CERCLIS data for NPL and non-NPL sites.

SCAP-04E, SCAP-04F, SCAP-04M, SCAP-04R: The Enforcement Financial Report (SCAP-04E), Federal Facility Financial Report (SCAP-04F), Removal Financial Report (SCAP-04M), and Remedial Financial Report (SCAP-04R) aggregate dollars by program area and provide both site-specific and non-site specific backup from CERCLIS.

SCAP-13: The Site Assessment Report is used for reporting site assessment estimates, plans, and accomplishments. The information provided by this report is used in conjunction with the SCAP-14 report to encompass the entire range of targets and measures.



SCAP-14: The Superfund Accomplishments Report is used to track targeting, planning, and accomplishment actions in support of the Remedial, Enforcement, and Federal Facilityprograms.

SCAP-15: The GPRA Report is used to track GPRA performance goals and measures in support of the Response program.

SCAP-16: The Reconciliation (SCAP-14 Audit) Report is used to extract all potential candidates for a SCAP-14 category and provide the user with the ability to determine the way in which the action will be selected or eliminated based on the values or lack of values in the Select Logic columns.

The Federal Facility Accomplishments Report is a subset of the SCAP-14F report. It includes several extra categories concentrating specifically on accomplishments at Federal Facilitysites (NPL, non-NPL, and Base Realignment and Closure Act (BRAC)

The Federal Facility Audit Report lists all of the Federal Facility data issues detected in CERCLIS for the selected FY.

ENFR-03: The Settlement Master Report lists all enforcement instruments to date. Data are divided by enforcement instrument type (e.g., CDs, AOCs, UAOs, Judgments, Bankruptcy)and summarized by FY, region, and remedy.

ENFR-07: The De Minimis Settlement Report lists all the de minimis settlements including the number of parties.

ENFR-62: The Enforcement Measures of Success Report allows regions to report progress on measures of success relating to enforcement fairness and trust fund stewardship.

ENFR-66: RA Start Report provides a list of RA starts planned for a selected FY along with enforcement actions that have occurred at that site.

II.E.2 OSRE Management Reports

ENFR-11: The Ongoing Remedial Design/Remedial Action (RD/RA) Negotiations Timeline Report is used to track the duration of ongoing RD/RA negotiations. The report shows categories of duration (e.g., between 60 and 120 days).

ENFR-16: Cost Recovery Decision Documents Report provides justification why past costs are unrecoverable and written off.

ENFR-17: The Cost Recovery Targeting Report is a tool used to identify potential targets for cost recovery with upcoming statute of limitations.

ENFR-22: The ROD Amendment and RD/RA Negotiations Report is used to track RD/RA negotiation progress. The report is categorized into RD/RA negotiations started from signed ROD and No RD/RA negotiations started from signed ROD.

ENFR-25: Administrative/Unilateral Orders Issued Report lists AOCs and UAOs that have been issued. The report is an audit report for the ENFR-03 Report.

ENFR 67: The Financial Assurance Report is used to identify response settlements where financial assurance is required as well as a tool to monitor and track when a financial mechanism is coming up for renewal based on the financial mechanism expiration date.



II.E.3 FFRRO Management Reports

No Code Name: The Federal Facility Five Year Review Status Report lists the status of all the planned and completed Federal Facility Five Year Reviews.

No Code Name: The Federal Facility FOST/FOSL/EBS Report lists the Environmental Baseline Survey (EBS) completion date and all of the Findings of Suitability to Transfer (FOST), Findings of Suitability to Lease (FOSL) and Findings of Suitability to Early Transfer (FOSET) that EPA has concurred on in the selected FY.

No Code Name: The Federal Facilities Site Summary Report summarizes all the actions, EBSs, FOSTs, FOSLs, FOSETs and Supplemental, Environmental Projects (SEPs) for the entire history of all the Federal Facilities in the selected region(s).




CChhaapptteerr IIIIII:: FFiinnaanncciiaall MMaannaaggeemmeenntt





FY 12 SPIM III-i March 20, 2012

CCHHAAPPTTEERR IIIIII:: FFiinnaanncciiaall MMaannaaggeemmeenntt

Table of Contents

III.A Introduction .............................................................................................................. III-1

III.B Financial Management Roles and Responsibilities................................................ III-1 III.B.1 Regional Organization Financial Roles and Responsibilities..................................III-1

a. Regional Administrator (unless delegated) ......................................................III-1 b. Regional Financial Office (RFO).....................................................................III-2 c. Regional Program Office (RPO)......................................................................III-2 d. Administrative Support Unit.............................................................................III-2

III.B.2 Regional Staff Financial Roles and Responsibilities...............................................III-3 a. On-Scene Coordinator (OSC) ..........................................................................III-3 b. Remedial Project Manager (RPM)...................................................................III-3 c. Regional Project Officer (RPO)/Deputy Project Officer (DPO) .....................III-3

III.B.3 Headquarters Support Office Financial Roles and Responsibilities........................III-4 a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFO ........III-4 b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFO.......III-4 c. Office of Acquisition Management (OAM), OARM..........................................III-4 d. Office of Budget, OCFO...................................................................................III-5 e. Office of Financial Management (OFM), OCFO.............................................III-5 f. Office of Grants and Debarment (OGD), OARM.............................................III-5 g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,

OCFO...............................................................................................................III-5

III.C Financial Vehicles.................................................................................................... III-5 III.C.1 Contracts..................................................................................................................III-5 III.C.2 Interagency Agreements (IAs) ................................................................................III-7 III.C.3 Cooperative Agreements (CA)................................................................................III-7 III.C.4 Technical Assistance Grants (TAGs) ......................................................................III-7

III.D Financial Data Management Tools......................................................................... III-8 III.D.1 CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) Reports......III-8 III.D.2 Budget Automated System (BAS) ..........................................................................III-8 III.D.3 Compass (formerly IFMS) ......................................................................................III-8 III.D.4 Compass Business Objects Reporting Tool ............................................................III-9 III.D.5 Compass Data Warehouse (CDW)..........................................................................III-9 III.D.6 Superfund Cost Recovery Package and Image On-Line System (SCORPIOS)......III-9 III.D.7 PeoplePlus (PPL)...................................................................................................III-10

III.E Superfund Accounting Information and Treatment of CERCLIS Data ............. III-10 III.E.1 Superfund Account Number..................................................................................III-10

a. Fund/Appropriation Code ..............................................................................III-11 b. Budget Organization ......................................................................................III-12 c. Program Results Code (PRC) ........................................................................III-12 d. Project Field...................................................................................................III-14 e. Cost Organization ..........................................................................................III-14

III.E.2 Handling Financial Data in the CERCLIS Environment ......................................III-15 a. Deleting Planned Obligation Data from CERCLIS .......................................III-15 b. Correcting Financial Data.............................................................................III-15


March 20, 2012 III-ii FY 12 SPIM

III.F Allocating Superfund Resources Among the Regions.......................................... III-16 III.F.1 Managing Site Allowance Resources in CERCLIS ..............................................III-16 III.F.2 Deobligating Prior Year Funds..............................................................................III-17 III.F.3 Removal Program Resources (PRC 303DC6).......................................................III-17 III.F.4 Remedial Response Program Resources (PRC 303DD2) .....................................III-18

a. Remedial Action Site Allowance.....................................................................III-18 b. Pipeline Operations Site Allowance...............................................................III-19

III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9) .........................III-19 III.F.6 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-

specific])................................................................................................................III-20 III.F.7 Enforcement Program (PRC 501EC7) ..................................................................III-20 III.F.8 Federal Facilities Enforcement Program Resources (PRC 501EH2) ....................III-21

III.G Cost Recovery ......................................................................................................... III-21 III.G.1 Recoverable Costs .................................................................................................III-22

a. Direct Costs....................................................................................................III-22 b. Contractors' Annual Allocation Costs............................................................III-22 c. Indirect Costs .................................................................................................III-22

III.H Site Charging Policy (Site-Specific, ZZ, 00 SSIDs) .............................................. III-23 III.H.1 WQ SSID and WQ Action Code...........................................................................III-23

a. WQ SSID ........................................................................................................III-23 b. WQ Action Code.............................................................................................III-24

III.H.2 ZZ SSID ................................................................................................................III-24 III.H.3 00 SSID .................................................................................................................III-24

III.I Superfund State Contracts (SSC) .......................................................................... III-25 III.I.1 Cost Share Provisions............................................................................................III-25 III.I.2 Constraints on Obligating Funds for RA...............................................................III-26 III.I.3 Cost Share Payments .............................................................................................III-26 III.I.4 Using Funds from State Cost Share Payments ......................................................III-27

III.J Special Accounts..................................................................................................... III-27

III.K Using the Fiduciary Reserve to Address Cost Overruns....................................... III-28

List of Exhibits

Exhibit III.1. EPA Forms Commonly Used for Superfund Procurements III-6

Exhibit III.2. Superfund Account Number Structure III-10

Exhibit III.3. Sample Superfund Appropriation Codes III-11

Exhibit III.4. Superfund Program Results Codes and Site Allowance Codes III-13

Exhibit III.5. Project Field III-14

Exhibit III.6. Project Field for IT Related Transactions III-14


FY 12 SPIM III-1 March 20, 2012

CHAPTER III:FINANCIAL MANAGEMENT

III.A INTRODUCTIONThis chapter introduces certain financial management components important to the

Superfund program. The following section outlines responsibilities of various offices and positions within the Agency in managing and administering Superfund resources. The third section describes the financial vehicles used to obligate Superfund resources, and the fourth section identifies numerous financial data management systems and tools for tracking Superfund costs. The fifth section describes the processes by which the various Superfund programs make resource allocation decisions among the regions, and the sixth section briefly describes the cost recovery process and recoverable costs. The final sections of this chapter address issues of special interest to financial management, including site-specific charging policy (including bulk funding), special accounts, Superfund State Contract (SSC) management, and using the Fiduciary Reserve. Various Superfund-specific financial management policies issued by the Office of the Chief Financial Officer (OCFO) may be found in the Resource Management Directives System (RMDS) 2550D, at http://intranet.epa.gov/ocfo/policies/direct/2550d.htm.

III.B FINANCIAL MANAGEMENT ROLES AND RESPONSIBILITIESDue to the complexities of the Superfund program, numerous organizational units within

the regional EPA offices have responsibility for Superfund financial management. As described in this document, the Regional Management Division is the organization in which financial management, budgetary, accounting, planning and assistance agreements, and administration functions are carried out. The Regional Servicing Finance Office (SFO), the Grants Officer, and the Contracting Officers (CO) for the Response Action Contract (RAC), Superfund Technical Assessment and Response Team (START), Regional Oversight Contract (ROC) and Emergency and Rapid Response Services (ERRS) contracts are considered a part of this division. Please see Appendix B for a list of regional Superfund Cost Recovery Contacts. This section first lists the primary regional offices with Superfund-related financial management responsibilities and the duties for which each office has responsibility or authority. The next section lists the financial management roles and responsibilities of several staff positions.

III.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 (IAs), Cooperative Agreements (CAs), and Technical Assistance Grants (TAGs);Enters into SSCs;Initiates response planning activities; andEnsures reimbursable BRAC costs are accurate and appropriate (1996 BRAC Guidance, section 3.2.1).


March 20, 2012 III-2 FY 12 SPIM

b. Regional Financial Office (RFO)Participates with the regional program office (RPO) to Assign Account Number, Document Control Number (DCN), and CA identification numbers;Enters quarterly Site Allowance into Compass, controls regional allowance;Sets up regional account numbers, including Site/Spill Identifier code (SSIDs), in Compass;Processes Procurement Requests (PRs, REQs), IAs, and CAs;Enters commitments, obligations, and drawdowns into Compass;Reviews invoices, monthly financial reports, and payment requests;Commits funds under regional contracts and modifications;Assists RPO in the pre-application phases of the CA development;Maintains Superfund document files on regional costs and supports the preparation of documentation for cost recovery; andProvides RPO with financial data.

Note that some of these functions may be performed by the Regional Program Office (RPO) or Office of Financial Services Finance Centers in some regions.

c. Regional Program Office (RPO)Assigns the Account Number;Provides technical support to the CO;Reviews vouchers and/or financial reports;Manages CAs and IAs;Requests SSIDs from the RFO;Prepares Commitment Notices (CNs) and PRs;Develops SSCs;Approves Request for Proposals (RFPs) or Request for Bids and contracts developed by the states;Monitors the transfer of financial data on contracts, IAs, and CAs into the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS);Maintains Superfund document files on regional work performed;Submits change requests; andInitiates and manages obligations.

Note that some of these functions may be performed by the RFO in some regions.

d. Administrative Support UnitEstablished in each RPO;Staffed with EPA staff (the non-government functions may be performed by a contractor);Provides administrative support to the On-Scene Coordinator (OSC)/Remedial Project Manager (RPM);



Provides liaison between OSC/RPM and other groups involved in administrative matters;Provides support to regional program management;Assists in developing removal site budgets and Action Memoranda;Maintains the Removal Cost Management System (RCMS);Sets up and maintains active site files;Completes PRs and CNs; andReviews Compass reports.

III.B.2 Regional Staff Financial Roles and Responsibilities

a. On-Scene Coordinator (OSC)Is an employee of EPA or U.S. Coast Guard (USCG);May be an Ordering Officer (must have "Delegation of Procurement Authority," also called “Warrant Authority,” signed by a Senior Procurement Manager)Conducts response activities at hazardous substance spills and releases, or threats of release;Initiates and manages cleanup actions under removal authority;Aware of, in control of, and responsible for site charges;Ensures costs are reasonable and necessary;Prepares site budgets and contract action requests;Completes Action Memoranda;Prepares delivery orders and PRs;Initiates PRs, REQs, Work Assignments (WAs), CAs, IAs, and contracts;Approves site-specific IA invoices;Establishes and maintains official site file;Reviews and approves cleanup contractors charges on a daily basis;Tracks site costs against the established site ceiling;Approves contractor invoices; andAcquires services using warrant for up to $250,000.

b. Remedial Project Manager (RPM)Is an employee of EPA;Initiates and manages removal actions and remedial actions;Manages enforcement costs and activities;Aware of, in control of, and responsible for site charges;Ensures costs are reasonable and necessary;Reviews contractor invoices and financial reports;Establishes and maintains official site files in coordination with the Records Center;Initiates PRs, WAs, CAs, IAs, and contracts; andApproves site-specific IA invoices.

c. Regional Project Officer (RPO)/Deputy Project Officer (DPO)Is an employee of EPA;



Manages remedial, enforcement, removal, and general site support contracts;Evaluates and designates contractor award fees;Monitors contractors’ activities;Reviews monthly contractor reports and site- specific attachments;Initiates PRs, WAs, CAs, IAs, and contracts;Prepares Procurement Initiation Notifications (PIN) including contract Scope of Work and Independent Government Cost Estimate (IGCE) for procurement of Superfund Mission contracts such as START, RACs, and ERRS;Approves site-specific IA invoices;Identifies regional and site-specific contract requirements;Reviews invoices; andProvides general contract management support.

III.B.3 Headquarters Support Office Financial Roles and ResponsibilitiesSelected program offices in Headquarters (HQ), particularly within the OCFO and the

Office of Administration and Resources Management (OARM), also have Superfund Financial Management responsibilities. Within OSWER and OECA, each national program office can address financial management issues associated with its program. Refer to Appendix B to identify the appropriate contacts within each office. Other Superfund financial management functions provided by EPA’s enabling support offices are briefly depicted below.

a. Cincinnati Finance Center (CFC), Office of Financial Services, OCFOProvides accounting support for all Superfund IAs;Processes disbursement requests from other agencies;Issues and processes billings for reimbursable activities (e.g., special accounts) and for payment of state cost share;Enters IA obligations and disbursements into Compass:Enters all reclassification transactions into Compass, andRecords remedial state cost share credits into Compass.

b. Las Vegas Finance Center (LVFC), Office of Financial Services, OCFOProvides support of Grant Payments and financial closeout of Assistance Agreements for all of the 11 Grant Award Offices. Processes payments under EPA's Local Government Reimbursement (LGR) program for hazardous substance, pollutant, or contaminant threat response. Provides consolidation and certification of EPA's daily grant, vendor, and travel payments through the Treasury's Secure Payment System.

c. Office of Acquisition Management (OAM), OARMConducts 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; andProvides cost and price analysis.



d. Office of Budget, OCFOAllocates, 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; andAnnually issues the deobligation recertification guidance memo.

e. Office of Financial Management (OFM), OCFOCollects HQ Superfund cost documentation for cost recovery;Oversees annual site-specific reporting process;Develops financial policies and procedures;Provides general accounting support;Records transfer allocations;Manages investments in the Superfund Trust Fund; andEstablishes and maintains accounting models in Compass.

f. Office of Grants and Debarment (OGD), OARMIssues policies, regulations, and guidance for processing, awarding, and managing financial assistance agreements and IAs;Issues identification numbers for all IAs; andProcesses and awards HQ IAs.

g. Research Triangle Park (RTP) Finance Center, Office of Financial Services,OCFOProvides accounting support for all Superfund contracts;Enters contract award and obligation data into Compass;Processes contractor invoices;Enters payments into Compass via the Contract Payment System;Conducts distributions to various sites as requested by approving official once invoices are paid;Scans Superfund documents into SCORPIOS; andCompletes corrections on contracts and simplified acquisitions.

III.C FINANCIAL VEHICLESEPA uses a variety of procurement mechanisms to carry out the Comprehensive

Environmental Response, Compensation and Liability Act (CERCLA)-funded response actions. These include the procurement of contracts, IAs, CAs and TAGs.

III.C.1ContractsSuperfund contracts are awarded through standard procurement procedures as shown in

Exhibit III.1. There are three basic types of contracting within Superfund: site-specific, non-site specific, and support contracts. Funds for contracts that support Site-Specific Work are obligated and tracked on a site-specific basis. Contract vehicles that primarily support site-specific work



include Response Action Contracts (RAC), Superfund Technical Assessment and Response Team (START), Regional Oversight (ROC), Emergency and Rapid Response Services (ERRS), Contract Laboratory Program (CLP), and Environmental Services Assistance Team (ESAT). Generally site support contracts are not awarded on a site-specific basis though they allow for site-specific task or delivery orders, which can be obligated on a site-specific basis. Funds may be obligated to specific sites, or bulk funded with the "WQ" SSID (or “WQ” action code) and then paid out site specifically. Bulk funding (WQ) is discussed in detail in section III.H.

Mission Support Contracts are contracts that provide support to HQ and regional program offices and are not generally used for site-specific work. For more discussion on contracts, see OCFO’s RMDS 2550C, Chapter 3 (http://intranet.epa.gov/ocfo/policies/direct/2550c-03.pdf),and the EPA Contracts Management Manual, or refer directly to the directives prepared for each contract.

EXHIBIT III.1. EPA FORMS COMMONLY USED FOR SUPERFUND PROCUREMENTS

EPA Form Number Form Name Purpose Comments

1900-8 Procurement Request/purchase Order

The Agency’s basic form for requesting the procurement of any goods or services. Used to commit funds before obligating funds on any of these documents. Must be certified by RFO.

This form is the basis for entering a commitment in Compass (formerly IFMS). The RFO enters an obligation only upon receiving a contract document or purchase order.

1900-48

Order for Services-Emergency Response to Hazardous Substance Release

Used by OSCs to obligate funds and contract for services (up to $250,000) from commercial firms or a state or local government (if site not owned by state or subdivision at time wastes were disposed of) to respond to a release.

Results in a firm, fixed-price contract. No price adjustment may be made for work stated in contract. Contractor may submit only one invoice. RFO will process contract as an obligation.

1900-49

Notice to Proceed with Emergency Response to Hazardous Substance Release

Used by OSC to authorize a contractor to begin work on an emergency response (up to $10,000 per incident). Negotiation of definitive contract and any modifications performed by CO.

A preliminary contractual instrument that must be made final by a designated CO. RFOwill process notice as an obligation.

1900-56

Letter contract for state, tribal government, or local government Response to Emergency Hazardous Substance Release

Used by OSC to procure services from a state, local, or tribal government to begin work on an emergency response (up to $10,000 per incident) if site was not owned by state or subdivision at time of hazardous waste disposal. Negotiation of definitive contract and any modifications performed by CO.

Results in a cost reimbursement type agreement with a state, local, or tribal government. It is a preliminary contractual instrument that must be made final by a CO. The appropriate RFO will process a letter or contract as an obligation.

1900-59 Delivery Order for ERRS

Used by OSCs to order services (up to $250,000) from the ERRS contractor to respond to a release. All modifications and obligations greater than $250,000 will be processed by the CO.

Has time and material provisions but uses fixed rates negotiated in ERRS contract. Order must be made final by a designated CO. RFO will process orders as an obligation.



III.C.2Interagency Agreements (IAs)An Interagency Agreement (IA and previously called IAG) is a written agreement

between federal agencies under which goods and services are provided. The Superfund program uses Disbursement IAs to request federal agencies’ assistance with site cleanups and associated activities, and to provide ongoing support or services. The regional program offices initiate and manage site-specific IAs. HQ also manages specific IAs, including U.S. Coast Guard (USCG), Department of Justice (DOJ), U.S. Fish and Wildlife Service (FWS), and National Oceanic and Atmospheric Administration (NOAA) IAs. Each IA specifies the services required and identifies the method of payment. For additional information on the financial management of Superfund IAs, refer to OCFO’s RMDS 2550D, Chapter 6:

http://intranet.epa.gov/ocfo/policies/direct/2550d-06.pdf.

III.C.3Cooperative Agreements (CA)A Superfund CA is a legal instrument between the federal government and a state,

political subdivision, or Indian tribe (including intertribal consortia) that forms a working relationship in which both parties provide funding and services related to the design and implementation of Superfund responses. The Superfund CA ordinarily transfers money, goods or services to the recipient to lead or support Agency Superfund activities. There are several types of Superfund CAs which serve different purposes, ranging from site assessment activities to lead for site-specific response actions to support Agency functions and general support for stateSuperfund programs. These CAs have unique provisions that are described in Subpart O of 40 CFR Part 30, including satisfying CERCLA provisions regarding state involvement and payment of state cost share.

Several offices are involved in the commitment process for a CA. The Regional Program Office (RPO) prepares the commitment notice and obtains the necessary program approvals; the regional Comptroller’s Office certifies availability of funds, assigns accounting data, and enters commitment in Compass (formerly the Integrated Financial Management System (IFMS)); and the Grants Administration Division assigns the CA identification number. The Regional Administrator (or designee) must first sign the CA before funds may be obligated. The regional Comptroller’s Office processes the obligation in accordance with OAM, Grants Administration Division (GAD), and Financial Management Division (FMD) requirements and then enters the obligation into Compass.

III.C.4Technical Assistance Grants (TAGs)The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the

TAG program to provide technical assistance to eligible communities. A TAG provides money for activities that help communities participate in decision making at eligible Superfund sites. An initial grant up to $50,000 is available to qualified community groups so they can contract with independent technical advisors to interpret and help the community understand technical information about their site. TAGs are available at Superfund sites that are on the EPA's NPL or proposed for listing on the NPL, and for which a response action has begun.



III.D FINANCIAL DATA MANAGEMENT TOOLSThe unique aspect of Superfund financial tracking stems primarily from the need to

associate EPA’s incurred costs with specific Superfund sites and OUs and projects to support the cost recovery process. Cost recovery negotiations with Potentially Responsible Parties (PRPs), or court actions, require careful documentation of federal costs incurred at each site/spill. The following data management systems and tools are used to plan and track the use of programmatic resources:

III.D.1CERCLIS Superfund Comprehensive Accomplishment Plan (SCAP) ReportsCERCLIS is a Superfund specific database that houses site- and non-site specific data

including the financial planning data that are used by program managers to monitor resource needs and uses. Superfund Comprehensive Accomplishment Plan (SCAP) Reports are standardized reports generated from CERCLIS that support program planning and performance (see Chapter II, titled Performance Measures, Planning and Reporting Requirements). HQ uses SCAP 4 reports to track the regional financial planning and execution. These reports include the SCAP 4R for the Response budget; SCAP 4E for the Enforcement budget; and SCAP 4F for the Federal Facilities budget. CERCLIS financial information is used for management purposes only and is not an official representation of Superfund incurred costs. Resource planning data are also usually considered enforcement sensitive, since they may inadvertently give leverage to PRPs who are negotiating settlements with EPA, are not made available to the public (See Chapter IV,titled CERCLIS Data Management and CERCLIS Codes, for more information onconfidentiality of CERCLIS data).

III.D.2Budget Automated System (BAS) BAS is the central EPA system used to integrate strategic planning, annual planning,

budgeting, and financial management for all programs across the Agency. The system contains resource (dollars and full time employee (FTE)), planning, and performance data. The system supports budget formulation, annual planning, and operating plan development. EPA also uses BAS to record and track regional commitments of performance targets within the Agency and project-based planning/resource allocations within Offices. BAS does not contain reprogramming including recertification of funds.

III.D.3Compass (formerly IFMS)Compass is the umbrella name for EPA’s new financial management and reporting

system. This system replaced an earlier financial management system, IFMS, at the beginning of fiscal year (FY) 2012. Compass has at its base a core financial system that supports the general ledger, budget execution, funds control, accounts payable, disbursements, accounts receivable and collections, travel, project cost accounting, fixed assets and standard reporting functions.Compass is integrated with several Agency financial systems including the Bank Card PaymentSystem, the Fellowship Payment System (FPS), the Integrated Grants Management System (IGMS), GovTrip, Property Inventory, eBusiness, the Grants Payment Allocation System (GPAS), the Budget Automation System (BAS), the Inter-Agency Doc Online Tracking System (IDOTS), the Web Order System (WEBOS), the Small Payment Information Tracking System (SPITS), the EPA Acquisition System (EAS), the Integrated Resource Management System (IRMS), the Contract Payment System (CPS), and PeoplePlus. Financial data are loaded into the Compass Data Warehouse (CDW), which supports both financial and administrative data,



providing financial data and reports to users across the Agency and supports a number of EPA applications, including programs such as Superfund Cost Recovery Package Imaging and On-Line System (SCORPIOS) and CERCLIS.

III.D.4Compass Business Objects Reporting ToolThe Compass Business Objects Reporting Tool (CBORT) provides a corporate,

web-based approach to Agency financial reporting and information needs. CBORT also integrates financial, administrative and program performance information, which is useful for monitoring Agency operating activity, conducting trend analysis, and developing program strategy. CBORT consists of three main components:

1. Standard Reports: Provide users with detail and summary information on automated disbursement, budget execution, fixed assets, General Ledger accounting, and purchasing.

2. Ad Hoc Reports: Provides users with custom reporting capabilities to meet the needs of their respective organization.

3. Information Centers: Provide users with a platform for posting, viewing and sharing reports of interest with multiple users across their Responsible Program Implementation Office (RPIO) Organization

III.D.5Compass Data Warehouse (CDW)The Compass Data Warehouse (CDW) is an official Agency reporting tool that contains a

collection of data in an Oracle database from Compass and other Agency financial systems. The data that is stored in CDW are available to EPA users via the intranet athttp://iasint.rtpnc.epa.gov/neis/adw.welcome and by direct desktop access through Lotus Approach, Impromptu, and MS Access (a User ID, password, and database host name must be established). Compass data in the CDW are refreshed constantly as transactions are processed in the on line Compass application. Historical financial data in Compass, and thus the CDW, arelimited. While all financial transactions that are open (i.e., unliquidated) have been migrated to Compass, only completed transaction data from budget fiscal year (BFY) 2001 and later are contained in Compass and the CDW. At the CDW intranet site, there is a link to historic Financial Data Warehouse (FDW) queries that may be used to access historic data. These queries allow access to all data migrated to Compass as of the end of FY 2011 as well as historic data that were not migrated. The data available through FDW queries are frozen and do not containany financial transaction information occurring in FY 2012 or later. OCFO is currently developing a Superfund Comprehensive Data Source (SCDS) that will eventually provide an authoritative source for all current and historical Superfund financial data.

III.D.6Superfund Cost Recovery Package and Image On-Line System (SCORPIOS) SCORPIOS organizes cost information and produces reports that summarize the costs for

a specific Superfund site. The SCORPIOS report is combined with images of supporting cost and technical documentation to yield a complete cost recovery package. The system also provides calculations for oversight billing and tracking, charging of indirect costs, and the charging of annual allocation. Please check the website for more information:

http://intranet.epa.gov/ocfo/superfund/index.htm



III.D.7PeoplePlus (PPL) PPL, the Agency’s integrated Human Resources, Benefits, Payroll, Time, and Labor

Management System, is a time recording system as well as a labor distribution system. With PPL, both the time card and time sheet functions are combined. The user must record and attest all site charges that are entered in PPL each pay period. PeoplePlus electronically records this information and attributes it to the appropriate accounts by site. The information is then automatically passed into Compass, and then to SCORPIOS, which is used for cost recovery.

III.E SUPERFUND ACCOUNTING INFORMATION AND TREATMENT OF CERCLIS DATAWhere EPA incurs costs that can be identified as solely benefiting Superfund, the

Superfund Appropriation is to be directly charged through the Agency’s account number structure. The account number structure is integral to the Agency’s management of financial resources and is used for processing and tracking financial transactions with Compass, the Agency’s financial management system. When planning resource uses in CERCLIS, regions will generate Superfund account numbers that may be used as the basis for preparing procurementrequests through the Agency’s procurement systems. The CERCLIS interface with financial information in Compass, necessary for tracking resource use (commitments, obligations, payments) in CERCLIS, also depends on the account number structure.

III.E.1 Superfund Account NumberThe account number structure is comprised of six fields of data elements that identify the

specific nature of the expense. These fields are: the budget fiscal year; fund (or appropriation); organization; program results code; project and cost organization. Exhibit III.2 provides an example of an account number and a brief definition of each of its fields and the following sections provide additional detail about each field.

EXHIBIT III.2. SUPERFUND ACCOUNT NUMBER STRUCTURE

Budget Fiscal Year Fund Budget Organization Program Results Code Project Cost/Org

2 0 1 2 T R 2 A 7 A 0 0 P 3 0 2 D D 2 0 7 2 3 R A 0 1 C 0 0 2

Data Element Field Name Definition Sample Entry

Budget Fiscal Year (eight characters)

The first four positions in this field identify the beginning budget fiscal year (e.g., ‘2012'). The last four positions in this field identify the ending budget fiscal year (for expiring funds), but these positions are not used by the Superfund program and should be left blank.

2 0 1 2

Fund (Appropriation) (six characters)

The type of appropriation is entered in this field with up to first four characters indicating appropriations accounts and sub-actions (e.g., ‘TR2A’). If the appropriation is billed or received (for cost recovery), valid entries can be up to four characters in length (e.g., HSCR), with the last two positions left blank.

T R 2 A



Budget Organization (seven characters)

The Budget Organization field is the Allowance Holder/Responsibility Center (AHRC) code (e.g., 07H). The AHRC code can be between three and seven characters in length. For instance, the first two characters represent the allowance holder (e.g. Region 7 may be represented as 07 or 7A); the third character is an alpha character which designates the responsibility center within the region (see the region s budget office for a list of these codes). The fifth positionrepresents the Superfund Site Allowance Code (e.g., Pipeline or Remedial Action), although positions four through seven may also represent a local option or congressional add-on (e.g., CUD - counter-terrorism response).

7 A 0 0 P _ _

Program Results Code (PRC)(nine characters)

The first six characters identify the PRC. The PRC identifies the goal, objective, NPM, and program/project. The remaining positions should be left blank.

3 0 3 D D 2

Project (eight characters) - consists of SSID, Action Code, and Operable Unit1

The first four digits are comprised of the SSID. The SSID is comprised of the region number in the second position, e.g., ‘07’ for Region 7 with an alphanumeric place holder in the first position. For Region 10, ‘A0' should be entered in this position. The third and fourth positions are alphanumeric characters. The SSID is followed by the action code in position five and six. The action code is a twocharacter alpha code, a listing of which can be found in Chapter IV, Exhibit IV.3. Finally, the operable unit1 is entered in positions sevenand eight (e.g., ‘01’ for Operable Unit 01). A unique format is used for information technology (IT) related transactions (see Exhibit III.6).

0 7 2 3 R A 0 1

Cost Organization (seven characters)

The leading C is the CERCLIS identifier used by Compass. It is system generated in the first position of the Cost Organization field for CERCLIS actions. The numerical characters in the second, third and fourth positions represent the action sequence number, e.g., ‘002’ for the second occurrence of an action at a site. The remaining positions should be left blank.

C 0 0 2

a. Fund/Appropriation CodeEPA controls appropriated funds and sub-accounts by using an Appropriation Code also known as the Fund Code. The Superfund Fund Code is “T.” Multi-character “T*” Fund Codes represent Superfund sub-accounts. For example, current year appropriation resources use the “T” Fund Code, while reimbursable sub-accounts (e.g., special accounts for cashout settlements and resources from state cost share payments) use multi-character variations of the “TR*” Fund Code. Each year, OCFO publishes a Site Allowancememorandum that identifies which appropriation codes are available for use in the current fiscal year. The most frequently used codes within CERCLIS for obligating Superfund resources are identified in Exhibit III.3.

EXHIBIT III.3. Sample SUPERFUND APPROPRIATION CODES

Fund Code Title

T Superfund (this appropriation code is also used for carryover)

1 Refer to the NCP definition: http://edocket.access.gpo.gov/cfr_2003/julqtr/pdf/40cfr300.5.pdf



Fund Code Title

TD Superfund Deobligationss

TR1 Superfund Reimbursable -SSC

TR2 Non-Federal Special Accounts - unearned revenue (i.e., future costs)

TR2A Federal Special Accounts - unearned revenue (i.e., future costs)

TR2B Special Accounts - earned revenue (i.e., past costs and interest)

b. Budget OrganizationThe Budget Organization field is comprised of seven characters that identify the organization or portion of earmark using the expense. The first two characters indicate the Allowance Holder (AH) in the region or HQ, including the Superfund Site Allowances. The HQ AH represents the National Program Manager office responsible for managing and allocating the resources (e.g., 72 for Office of Superfund Remediation and Technology Innovation; D3 for Office of Emergency Management).

In the regions, the Allowance Holders are the regional “A” AH (e.g., 1A, 7A, or 0A) and the regional “0” AH (e.g., 01, 07, or 10). The “A” AH holds extramural resources that have been distributed by the Response Program (OSWER) HQ offices to specific Superfund Site Allowances for Superfund actions. The “0” AH generally holds other regional resources, such as personal compensation and benefits, site and non-site travelresources, and certain administrative expenses. The Enforcement Program (OECA) also distributes extramural resources to the “0” AH. Special account resources are also generally assigned to the “0” AH.

The third character of the Budget Organization Field designates the responsibility center in the region or HQ.

The fifth character generally represents the Superfund Site Allowance Code (e.g., P for Pipeline or R for Remedial Actions) within the Response Program PRCs. The Response Program Superfund Site Allowance codes are used in conjunction with the “A” AH.

Positions four through seven of the Budget Organization Field may also be used to represent local options, congressional add-ons to further identify the resources beyond the appropriation code and program results code (e.g., RSF for Recovery Act Superfund Maintenance and Operations), or other special purposes. These uses may necessitate overriding the use of the fifth character as a Superfund Site Allowance.

Certain regions use a combination of characters within the Budget Organization Field to identify site-specific budgets for the use of special account resources. This practice varies across regions and has not been codified.

c. Program Results Code (PRC)The Agency financial strategic architecture is designed to reflect the Agency Strategic Plan and annual commitments made under the Government Performance and Results Act (GPRA). The Program Results Code (PRC) is a nine character field within the Agency



financial management system account number that identifies the goal, objective, National Program Manager (NPM), Program/Project, and Agency activity associated with the resources that are allocated, obligated, or disbursed.

Resources for Superfund Response programs are found under Goal 3, Objective 03 (the first three positions of the PRC) and resources for the Superfund Enforcement and Federal Facilities Enforcement programs are found under Goal 5, Objective 01.

The most common NPMs (fourth position of the PRC) associated with Superfund are OSWER (NPM D), OECA (NPM E), and OCFO (NPM J).

Program/Projects (fifth and sixth positions of the PRC) within the Superfund program further distinguish the nature of the work within each program office (e.g., Homeland Security ‘72, Emergency Response and Removal ‘C6’, Enforcement ‘C7, Federal Facilities ‘C9’, Remedial ‘D2’, and Federal Facility Enforcement ‘H2’).

The seventh, eighth and ninth positions of the PRC are reserved for special use.

Exhibit III.4 shows PRCs that support key Superfund response program areas for which national program offices allocate resources to regional program offices primarily through Site Allowances. Descriptions of each of the programs are given in Chapter I, sectionI.B.2. The exhibit below also identifies the Site Allowance codes (used in Compass and BAS) that the Response programs use to allocate resources to the regions. The Site Allowance codes are found in the fifth position of the Budget Organization field.

EXHIBIT III.4. SUPERFUND PROGRAM RESULTS CODES AND SITE ALLOWANCE CODES

Program Program Results Code Site Allowance Code (BAS Local Code)

Remedial Program 303DD2

Remedial Action R

Pipeline Operations P

Removal Program 303DC6

Removal Actions E

Removal Support S

Homeland Security 303D72 C

Federal Facility Response 303DC9 F

BRAC (non-site) 303D41 none

BRAC (site-specific) 303D41B4 none

Enforcement - Technical and Legal 501EC7 none

Federal Facility Enforcement 501EH2 none



d. Project FieldThe first four characters of the Project Field represent SSIDs that the Agency uses to account for and accumulate Superfund costs by site. Generally, an SSID should be established when there is a reasonable expectation that a future response action will betaken, but no later than either site proposal to the NPL, execution of an action memo, or an official decision to undertake a response. The fifth and sixth positions of the Project Field represent CERCLIS Action Codes, described later in this chapter, and the seventhand eighth positions represent the Operable Unit (OU).

Other SSIDs (ZZ, WQ, or 00 in the third and fourth positions) denote site-specific work where a site-specific SSID has not yet been established, funding where when the precise amount to be charged to a site or action is not known at the time of obligation, and non-site funding. These codes are described in more detail in section III.F.

EXHIBIT III.5. PROJECT FIELD

Position Description

1-2

The first four characters of the Project field represent the SSIDs that the Agency uses to account for and accumulate Superfund costs by site.

The first two characters of the SSID are comprised of an alphanumeric place holder in the first position and the region number in the second position, e.g., ‘07' or ‘A7’ for Region 7.

3-4 The third and fourth positions are alphanumeric characters.

5-6 The action code is entered in positions five and six. (e.g., ‘RA’ for Remedial Action. See Chapter IV, Exhibit IV.3)

7-8 The operable unit is entered in positions seven and eight (e.g., ‘01' for OU 01).

For information technology (IT)-related transactions, a unique format is used for the Project Field. The following describes this format. Note: IT-related transactions willalways be associated with the non-site Information Management (IJ) action in CERCLIS.

EXHIBIT III.6. PROJECT FIELD FOR IT RELATED TRANSACTIONS

Position Description 1 IT Identifier (this character will always be L)

2-3 Major or Significant Project 4 System/Project Phase (preliminary design, development, or maintenance)

5-6 Cost Area

7-8 Special Reporting Requirements (currently there are no special reporting requirements so this will always be zeros)

See the http://intranet.epa.gov/ocfo/policies/itcostacctg.htm for additional information on the IT accounting requirements.

e. Cost OrganizationThe leading C is the CERCLIS identifier used by Compass. It is system generated in the first position of the Cost Organization field for CERCLIS actions. The numerical



characters in the second, third and fourth positions represent the action sequence number, e.g., ‘002’ for the second occurrence of an action at a site. The remaining positions should be left blank.

III.E.2 Handling Financial Data in the CERCLIS EnvironmentCompass data are downloaded nightly into CERCLIS through an automated link. This

automatic transfer of financial information from Compass to CERCLIS includes commitments, obligations, and payment data. Planned financial data must be entered into CERCLIS by the region; however, the Compass Account Number is generated by CERCLIS at the time the planned obligation is first entered. This Account Number must be entered on all funding documents at the time the planned obligation is executed, i.e., committed or obligated. If the Account Number is not correct, the Compass to CERCLIS transfer will not work properly.

a. Deleting Planned Obligation Data from CERCLISOnce the funding document has been processed by the region, and actual obligation data are entered into Compass and transferred to CERCLIS, the planned financial data should be deleted from CERCLIS. Failure to delete the “Planned” Financial Type could cause the region to miscalculate its planned annual budget. However, because committed (not obligated) funds are technically available for use, regions should not delete planning data from CERCLIS until obligations occur.

b. Correcting Financial DataThe Information Management Coordinator (IMC) or regional Superfund Budget Coordinator can request, on a regular basis, a report from the regional financial office that contains all Superfund financial transactions in Compass. The information in this report can be compared with the funding documents and the information in CERCLIS. The CDW is another source for this information. If there is a discrepancy between the financial data in CERCLIS and Compass, the funding document should be used to verify the information in both systems.

Upon determining that the data on the funding document is correct, the IMC should give the RFO a copy of the funding document and any other relevant documentation showing that the Compass data has been entered incorrectly. The regional Compass administrator is then responsible for correcting any data errors in Compass. The Compass administrator is the only person authorized to correct data entry errors or change financial information in the Compass database. The OFM has issued standard procedures for correcting Compass data. The IMC or designee should work with the RFO on a regular basis to make sure that all Compass errors are corrected.

Errors in account number or other information on the original funding document can only be corrected by the same process used to initially create the financial record (by a contract/PA or by amendment of the IA or CA).



III.F ALLOCATING SUPERFUND RESOURCES AMONG THE REGIONSEach Superfund national program office has specific procedures for allocating resources

among the regions. This section focuses on resources that the national program offices allocate to the regions through Site Allowances (formerly known as Advices of Allowance) and use CERCLIS to track regional plans and usage.

Each Site Allowance represents a national program office’s annual allocation of extramural resources for the regions to conduct specific program functions. Extramural resources are identified by financial codes known as budget object classes (BOCs) and include Administrative expenses (BOC 36), Contracts and Interagency Agreements (BOC 37), and Grants and Cooperative Agreements (BOC 41).

The national program offices also have various methodologies to allocate additional resources to the regions for other functions, namely site- and non site-specific travel and Working Capital Fund (BOCs 28, 21, and 38, respectively), but these resources are not planned in CERCLIS and their distribution is not addressed in this manual.

III.F.1 Managing Site Allowance Resources in CERCLISRegions are required to plan obligations in CERCLIS by Site Allowance and/or

Program/Project (PRC code). Planned obligations in CERCLIS may be site-, project-, Operable Unit-, or non-site specific. Some planned obligations are associated with specific site activities, while other planned obligations are estimates of total funding required for an activity within a region (i.e., bulk funding). Regions should make sure all their programmatic funding needs are reflected in CERCLIS and that they correspond with the appropriate program Site Allowance.

There are numerous codes in CERCLIS to assist regions and HQ in planning out the use of Site Allowance resources. The two most relevant Funding Status codes reflect “planned approved (APR) obligations” and “planned alternate (ALT) obligations” (Contingency [CONT] is a third less commonly used code). Although regions may mostly use these and other resource planning codes at their discretion, each of the national program offices may have certain requirements for the use of these codes. These requirements are described where relevant in the manual, primarily in this chapter.

Once funds are issued to the regions, the regions are responsible for managing the funds within each Site Allowance, and for operating within budget ceilings, floors, and other restrictions. The Agency’s financial management system, Compass, tracks commitments, obligations, and expenditures and downloads these data into CERCLIS on a nightly basis to facilitate regional management of these funds. Additionally, regions must follow Agency reprogramming guidelines issued annually by OCFO to shift resources among program/project codes or Budget Object Classes (BOCs).

To the extent practicable, the regional budget for each Site Allowance must balance at all times with the sum of actual obligations, open commitments to date, and remaining planned approved (APR) obligations in CERCLIS. Due to the mechanics of CERCLIS, regions must delete planned obligations from CERCLIS only once they are obligated in order to ensure that



regional budgets in CERCLIS are in balance. To adhere to Agency terminology regarding the definition of available resources, because committed (not obligated) funds are technically available for use, regions should not delete planning data from CERCLIS until obligations occur.

III.F.2 Deobligating Prior Year FundsObligations made in prior years where all payments have been made, the obligation is

inactive, and there remains an unneeded, unliquidated balance may be deobligated and reused for current year purposes. As a no-year appropriation, Superfund resources that are obligated before the end of a given fiscal year and deobligated in a subsequent year may be recovered by the Agency and obligated again in that same year. These funds are reapportioned to the Agency by the Office of Management and Budget (OMB) and reissued to the Allowance Holders (HQand/or regional offices) through a process called recertification. All recertified funds must be obligated within the fiscal year of deobligation. The deobligation of prior year funds is a good fiscal management practice and helps offset shortfalls in the current year Superfund budget.

The annual Deobligation Recertification Guidance (“Deob Policy”), issued jointly by the Office of the Chief Financial Officer, OSRTI, OSRE, and OEM, explains the general procedures for deobligating funds and recertifying funds. The Deob Policy also includes national program-specific policies regarding the use of recertified funds. Depending on the program, a region may be required to return a portion of the prior year funds resources that it deobligates and recertifies to the national program office (to a “National Pool”), who may redistribute these funds to other regional offices based on national priorities. See the following link for more information.http://intranet.epa.gov/ocfo/budget/budmemo/2011/FY2011_Deob_Recert_Guidance_Memorandum.pdf

For planning purposes, regions should plan the use of recertified funds in CERCLIS as “approved” (APR) planned obligations.

III.F.3 Removal Program Resources (PRC 303DC6)The Office of Emergency Management (OEM) manages the Removal response program

budget. Removal resources are allocated in two Site Allowances: the Removal Site Allowance which supports emergency response and site-specific removal actions; and the Removal Support Allowance which provides resources for activities such as removal assessments, site management, equipment procurement and OSC training and exercises. Resource distribution under the Removal Site Allowance is based upon a historical allocation methodology as well as the annual obligation of resources. Distribution under the Removal Support Allowance is based upon allocation decisions made by HQ and regional management at the time the Site Allowancewas established in FY 2004.

Following enactment of the annual appropriations and establishment of the Agency’soperating plan, HQ issues funding to the regions in two increments. The first increment is distributed during the first quarter of the fiscal year and the second at the beginning of the thirdquarter. HQ also retains a small regional reserve for emergencies or removal actions that may exceed a region’s annual resource allocation. Regions may request access to these funds at any point during the year by submitting a request along with a justification to the Office ofEmergency Management Director. If the reserve remains unobligated by August of each year,HQ will issue a call to the regions to identify and submit a list of critical sites that require



additional resources. Sites selected for funding will be determined by the type of release a site poses; i.e., potential for a significant fire, explosion or the threat of a catastrophic release.Homeland Security resources are allocated under the Site Allowance code "C." Resources are distributed through the operating plan and are allocated equally across the regions to implement core Homeland Security preparedness programs and activities.

III.F.4 Remedial Response Program Resources (PRC 303DD2)The Remedial Response program budget includes two Site Allowances, Remedial Action

and Pipeline Operations, which are managed by the Office of Superfund Remediation and Technology Innovation (OSRTI). Each year, OSRTI determines the amount of resources to allocate these Site Allowances based on the process for developing the Agency’s annual budget.

a. Remedial Action Site AllowanceRegions are required to enter all planned obligations site-specifically in CERCLIS within the Remedial Action Site Allowance (Account Code R), which includes Fund-financed remedial actions, mixed funding and mixed work projects, and non-time-critical removals at NPL sites (collectively called "construction") as well as long-term response actions, and five-year reviews.

Through the annual work planning process, OSRTI works with the regions to develop funding plans for the upcoming year for ongoing construction projects, including long-term response actions and five-year reviews. During the work planning process, OSRTI relies on planned obligation data from CERCLIS, ongoing discussions with the regions, and projections of the availability of funds to develop an initial ongoing construction funding plan. Only funds that a region intends to obligate in the identified year for anticipated work should be planned for that year. Until the plan is issued, all planned obligations in CERCLIS must be assigned as "alternate (ALT)" (or "contingency [CONT]") on the Funding Status dropdown list on the Budget Allowance Detail Backup screen. Once HQ issues the plan, regions must switch the funding status designation in CERCLIS to "approved (APR)" in accordance with the funding plan. Those planned obligations that maintain the "alternate (ALT)" designation should include only the activities the region would conduct if additional resources become available in the current fiscal year and will form the basis for additional funding decisions.

Once an appropriation is enacted and funds are allocated to the national program offices through the operating plan, HQ will issue funds to the regions based on the ongoing construction funding plan. If the fiscal year begins without an enacted appropriation, HQwill allocate available resources to each region on a case-specific basis until an appropriation is enacted and the Operating Plan is approved. HQ and regions will continuously work together to update the plan based on site-specific cost estimate adjustments that occur throughout the year. Regions must also regularly update planned "approved (APR)" and "alternate (ALT)" obligations in CERCLIS to reflect accurately the current year’s expected use of Remedial Action (RA) Site Allowance resources and to identify additional funding needs.

Regions are required to obtain OSRTI approval of any proposed changes to the funding plan greater than $100,000, (e.g., shift resources among sites or activities within the



Remedial Action Site Allowance) and record all changes to planned obligations in CERCLIS. Because of the changing needs of the regions during the course of the year, OSRTI will continually monitor regional obligation rates and usage of the Remedial Action Site Allowance resources. Based on mid-year regional reviews as well as contact throughout the year, OSRTI will update the Remedial Action funding plan to reflect changes in regions’ resource needs as well as additional resources that may come available (e.g., through deobligations). Unless otherwise directed by OSRTI, and except for deviations of $100,000 or less, regions are required to return to HQ, through the reprogramming process, allocated resources that will not be used according to the funding plan. OSRTI will include these resources in a national resource pool from which it will fund remaining program priorities. Regions may not shift resources into or out of the Remedial Action Site Allowance without prior OSRTI approval.

b. Pipeline Operations Site AllowanceHQ distributes Pipeline Operations Site Allowance (Account Code P) resources amongthe regions based on the Pipeline Allocation Model. The model allocates a portion of the budget based on historical allocations and the remaining portion using a work-based scoring system. At the initiation of the annual work planning process OSRTI will provide general guidance regarding its projections of the funding that will be available to the regions through the Pipeline Operations Site Allowance. Using this information, each region will plan out the use of these resources and enter its planned obligations and accomplishments into CERCLIS. Pursuant to work planning discussions with HQ and refined resource allocation projections based on the Pipeline Allocation Model, regions will finalize their program operating plans in CERCLIS. OSRTI will then finalize the Pipeline Operation Site Allowance allocation using the Pipeline Allocation Model.

Planned obligations for regional activities within this Site Allowance must fall within the total identified level, and should be shown in CERCLIS by selecting "approved (APR)" from the Funding Status drop down list on the Budget Allowance Detail Backup screen. Funding needs above the HQ proposed total budget level must be designated as "alternate (ALT)."

At the beginning of the fiscal year HQ will generally issue 60% of the Pipeline Operations Site Allowance among the regions. HQ will issue the remaining Site Allowance funds during the third quarter. If a region's commitment/obligation rate is less than 50% at the end of the second quarter, HQ may delay the remaining allocation to the region and renegotiate the region's program allocation for the remainder of the year, which could result in a reduction in the region's budget. If the fiscal year begins without an enacted appropriation, HQ will work with each region to determine its funding needs until an appropriation is enacted and the Operating Plan is approved. Funds from the Pipeline Operations Site Allowance may not be moved to any other Site Allowance without prior OSRTI approval.

III.F.5 Superfund Federal Facilities Response Program (PRC 303DC9)Regional Superfund Federal Facilities Response budgets (Site Allowance account code F)

are determined during the annual work `planning sessions. If the Agency has an enacted budget, each region will receive 50% of its portion of the approved budget during the first quarter and



will receive the remainder during the third quarter. If a region has a low obligation rate, discussions will be held prior to third quarter distribution as to whether there is a need for the remainder of the funds. To request additional funds, a region should contact Federal Facilities Restoration and Reuse Office (FFRRO) and provide a description of the amount needed and a justification for the funds. Funds may not be moved out of the Federal Facilities Site Allowancewithout the FFRRO office director’s prior approval.

III.F.6 Base Realignment and Closure (BRAC) (303D41 [non-site] and 303D41B4 [site-specific])To assist the Department of Defense (DOD) with cleaning up and transferring selected

BRAC I-IV properties, DOD provides resources to EPA to cover the cost for those employees working in the BRAC program. Upon receiving transfer authority, the U.S. Army transfersBRAC resources to EPA via a Military Interdepartmental Purchase Request (MIPR). Once the HQ Grants Administration Division has processed a fully executed IA, and Cincinnati finance posts the information, FFRRO distributes the resources via a reprogramming to the various Allowance Holders. Although resources are not loaded into Compass on an installation-specific basis, DOD provides the funding to the Agency site-specifically. To increase or decrease the funding level for any BRAC installation, regions must receive prior approval from HQ.

III.F.7 Enforcement Program (PRC 501EC7)The Enforcement program budget includes the program/project 501EC7 Superfund

Enforcement technical and legal resources that are managed by the Office of Site Remediation Enforcement (OSRE) in OECA, and program/project 501JC7 Superfund Enforcement financial management resources that are managed by OCFO. The resources for these programs have not been assigned a Site Allowance code and are identified in financial management databases by program/project. The initial operating budget for technical enforcement is allocated based on each region’s share of the usage rate (as measured by expenditures for the current year to date and the preceding two years) for enforcement activities. HQ allocates 60% of the President’sbudget request (if there has been congressional appropriation committee mark-up, it will be the lesser of the two) in the early phases of the Operating Plan. This initial allocation will be made available in the Interim Operating Plan for spending as soon as the appropriation is passed by Congress and signed by the President.

An additional allocation will be made in the third quarter of the fiscal year. OSRE will issue a call to the regions late in the second quarter for requests for additional funding. Emphasis will be placed on funding program priorities which will be outlined in the call. The call will consider all sources of funding not previously allocated, including the remaining new obligating authority not allocated in the Interim Operating Plan, carryover of funds from the previous year, projected reprogramming, and a projection of regional resources to be deobligated and recertified. This second allocation of funds will be distributed in the third quarter.

Funds must not move into or out of the Superfund Enforcement program/project (501EC7) without Agency and, if necessary, Congressional approval. Funds may be redirected within the Enforcement Site Allowance to other BOCs and to other regions or HQ offices.



III.F.8 Federal Facilities Enforcement Program Resources (PRC 501EH2)The Federal Facilities Enforcement program budget consists of two components, an

Environmental Programs and Management (EPM) appropriation and a Superfund appropriation, which are managed by the Federal Facilities Enforcement Office (FFEO). At the beginning of the fiscal year, FFEO informs the regional Federal Facility Program Managers the amount each region is allocated. The regions are requested to provide FFEO with prioritized requests for resources, not to exceed the allocated amount. The resources consist of New Obligating Authority (NOA), and carryover of prior year funds. The funds are disbursed by project, and monitored by HQ. The resources for this program have not been assigned a Site Allowance code and are identified in financial management databases by program/project. Funds may not move into or out of the Enforcement function without Congressional approval. Funds may be redirected within the Federal Facility Enforcement Site Allowance and to other regions or HQoffices.

III.G COST RECOVERYCERCLA allows the federal government, states, and some private parties to recover

response costs. If EPA does cleanup work using Superfund money, it will try to recover those costs from PRPs. EPA is permitted to recover all costs of response that are not inconsistent with the National Contingency Plan (NCP).

EPA's cost recovery process involves documenting the costs, evaluating the factors for pursing recovery of those costs, notifying parties of the costs and demanding repayment, and negotiating a payment agreement.

When EPA uses Superfund money for work at a site (or relating to a site), the Agencymust document all of its cleanup costs (See section III.G.1 on Recoverable Costs). In order to successfully recover these costs, they must be properly documented. For example, costs related to any work performed by contractors must indicate that the work was authorized and completed. Further, cost documentation must prove that the costs were actually incurred and paid for by the government. Costs incurred by EPA are recorded in Compass and are organized and summarized and combined with images of supporting cost and technical documentation in SCORPIOS to yield a complete cost recovery package.

EPA’s decision to pursue cost recovery is based on the evaluation of several factors, such as strength of liability evidence, financial strength of PRPs, and the amount of incurred costs.

As a matter of policy, EPA typically sends a written demand letter to PRPs prior to filing a cost recovery lawsuit. The demand letter requests that the PRPs reimburse the Superfund Trust Fund for a specified amount and triggers the accrual of prejudgment interest on the costs sought by EPA. Following the issuance of a demand letter, EPA and PRPs will attempt to negotiate a settlement for the reimbursement of EPA's response costs. EPA will often pursue not only costs incurred ("past costs") but costs it anticipates to incur ("future costs"). If a PRP agrees to reimburse EPA for its costs, the resulting settlement may be documented in a judicial consent decree or in an administrative settlement. If a PRP refuses to reimburse EPA for its costs or if a settlement agreement cannot be reached, EPA may request the Department of Justice (DOJ) file a cost recovery action in court to recover past and/or future costs. EPA may deposit costs



recovered through settlements or judgments into special accounts within the Superfund Trust Fund (See section III.J) to pay for cleanup activities at the site for which it received the money.

III.G.1Recoverable CostsEPA may recover all of its costs that are "not inconsistent" with the National

Contingency Plan (NCP). Examples of costs that the courts have found are recoverable include:

Planning and implementing cleanup actions Investigation and monitoring Actions to limit access to the site Indirect costs needed to support the cleanup work EPA's contractor costs Annual allocation costs

a. Direct CostsDirect costs are those expenses directly traced to a particular activity, such as a cleanup action. These costs can include the following expenses incurred by EPA and the cleanup contractor:

Time spent on a cleanup-related activity, Travel to and from the site, Contractor costs at the site, and Equipment used at the site, etc.

b. Contractors' Annual Allocation CostsContractors' annual allocation costs include money spent by government contractors doing site-related work not traceable to a particular site. For example, training in handling hazardous materials is an allocation cost. This training is essential to Superfund cleanup site work, but the training received may be used at several sites.

On an annual basis, government contractors allocate these costs across the sites that they have worked on during the past year. Through the Annual Allocation Reporting Process these costs are redistributed or allocated to the appropriate Superfund sites. The process requires the contractors to follow a documented methodology for allocating certain non-site specific costs to sites and submit an annual allocation report to EPA. Annual allocation costs are computed site-specifically in SCORPIOS to enable their cost recovery. See the following link for more information:http://intranet.epa.gov/fmdvally/superfund_A/annual_allocation/aaguide.pdf

c. Indirect CostsIndirect costs are EPA's expenses for managing the Agency. These costs are not directly traceable to any particular cleanup activity and include the following activities:

Administrative matters, Personnel issues, Guidance development,



Office, utility and supply costs, etc.

EPA uses a complex methodology for allocating these costs among all of the activitiesaccomplished during a year, and they are computed site-specifically in SCORPIOS to enable their cost recovery. See the following link for more information: http://intranet.epa.gov/ocfo/financial_policies/policy/pa00-05.pdf.

III.H SITE CHARGING POLICY (SITE-SPECIFIC, ZZ, 00 SSIDS)The funding documents processed through EPA’s administrative and financial systems

must contain enough information to assign Superfund costs properly. Consequently, EPA developed the SSID, so that the Agency can properly assign hazardous waste cleanup costs and identify costs by site for cost recovery and reporting purposes. The SSID is a four-character alpha-numeric code occupying the first four positions of the Project field in EPA’s Account Code Structure. It is used in Compass to track Superfund costs for each specific site. The process for establishing an SSID is described in Exhibit III.5.

All costs directly associated with cleanup/response actions at or for a particular Superfund site must be charged to a site-specific SSID for that site. Costs to be charged include salaries and benefits, travel, and rental and purchase of equipment and supplies and those costs incurred by parties external to EPA, such as EPA’s contractors, other federal agencies, local governments, states, and private parties.

However, under some circumstances, it is impossible or impractical to charge certain Superfund costs to a specific site. EPA uses special SSID codes for these situations (WQ, ZZ, 00). These standard codes appear in the third and fourth position of the SSID and must be used by all regions and HQ offices charging costs to the Superfund.

For more information on site-specific charging see OCFO’s Direct Charging of Superfund Costs Site-Specific Cost Accounting Methods (Procedure and Technical Interpretation), RMDS 2550D-04 P1 at:http://intranet.epa.gov/ocfo/policies/direct/2550D-04-P1-final-posting.pdf andhttp://intranet.epa.gov/ocfo/policies/direct/2550D-04-P1.pdf.

III.H.1WQ SSID and WQ Action Code“WQ” represents a generic code used to obligate funds when the precise amount to be

charged to a site or action is not known at the time of obligation. The WQ code may be applied to the SSID or to the action code, or both, in the Project field in EPA’s Account Code Structure.

a. WQ SSIDThe WQ SSID is a generic SSID code (e.g., 02WQ) that EPA uses to obligate funds to IAs, cooperative agreements, grants, and contracts when the precise amount to be charged to specific sites or actions is unknown at the time of obligation. Use of the WQ SSID is called “bulk funding.”

Once WQ SSID obligations are expended, these costs should be redistributed from the WQ SSID to a site-specific, ZZ, or 00 SSID within 30 days of payment for all funding



vehicles (i.e., IAs, grants, small purchases, and contracts). Payroll and travel may not be obligated to the WQ SSID.

b. WQ Action CodeThe WQ action code is a generic action code (described in Chapter IV, titled CERCLIS Data Management and CERCLIS Codes) that occupies the fifth and sixth positions of the Project field in EPA’s Account Code Structure. The WQ action code serves a similar function as the WQ SSID, but is specific to the type of actions that are being conducted in association with the site or non-site SSID. Use of the WQ action code is also called “bulk funding.” It is possible to use both the WQ SSID and WQ action code simultaneously in the Project field of an obligating document (e.g., 02WQWQ00).

Just like the WQ SSID, once WQ action code obligations are expended, these costs should be redistributed from the WQ action code to a site- or non site-specific action code within 30 days of payment for all funding vehicles Payroll and travel may not be obligated to the WQ action code.

III.H.2ZZ SSIDThe “ZZ” SSID (e.g., 02ZZ) records initial assessment costs at a Superfund site where no

SSID exists. If EPA determines that a cleanup response is necessary, a site-specific SSID is set-up to charge all future costs incurred. Within the Removal program, costs charged to the ZZ SSID primarily include removal assessment and technical assistance-related costs. For the Remedial program, costs charged to the ZZ SSID generally include, but are not limited to, preliminary assessment/site inspections. Generally, assign site-specific costs associated with the Remedial Investigation and beyond to a site-specific SSID, not the ZZ SSID.

Once a site-specific SSID is established, the approving official, usually the project officer, will request adjustment of previous disbursements from the ZZ SSID to the site-specific SSID. Generally, readjustments should be conducted during the first billing cycle after the site-specific SSID is established. Redistributions of ZZ intramural and cooperative agreement disbursements are not required due to the complexity associated with tracking site-specific costs outside agency systems. However, once a site-specific SSID is established, disbursements for the site should not be charged to the ZZ SSID.

III.H.300 SSIDThe “00” SSID (e.g., 0200) is used to record general Superfund costs or when it is not

economically feasible to charge costs on a site basis. For example, If an employee's time is divided among several sites in a manner that is not economically feasible to charge to a specific site (e.g., less than 15 minutes per site), or cannot be tracked by site, the 00 SSID should be used.Multi-site project management should also be charged to the 00 SSID when it is not economically feasible to divide costs among site-specific SSIDs. The ZZ SSID should not be used in this situation; the ZZ SSID should be used only for site-specific costs incurred before a SSID is assigned. Efforts spent preparing a response to a site-specific Freedom of Information Act request for information about a particular site is charged to the 00 SSID.



III.I SUPERFUND STATE CONTRACTS (SSC)An SSC is a legally binding agreement between EPA and a state or tribe that provides the

mechanism for obtaining statutorily required state cost share and other assurances, outlines the statement of work for the response action, includes a cost share payment schedule, and documents responsibilities for implementation of response activities at a site. The SSC does not obligate funds but is used to describe the state’s or tribe’s role when EPA or a political subdivision has the lead for a Fund-financed Remedial Action (Fund RA). The SSC is signed by EPA, the state or tribe, and, if necessary, the political subdivision. The SSC must be signed prior to the obligation of funds for a Fund RA.

Alternatively, where a state or tribe has the lead for a Fund RA, a remedial action cooperative agreement (CA), which transfers resources to the state, is used to document the statutory assurances and other requirements addressed by the SSC. When a political subdivision enters into a CA with EPA to lead a Fund RA, the assurances must still be documented in anSSC.

SSC and Superfund CA provisions described below are found in greater detail in Subpart O of 40 CFR Part 35, and OCFO’s RMDS Resources Management Directive System 2550D-09-P1, State Cost Share Provisions for Superfund State Contracts and Remedial Cooperative Agreements (to be issued in 2012).

III.I.1 Cost Share ProvisionsA signed SSC or remedial CA for remedial action contains five statutorily required

assurances, including a remedial state cost share assurance that must be made by a state before EPA can obligate or expend funds for remedial action at a particular site. The following provisions address the basic components of the cost share assurance requirements.

a. Ten percent. Where a facility, whether privately or publicly owned, was not operated by the state or political subdivision thereof, either directly or through a contractual relationship or otherwise, at the time of any disposal of hazardous substances at the facility, the state must provide 10% of the cost of the remedial action, if CERCLA-funded (CERCLA 104(c)(3)(C)(i)); or

b. Fifty percent or more (Herein after referred to as 50%). Where a facility was operated by a state or political subdivision either directly or through a contractual relationship or otherwise, at the time of any disposal of hazardous substances at the facility, the state must provide at least 50% (of the cost of removal, remedial planning, and remedial action if the remedial action is CERCLA-funded (CERCLA 104(c)(3)(C)(ii)) ; and

c. Operation and Maintenance. The state must provide an assurance that it will assume responsibility for all future operation and maintenance (O&M) of CERCLA funded remedial actions for the expected life of each such action.

Based on the terms of the SSC or remedial CA, the regional program office (RPO), with assistance from the regional finance office (RFO) will use project and action-specific direct, extramural expenditures of Superfund appropriated resources (as well as any TR1, resources expended) to calculate the amount of remedial state cost share liability incurred. Typically, a state's 10% cost share will be calculated using specific action codes that correspond with the



remedial action and long-term response action. Other or additional action codes (for planning and design) may be included in the cost share calculation depending on the nature of the SSC (i.e. voluntary removal) or the 50% cost share requirement. The RPO may consult with Regional Counsel and HQ program staff to confirm the scope of activities to be captured in the cost share calculation and to ensure consistent application across the regions.

III.I.2 Constraints on Obligating Funds for RAEPA may not obligate funds for Fund RA without having a signed SSC in place. When

EPA obligates funds for an EPA-lead Fund RA, it will generally use a contractor or enter an interagency agreement (IA) with another agency to transfer funds. EPA may obligate Remedial Design (RD) funds to initiate the RA procurement process, up to the point of soliciting for construction bids without a signed SSC. In cases of extreme urgency, a solicitation (for bids on RA work) may be issued before an SSC is signed. The solicitation must notify prospective bidders that the availability of funds for the contract is contingent on EPA and the state concluding an SSC. To ensure that Fund monies are effectively used, procurement activities should be initiated with RD funds only when the region is confident the SSC will be signed before bids are opened. If the SSC is not signed before the bid opening, one of the following decisions must be made: 1) the solicitation may be canceled; or 2) the bid opening date may be postponed (giving bidders an opportunity to withdraw, modify, or submit new bids) (See Office of Emergency and Remedial Response (OERR) Directive 9735.7-02).

Among other requirements, the SSC must contain an estimated value of the remedy that EPA will implement using Fund resources (and the state’s share), the amount of cost share that the state is assuring to provide, and a cost share payment schedule. EPA may not spend RA resources in excess of the estimated value of the remedy determined in the SSC. If there are increases to the cost of the RA, the SSC must be amended to reflect the full cost of the remedy and document the state’s increased share in the cost (See OERR Directive 9375.7-01). The region must provide the Cincinnati Finance Center (CFC) copies of any SSC, amendment, or closeout document within five business days.

III.I.3 Cost Share PaymentsA state may pay for its share of response costs using cash, services, credit, or any

combination thereof. Greater detail of these cost share payment provisions and their requirements are described in Subpart O, sections 35.6285 and 35.6815.

1. Cash. A state may pay for its share of response cost by direct cash payments to EPA.Payment terms are specified in the SSC between the state and EPA.

2. Services. This form of payment may be provided only through a cooperative agreement.Where EPA (or a political subdivision) is conducting the remedial action and a SSC is required, this form of payment must also be documented in the SSC. In-Kind Services are described in 40 CFR 31.24.

3. Credit. A state may satisfy its cost share requirement using credits, which are limited to state site-specific expenses that EPA determines to be reasonable, documented, direct, out-of-pocket expenditures of non-federal funds for remedial action, as defined in CERCLA section 101(24), that are consistent with a permanent remedy at the site.



a. Credits are established on a site-specific basis and only a state may claim credit.b. For sites already listed on the NPL, the state may be eligible for credit only if the

state initiated the remedial action after obtaining EPA’s written approval (authorization to conduct work).

c. Expenditures of non-federal funds for removal actions, as defined in CERCLA section 101(23), are not eligible for credit.

d. The state must first apply all credit to the site for which it was earned. With the approval of the EPA regional administrator, the state may use excess credit earned at one site for its cost share at another site. Excess credit at any site does not entitle a state to a cash refund. EPA will not reimburse excess credit.

III.I.4 Using Funds from State Cost Share PaymentsSSC collections become part of the Superfund appropriation and are designated as

reimbursable resources using the TR1 fund code. These funds must be used at the site for which they were collected, and EPA cannot obligate these funds until reimbursable authority has been issued by Office of Budget. The Office of Budget annually issues a reimbursable authority guidance memo giving direction on when and how to request reimbursable authority. To receive reimbursable authority, the regional program office generally initiates a request for funds and the RFO submits a reprogramming document in the Agency’s financial management system, Compass, to request unobligated TR1 resources associated with the site.

To maximize the use of appropriated resources elsewhere in the program, the RPO with the assistance of the RFO should annually assess the availability of TR1 funds at a particular site to determine whether these resources may be used in lieu of T funds. Generally, obligations of TR1 funds, relative to T obligations for remedial action, should roughly match the proportions specified in the cost share contract (e.g., TR1 obligations would equal 10% of the value of total remedial action costs obligations). Since resource use is a dynamic process, such estimates will necessarily be rough, and the precise calculation of cost share amounts will occur during SSC reconciliation.

III.J SPECIAL ACCOUNTSSpecial accounts are site-specific, interest bearing sub-accounts within the Superfund

Trust Fund established through settlements and used to fund site-specific work. The Agency’s goal for the establishment and use of special accounts is to provide cleanup dollars collected under an agreement with Potentially Responsible Parties (PRPs) at sites where future response work remains, which preserves annually appropriated resources for sites without viable PRPs.Use of special account resources helps to achieve cleanup without relying solely on EPA’s annual Superfund appropriations.

As an Agency, we have been successful at collecting settlement funds to be placed in special accounts and directing these funds towards future response costs. Whereas the Agency’s initial focus was on establishing special accounts and receiving deposits, the growth of special accounts requires greater focus on managing the funds. In particular, the Agency will manage special accounts to: ensure available special account funds rather than annually appropriated resources are used for response work as appropriate; reclassify and transfer funds to the general



portion of the Superfund Trust Fund when appropriate; and close out special accounts where funds are no longer required for work at the site.

OSRTI, OSRE, and the regions have made great efforts over the last several years to improve special accounts data collection to monitor more effectively the planned and actual uses for these funds. The CERCLIS Special Accounts Management screen enables regions to see and enter planning data for the use of special accounts in conjunction with response activities and appropriated resource planning for individual sites. Regions are expected to plan the use of available funds in each special account consistent with guidance, and planning data should be updated at least three times a year during the work planning and mid-year review processes, but also more frequently when a milestone is reached (e.g., an account is established, funds are received, new planning information is available). During annual work planning and mid-year review meetings, accounts will be reviewed by OSRTI and OSRE to ensure CERCLIS planning is appropriate.

When planning the use of special account resources regions should enter planned obligations in CERCLIS for available special account resources as "approved (APR)", using the appropriate Program Results Codes (PRCs).

The “Guidance on the Planning and Use of Special Account Funds” (September 28, 2010) provides additional information on the appropriate planning and use of special account funds for response actions. The document is available at:

http://www.epa.gov/compliance/resources/policies/cleanup/superfund/plan-use-specacct.pdf.For more information on special accounts, please see the Special Accounts Team and National Workgroup intranet page at: http://intranet.epa.gov/oeca/osre/workgroup/sa/sa-policy.html

III.K USING THE FIDUCIARY RESERVE TO ADDRESS COST OVERRUNSEPA has a strong commitment to ensure that unliquidated obligations are periodically

reviewed, and if appropriate, are deobligated and committed toward activities in need of funding.The Agency discourages the practice of retaining funds after a project period expires. Offices should deobligate any unliquidated obligations with expired project periods, unless you are aware of immediate pending invoices (OSRTI recommends within 90 days).

The Agency’s fiduciary and expired fund reserve accounts, monitored by the Office of Budget, are sufficient to cover funds deobligated that subsequently prove to be needed. For Superfund, the Agency has an enhanced reserve in order to encourage timely deobligation and to help maintain the pace of cleanups. Use of the fiduciary reserve will not cause an Anti-deficiency Act violation. However, the Director, Office of Budget (OB), at his/her discretion, may ask the Program Office responsible to reimburse the fiduciary reserve for any overrun with current dollars if OB believes there is a need to replenish the fiduciary reserve.

Accessing the fiduciary reserve does not require Office of Budget approval, only notification if the amount is over $50,000. The obligating official, payment official, or



Contacting Officer should fund the obligation with a modification with the appropriate accounting information, based on when the work was performed. Program Offices should not submit new commitments to cover these obligations. Previous prior year funds on the contract, simplified acquisition or other types of order can be increased as appropriate to cover the cost overrun. Payments should be obligated and paid with accounting data that are valid for the year of the overruns.

Because of the possibility that the Program Office will need to replenish the reserve, ifthe prior year obligation is within the Remedial Program and is over $50,000, the region shouldconsult with the Office of Superfund Remediation and Technology Innovation (OSRTI), Chief of the Budget Planning and Evaluation Branch (BPEB) before proceeding to fund the obligation. After the consultation is complete, the obligating official or payment official should notify the OB Control Team Leader, via e-mail, copying the BPEB Chief. The message should include the total amount of the charge (above and beyond any unliquidated obligation) broken down by the Budget Fiscal Year, appropriation and amount. The OB Control Team Leader will acknowledge the notification via a responding e-mail.

For prior year obligations of Superfund resources other than the Remedial Program, please contact the appropriate Program Office.

For more information on cost overruns and the fiduciary reserve, see OCFO's Resource Management Directives System (RMDS) 2520, U.S. EPA’s Administrative Control of Appropriated Funds, Release 3.2.







Chapter IV: CERCLIS Data Management and CERCLIS Codes





FY 12 SPIM IV-i March 20, 2012

CHAPTER IV: CERCLIS Data Management and CERCLIS Codes

Table of Contents

IV.A Introduction ............................................................................................................. IV-1

IV.B CERCLIS Regional/Headquarters Roles and Responsibilities........................... IV-1 IV.B.1 Regional Roles ....................................................................................................... IV-2

a. Information Management Coordinators........................................................... IV-2 b. Budget Coordinators ........................................................................................ IV-2

IV.B.2 HQ Roles ................................................................................................................ IV-3 a. Data Sponsors .................................................................................................. IV-3 b. Data Owners .................................................................................................... IV-3 c. OSRTI Resource Management Division – Budget Planning and Evaluation

Branch .............................................................................................................. IV-3 d. OSRTI Resource Management Division – Information Management Branch .IV-4 e. OSRTI Assessment and Remediation Division (ARD) Regional Support.........IV-4 f. Office of Site Remediation Enforcement (OSRE) Regional Support ................IV-4 g. Office of Emergency Management (OEM) Regional Support ..........................IV-4 h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional Support IV-5

IV.C General CERCLIS Data Entry/Quality Requirements ....................................... IV-5 IV.C.1 Quality and Timeliness of Data Entry .................................................................... IV-5 IV.C.2 Setting Targets in CERCLIS .................................................................................. IV-5

a. Remedial Program ........................................................................................... IV-5 b. Federal Facilities Program.............................................................................. IV-6 c. Enforcement Program ...................................................................................... IV-6

IV.C.3 Data Lockout on Historical Accomplishments....................................................... IV-6 IV.C.4 Data Validation and Verification ........................................................................... IV-7

IV.D CERCLIS Program Priority Codes....................................................................... IV-8 IV.D.1 Superfund Alternative Approach............................................................................ IV-8 IV.D.2 Mega-Sites.............................................................................................................. IV-8

IV.E Action Lead Codes .................................................................................................. IV-9

IV.F Action Codes Available for Financial Transactions........................................... IV-10

IV.G Action and Other Qualifier Codes....................................................................... IV-15 IV.G.1 Takeovers, Phased Indicators and Other Action Code Anomalies....................... IV-15

a. Takeovers ....................................................................................................... IV-16 b. CERCLIS Coding For Takeovers ................................................................... IV-17 c. Phased Projects.............................................................................................. IV-18 d. Other Anomalies............................................................................................. IV-19

IV.G.2 Other Qualifiers.................................................................................................... IV-19


March 20, 2012 IV-ii FY 12 SPIM

List of Exhibits

Exhibit IV.1. Regional/HQ CERCLIS Responsibilities ..................................................................... IV-2

Exhibit IV.2. Action Lead Codes in CERCLIS.................................................................................. IV-9

Exhibit IV.3. Action Codes Available for Financial Transactions Sorted by CERCLIS Action Name (Who Pays for What)........................................................................................................................ IV-11

Exhibit IV.4. CERCLIS Action Anomaly Reference Table............................................................. IV-16

Exhibit IV.5a. Takeovers.................................................................................................................. IV-18

Exhibit IV.5b. Phased Projects ......................................................................................................... IV-19

Exhibit IV.5c. Other Anomalies ....................................................................................................... IV-19


FY 12 SPIM IV-1 March 20, 2012

CHAPTER IV: CERCLIS DATA MANAGEMENT AND CERCLIS CODES

IV.A INTRODUCTIONThe Comprehensive Environmental Response, Compensation and Liability Information

System (CERCLIS) is the Superfund program's primary repository of program planning and accomplishment data, including resource planning estimates and program targets and measures.Regions are primarily responsible for all Superfund data in CERCLIS, which contains removal, site assessment, remedial, Federal Facility, and enforcement program data. CERCLIS also contains Superfund Comprehensive Accomplishments Plan (SCAP) reports that provide summary and detail information on site progress, target and measure accomplishments, and resource planning. Headquarters (HQ) uses SCAP reports (and others) internally to manage regional performance as well as to report progress to the public. Although regions enter Government Performance and Results Act (GPRA) Annual Target and Key Program Performance Measure accomplishments data directly into the Annual Commitment System (ACS), national Superfund program managers principally track this information through the CERCLIS database, and all ACS data must be in agreement with the information contained in CERCLIS.

This Chapter describes in detail how HQ and the regions use CERCLIS to manage resources, planning data, and program performance within Superfund. The first section outlines responsibilities for individual roles within the region and HQ as it relates to CERCLIS data entry. The next two sections deal with CERCLIS data requirements and treatment of CERCLIS accounting data. The final sections discuss specific CERCLIS codes that include program results codes, action lead codes, budget codes and program priority codes and qualifiers.

IV.B CERCLIS REGIONAL/HEADQUARTERS ROLES AND RESPONSIBILITIESHQ and regions have individual and shared responsibilities to ensure that planning and

accomplishment data are well maintained in CERCLIS. These responsibilities also extend to participation in Superfund program performance evaluations using planning and accomplishment data in conjunction with discussions of regional practices and national program priorities. Such evaluations enable management to recognize high performance, examine program accomplishments, analyze and discuss issues that affect the successful operation of the Superfund program, initiate changes in program operations or reallocate/redirect resources, and provide training and technical assistance to those regions that are experiencing difficulties.

Exhibit IV.1 describes general HQ/regional responsibilities for maintaining planning and accomplishment data in CERCLIS, and the following subsections outline roles and responsibilities of individual positions in the regions and HQ.


March 20, 2012 IV-2 FY 12 SPIM

EXHIBIT IV.1. REGIONAL/HQ CERCLIS RESPONSIBILITIES

Regional Responsibilities HQ Responsibilities

Add sites into CERCLIS and coordinate with financial management counterparts to assign Site/Spill Identification code (SSID)Plan and schedule in CERCLIS all Superfund site actions and related extramural budgets in a timely manner and in accordance with national schedulesEnter into CERCLIS planning, budget, and accomplishment data for non-site specific activitiesKeep all planning, budget, and accomplishment data in CERCLIS up-to-datePrepare and submit data or process change requests, as appropriateEnsure there is “objective” evidence to support accomplishment data entered in CERCLISPrepare information to support mid-year and annual work planning meetings and reviews

Coordinate annual and midyear meeting with regions and regularly communicate national program prioritiesNegotiate with regions to set regional sub-targets which total to the national Annual Target for each key program performance measureDetermine extramural program regional funding allocationsCommunicate changes in budget, SCAP process, SPIM, and provide other program guidance that affects planning with regionsMaintain SPIM accomplishment definitions, ensuring SCAP logic accurately reflects definitionsMaintain functionality of CERCLIS and respond to regional requests for data or process changes through the change requests processEnsure quality and timeliness of CERCLIS data by performing periodic reviews of random data samplesContinually assess program performance, provide guidance to, and solicit input from, regions on opportunities toimprove program performance

IV.B.1 Regional Roles

a. Information Management CoordinatorsThe Information Management Coordinator (IMC) is a senior position which serves as regional lead for all Superfund program and CERCLIS data systems management activities. The following lead responsibilities for regional program planning and management rest with the IMC:

- Coordinate program planning, budget development, and reporting activities; - Ensure regional planning and accomplishments are complete, current, and

consistent, and accurately reflected in CERCLIS by working with data sponsors and data owners;

- Provide liaison to HQ on SCAP process and program evaluation issues; - Coordinate regional evaluations by HQ;- Ensure that the quality of CERCLIS data are such that accomplishments and

planning data can be accurately retrieved from the system; and, - Ensure there is "objective" evidence to support accomplishment data entered

in CERCLIS. (Objective Evidence Rule: "All transactions must be supported by objective evidence, that is, documentation that a third party could examine and arrive at the same conclusion.")

b. Budget CoordinatorsThe Budget Coordinator (BC) serves as the regional lead for all Superfund program resource activities. The Budget Coordinator:



- Coordinates the planning, development, and reporting of resources; - Coordinates the planning and execution of regional priorities; - Communicates and implements national and regional Superfund budget

policies; - Assists IMC to ensure regional resources associated with accomplishments are

complete, current, and consistent, and accurately reflected in CERCLIS; and - Liaison to HQ on program issues.

IV.B.2 HQ Roles

a. Data SponsorsData Sponsors include the senior staff in program offices in HQ that, along with data owners, are responsible for the quality of data stored in CERCLIS. Data Sponsors:

- Identify data needs; - Oversee the process of entering data into the system; - Use data for reporting purposes; - Conduct periodic audit reports; - Provide definitions for data elements; - Promote consistency across the Superfund program; - Initiate changes in CERCLIS as the program changes; - Provide guidance requiring submittal of these data; - Support the development of requirements for electronic data submission; and - Ensure there is "objective" evidence to support the accomplishment data

entered in CERCLIS through identifying data requirements and check to assure compliance by performing periodic reviews of a random CERCLIS data sample.

b. Data OwnersBoth HQ and the regions are Data Owners. The primary responsibilities of Data Owners are to:

- Enter and maintain data in CERCLIS, and - Assume responsibility for complete, current, consistent, and accurate data.

c. OSRTI Resource Management Division – Budget Planning and Evaluation Branch

The Budget Planning and Evaluation Branch (BPEB) provides leadership for budgeting, program planning, and program analysis for the Office of Superfund Remediation and Technology Innovation (OSRTI). With respect to regional implementation of the Remedial Program, the branch is responsible for coordinating regional work planning and review efforts, including negotiating regional pipeline action performance targets during summer work planning, tracking performance progress during midyear discussions, and preparing year-end summary analyses.



The branch also manages two of the Remedial Program’s key environmental indicator performance measures, Human Exposure and Groundwater Migration. Additionally, BPEB is responsible for distributing and monitoring Remedial Action (RA) Site Allowance funds to the regions based on the annual RA Funding Plan and Pipeline Operations Site Allowance funds based on the results of the Pipeline Resource Allocation Model. BPEB also coordinates the annual regional unliquidated obligation analyses and tracks and provides OSRTI approval of recertifications of deobligated/reclassified funds to the National RA Pool.

BPEB staff are data sponsors for CERCLIS cost data and the branch participates in regular discussions with the IMC/BC community, keeping them informed of CERCLIS/Compass financial tracking requirements and working through issues that affect these data.

d. OSRTI Resource Management Division – Information Management BranchThe Information Management Branch (IMB) provides leadership for information management, office automation, and program measurement functions throughout OSRTI. IMB designs, implements, and maintains the Superfund Corporate Information Systems, oversees the Superfund Program’s nationwide data quality efforts, in concert with program offices advises on the development and operations of HQ and regional databases and systems. IMB 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 SupportOSRTI's Assessment and Remediation Division (ARD) generally includes the primary contacts for regions regarding site-specific issues and is often the primary conduit to regions for communicating and interpreting national policies.

f. Office of Site Remediation Enforcement (OSRE) Regional SupportThe Office of Site Remediation Enforcement’s (OSRE) Program Evaluation and Coordination Branch (PECB) in the Policy and Program Evaluation Division (PPED) has established specific contacts, called Regional Analysts, to communicate with regions on a variety of Superfund enforcement related matters including site-specific matters, national priorities, CERCLIS data, Integrated Compliance Information System (ICIS) data, and enforcement resource matters.

g. Office of Emergency Management (OEM) Regional SupportThe Office of Emergency Management’s (OEM) Program Operations and Coordination Division have specific individuals assigned to provide information to each region and to address questions or issues raised by any region that is associated with removal activities and Homeland Security.



h. Federal Facilities Restoration and Reuse Office (FFRRO) Regional SupportThe Federal Facilities Restoration and Reuse Office’s (FFRRO) Regional Coordinators (RCs) serve as the primary contacts for regions regarding site-specific issues. RCs consult with subject matter experts on an as needed basis for issues relating to groundwater, unexploded ordnances (UXOs), five-year reviews (FYRs), CERCLIS, etc.The RC is often the primary conduit to regions for communicating and interpreting national policies. FFRRO works closely with OSRTI on issues that may have an impact upon both the federal and private cleanup programs in the regions.

IV.C GENERAL CERCLIS DATA ENTRY/QUALITY REQUIREMENTSThis section addresses several issues regarding CERCLIS data entry and data quality of

actions that are reported in CERCLIS.

IV.C.1 Quality and Timeliness of Data EntryIt is essential that planning and accomplishment data in CERCLIS remain current and up-

to-date throughout the year and that accomplishments are reported as they occur. HQ pulls quarterly targets and measures accomplishment data from CERCLIS at the close of business of the fifth working day of the new quarter. However, EPA managers, other agencies, and the public continually request up-to-date accomplishment, budget and site-specific data from the program on a quick turnaround basis. Data need to be consistent and timely to avoid confusionwith data provided in prior data requests or by more than one entity.

All activities at National Priorities List (NPL) and Superfund Alternative Approach (SAA) sites should be planned out through the deletion date as early as possible. During the Remedial Investigation/Feasibility Study (RI/FS), the regions should enter into CERCLIS all the estimated planned start and completion dates for future actions. Site schedule and financial planning information should be reviewed and updated on an ongoing basis. If changes in planning information (schedule and/or funding needs) warrant changes in CERCLIS, the data owner is responsible for making the changes within five working days after being made aware of the need for the change. Regions should enter accomplishments data into CERCLIS within five working days of the action occurring except when otherwise noted in the Data Entry Timeliness Requirement sections throughout the Program specific chapters of this manual.

HQ only recognizes targets and accomplishments that are correctly reported in CERCLIS through SCAP reports. Although HQ may perform data quality checks and inform regions of discrepancies, regions are responsible for performing data quality checks and making adjustments to CERCLIS if the database does not reflect accurate targets or actual accomplishments. If a region believes that it has correctly recorded a target or accomplishment that is not showing on the appropriate CERCLIS report, it should contact the appropriate HQoffice.

IV.C.2 Setting Targets in CERCLIS

a. Remedial ProgramOnce work planning sessions are completed between HQ and the regions, regions use the Planning Estimates/Targets screen in CERCLIS to record final accomplishment targets.



The procedures and schedule for finalizing summary and detail level targets are provided in the annual work planning memo issued annually by OSRTI and OSRE. Most targets are non-site-specific estimates of the number of accomplishments of an activity a region will achieve. However, in a few instances, regions must set targets site-specifically. Five-year review targets are site specific and substitutions are not allowed. Sites targeted for five-year reviews must be completed by the planned completion date set in CERCLIS.

Under the Superfund Pipeline Site Allowance allocation methodology, regions must set site-specific targets for a subset of pipeline actions (Fund RI/FS, Potentially ResponsibleParty (PRP) RI/FS, Fund Remedial Design (RD), PRP RD, and PRP RA starts) in order to obtain Pipeline resources. For these actions, regions must ensure that detail level targets match summary level targets within the SCAP 4. Although regions have flexibility to alter their site-specific plans after Pipeline resources are allocated, HQ will use only a region’s original overall numerical targets for the resource allocation calculation the following year (i.e., if a region originally targets 10 RD starts for the year and is allocated resources based on that value, the model will use the target of 10 RD starts the following year as its basis for calculating the region’s resource allocation, regardless of whether the region reduced or increased its target; because the model takes into consideration the portion of the previous year’s target that the region met when allocating the following year’s resources, the region has incentive to target accurately in the current year). Although regions have flexibility to alter plans, the regions are still accountable for meeting the targets established at the beginning of the fiscal year (FY).Regions should discuss with HQ any issues that may affect the meeting of negotiated annual targets during the mid-year reviews.

b. Federal Facilities ProgramAn annual memo is transmitted to the regions to convey dates and targeting expectations before work planning meetings. Regions are expected to set targets for RI/FS Starts, Decision Documents, Final Remedy Selected, RA Starts, RA Completions, Five-Year Review Completions, Construction Completions, and Sitewide Ready for Anticipate Use. Regions should use the tool located in eFacts, and the Federal Facility work planningwebsite.

c. Enforcement ProgramThere are site-specific targets for past costs addressed greater than $200,000. It is vital to the management of the cost recovery program that sites with upcoming statute of limitations (SOL) be addressed prior to the expiration of the SOL. Therefore, regions will not be allowed to substitute targeted sites that have SOLs occurring within the current fiscal year or in the first quarter of the upcoming fiscal year. Regions are required to submit their final SOL targets to OSRE before September 30th and to ensure that all final SOL targets are identified in CERCLIS by fiscal year quarter and appear on the SCAP-14report.

IV.C.3 Data Lockout on Historical AccomplishmentsCERCLIS has a historical accomplishment lockout feature that logs and controls changes

to Superfund data sensitive to public scrutiny. This feature uses the Accomplishment Change



Log Screen and reports that list all changes that have been made to historical accomplishments data. A regional manager for Superfund shall approve either in writing, or using the management review function in CERCLIS, each data change made by a region to locked historical data. Only regional IMCs, individuals designated by the IMC, and remedial project managers (RPMs) shall have access/authority to change/add/delete their own region's data via a CERCLIS Smart Screen once written approval has been received. All other regional personnel will be denied access to the change system. Written approval documents or records of approval via CERCLIS management review must be maintained by the IMC for the duration of the life cycle of the data changed (up to seven years).

In regions that use Management Review, RPMs will be able to make changes to prior year accomplishment data via the Accomplishment Change Log Screen. All changes made by RPMs will, however, need to be approved by the Regional Manager.

Each region will establish a policy or procedure to ensure that the appropriate people have knowledge of and approve of the change. All approval documents must bear a System Generated Reference Number or Document Number.

IV.C.4 Data Validation and VerificationGPRA requires that an agency address its verification and validation procedures for

performance data in the annual performance plan. CERCLIS data verification and validation procedures were incorporated as part of the Superfund program's submission to the EPA's annual performance plan.

A key component of CERCLIS verification/validation procedures is the regional CERCLIS Data Entry Internal Control Plan. The control plans include: 1) regional policies and procedures for entering data into CERCLIS; 2) a review process to ensure that all Superfund accomplishments are supported by source documentation; 3) delegation of authorities for approval of data input into CERCLIS; and 4) procedures to ensure that reported accomplishments meet accomplishment definitions. In addition, regions document in their control plans the roles and responsibilities of key regional employees responsible for CERCLIS data (e.g., regional project manager, information management coordinator, supervisor, etc.), and the processes to assure that CERCLIS data are current, complete, consistent, and accurate.

Regions are required to update their CERCLIS Data Entry Internal Control Plan at least annually. HQ reviews these plans for conformance to national guidance, and suggests improvements where necessary.

In addition, regions are required to submit to their regional Superfund Records Center the document that constitutes or justifies an accomplishment date (actual start or actual complete) recorded in CERCLIS. (Documentation requirements for these dates can be found in the later chapters of this manual in the "Definition of Accomplishment" section of the applicable target or measure.) When submitting the documentation to its Records Center, the region should provide the target/measure category and the CERCLIS Operable Unit (OU)/action name/sequence number. The regional Records Center is to include these SCAP data with the document index data, and provide the document index number from its tracking system for entry into CERCLIS associated with the applicable accomplishment date.



IV.D CERCLIS PROGRAM PRIORITY CODESPeriodically, throughout the span of the program, EPA has used CERCLIS Program

Priority codes to identify and/or track specific site-wide characteristics of priority interest to national program managers. In many cases, these priorities are temporal, and the codes are no longer relevant for tracking in subsequent years. Although the codes remain in CERCLIS, regions are not required to use them. The following Program Priority codes are currently active.Regions must use these codes for each site in CERCLIS that meets the criteria established for these priorities.

IV.D.1 Superfund Alternative ApproachThe SAA uses the same investigation and cleanup process and standards that are used for

sites listed on the NPL. The SAA approach is an alternative to listing a site on the NPL; it is notan alternative to Superfund or the Superfund process.

The SAA approach can potentially save the time and resources associated with listing a site on the NPL. As long as a PRP enters into an SAA approach agreement with EPA, there is no need for EPA to list the site on the NPL (although the site qualifies for listing on the NPL).

Threshold eligibility criteria for using the Superfund alternative approach are:

Site contaminants are significant enough that the site would be eligible for listing on the NPL (i.e.,A long-term response (i.e., a remedial action) is anticipated at the site, and There is a willing, capable PRP who will negotiate and sign an agreement with EPA to perform the investigation or cleanup.

Regions should maintain adequate site documentation to support the use of the SAA. Credit for PRP-lead remedial actions at non-NPL sites will only be given for activities conducted pursuant to an SAA agreement. Superfund Alternative Approach sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative"

IV.D.2 Mega-SitesGenerally, a site is considered to be a mega-site if the combined extramural, actual and

planned, removal and remedial action costs incurred by Superfund or by PRPs are greater than $50 million. The mega-site designation may be applied to any federal or non-Federal FacilityNPL or non-NPL site. For the purposes of reporting in CERCLIS, a site is defined as a mega-site (MS) if:

the cumulative value of the extramural capital costs of all selected remedies (as expressed in decision documents such as Record of Decisions (RODs), ROD amendments, or action memoranda) exceeds $50 million; OR

the cumulative estimated value of all PRP or Federal Facility actual and expected extramural capital costs (as memorialized in documents such as settlements, orders, or Memorandums of Agreement (MOAs)) for removal or remedial action response activities (excluding Long Term Response Action (LTRA)) at the site exceeds $50 million; OR



the cumulative value of net actual extramural obligations for fund-financed removal and remedial actions (excluding LTRA) at the site exceeds $50 million; OR

the cumulative estimated value of post-ROD (or post-action memorandum), removal, and remedial action obligations (excluding LTRA) planned in CERCLIS for the selected remedies at the site exceeds $50 million; OR

the cumulative value of any combination of the above costs exceeds $50 million.

A site is defined as a potential mega-site (MP) if the region, using its best judgment, expects that the total costs of removal and remedial actions will exceed $50 million, but the documentation of actual or expected costs (e.g., through decision or settlement documents or actual obligations) does not currently exist. Once such documentation is developed, the site should be reassigned as MS. Conversely, if new information suggests that the site is not a mega-site, the designation of MP or MS should be removed.

IV.E ACTION LEAD CODESAction lead codes identify the entity performing a specific action at the site and must be

used for all actions tracked in CERCLIS. Exhibit IV.2 shows the action lead codes available in CERCLIS. Lead codes are not required for SubActions. Only the lead codes that are valid for the chosen action can be entered. Valid lead codes for specific Superfund actions are identified in later chapters of the SPIM. For actions not identified in this manual, regions have the ability to assign lead codes as appropriate, based on regional preference.

With respect to SR-Lead projects, the Agency recognizes that states can and have assumed the lead role in reaching an agreement with the PRPs for response activities at NPL sites without negotiating a cooperative agreement or other formal agreement with EPA. However, the National Contingency Plan (NCP) has determined that in the absence of a formal agreement, the state will not be officially recognized as the "lead agency" for the project and EPA will not concur on the remedy selected.

EXHIBIT IV.2. ACTION LEAD CODES IN CERCLIS

Lead DefinitionLeads for Government Response Actions

CG Work performed by the Coast Guard - Limited to removals (applies to response actions) EP Response actions performed by EPA using in-house resources F Fund-financed response actions performed by EPA (applies to response actions)

S Fund- financed response actions performed by a state. Money provided through a cooperative agreement (CA) (applies to response actions)

TR Indian Tribal Governments

FF Response actions performed by the Federal Facility with oversight provided by EPA and/or the state/tribe at sites designated as Federal Facilities (also applies to RODs at Federal Facilities)

FEEnforcement actions performed by EPA or work done by enforcement program at private or Federal Facilities sites (applies to RODs and enforcement actions). Historically (pre-FY 89) applied to RI/FS and RD response actions

SE Enforcement actions performed by a state. Money provided through a CA or, if not funded by EPA, a comparable enforcement document exists (applies to RODs and enforcement actions)



Lead DefinitionLeads for PRP Response Actions

RP PRP-financed response actions performed by the PRP under a federal order/Consent Decree (CD) (applies to response actions)

PS

PRP-financed response actions performed by PRP under a state order/CD with PRP oversight paid for or conducted by EPA through an EPA CA with the state, or, if oversight is not funded by EPA, a state Superfund Memorandum of Agreement (SMOA) or other formal document between EPA and the state exists which allows EPA review of PRP deliverables (applies to response actions)

MR Work performed by PRP under a federal CD with an agreement that the Fund will provide some reimbursement to the PRP (preauthorization for mixed work)

Leads for Special Account Funded Actions

SA PRP-financed actions from a special account performed by EPA, where the majority1 of funding is disbursed from a special account (applies to response actions)

SG PRP-financed actions from a special account performed by the United States Coast Guard, where the majority1 of funding is disbursed from a special account - Limited to removals (applies to response actions)

SS PRP-financed actions from a special account performed by a state, where the majority of funding is disbursed from a special account. Money provided through a CA (applies to response actions)

ST PRP-financed actions from a special account performed by tribal governments, where the majority1 of funding is disbursed from a special account (applies to response actions)

Special LeadsCO Community Organization (only valid for community involvement activities)

PPResponse actions funded by the Department of Defense (DOD) performed at a Base Realignment and Closure (BRAC) site by a non-federal party that takes title to the BRAC property pursuant to Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) 120(h)(3)(C)

SC State ROD with EPA concurrence SW State ROD without EPA concurrence

SD State Deferral is a PRP- or state-financed response action at a non-NPL or proposed NPL site overseen or conducted by the state pursuant to a deferral agreement with the region

SN State-financed response actions performed by the state (applies to response actions) (no resources should be associated with projects having this lead)

SRPRP response under a state order/CD where no EPA oversight support or money is provided through a CA and no other formal agreement exists between EPA and the state (applies to response actions) (no resources should be associated with projects having this lead)

IV.F ACTION CODES AVAILABLE FOR FINANCIAL TRANSACTIONSThere are hundreds of action codes available for use in CERCLIS to assist regions in

planning activities and recording accomplishments for regional and national program management. To simplify and facilitate consistent financial transaction coding in CERCLIS and Compass, the Agency’s financial management system, the Superfund programs have determined that regions should assign financial planning and obligation information to only a subset of these actions. Exhibit IV.3 identifies those action codes that regions may use for planning obligations in CERCLIS as well as the appropriate Program Results Codes (PRCs) and Site Allowance(s) associated with them. Many of these action codes do not require use of lead codes for the purposes of conducting financial transactions. Thus SCAP resource reports will not report “invalid” actions due to the use of particular lead codes for particular actions. However, appropriate lead codes, as required in other chapters of this guidance, should be used to track accomplishments correctly.



EXHIBIT IV.3. ACTION CODES AVAILABLE FOR FINANCIAL TRANSACTIONS SORTED BY CERCLIS ACTION NAME (WHO PAYS FOR WHAT)

FY2012 Superfund Action Codes for Financial Transactions Sorted by Action NameCERCLIS Action Name Action

CodePRC SA Site Des. Lead

Administrative Records AR 303DC6303DC9303DD2501EC7

SFFPE

SSSS

No Lead Codes Required

Aerial Survey (formerly Pre-Remedial/Remedial Survey)

AS 303DC6303DC9303DD2

SFFP

S, WQ, ZZS, WQ, ZZS, WQ, ZZ


Alternate Dispute Resolution AD 303DD2501EC7

PE

S, WQ, ZZ, 00S, WQ, ZZ, 00


Bulk Funding Extramural use only. Outlays may not be charged to this action code and must be charged to a specific action code

WQ 303DC6303DC9303DD2501EC7

SFFPE

S, WQ, ZZ, 00S, WQ, ZZ, 00S, WQ, ZZ, 00S, WQ, ZZ, 00


CERCLA Criminal LitigationOnly HQ (Department of Justice (DOJ) Interagency Agreements (IAs)) may use 501EC7&

CC 501EC7501E52

EE

SS


Claim in Bankruptcy Proceedings CB 501EC7 E S No Lead Codes Required

Combined RI/FS CO 303DD2 P S F, S, TR, SA, SS, STCommunity Involvement (non-Federal Facility)May plan with WQ SSID but must obligate site-specifically

CR 303DC6303DD2

SP

SS


Compliance Enforcement UZ 501EC7 E S F, SContract Management JU 303DC6

303DC9303DD2501EC7

SFFPE



Cost Recovery Negotiation NE 501EC7 E S F, SDesign Assistance DA 303DD2 P S No Lead Codes

RequiredEmergency PRP Removal (Emergency Removals Without an Enforceable Instrument)

PJ 303DC6303DC6

RVS

SS

RP, PSRP, PS

Engineering Evaluation/Cost Analysis (EE/CA)

EE 303DC6303DC9303DD2

SFFP

SSS

CG, F, S, TR, RP, PS, MRFF

F, S, TR, RP, PS, MRExpanded Site Inspection/ Remedial Investigation (ESI/RI)

SS 303DD2 P S F, S, TR

Expanded Site Inspection (ESI) ES 303DD2 P S F, S, TRFeasibility Study FS 303DD2 P S F, S, TR, SA, SS, ST





Federal Facility and BRAC General Support and ManagementPayroll costs only for PRC 303D41

TX 303DC9 303D41

FFFF

0000

FFFF

FF Community Involvement LZ 303DC9 FF S FFFF ESI Review TZ 303DD2 P S, WQ, ZZ F, S, TRFF Five Year Review VY Not Available--Use FF Oversight (OX)FF FS NI Not Available--Use FF Oversight (OX)FF LR MZ Not Available--Use FF Oversight (OX)FF OversightFF Oversight (Site-Specific BRAC Costs) Payroll & site travel only

OXOX

303DC9303D41XB4

FF SS

FFFF

FF PA Review RX 303DD2 P S, WQ, ZZ F, S, TRFF 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)FF RI NH Not Available--Use FF Oversight (OX)FF RI/FS LW Not Available--Use FF Oversight (OX)FF SI Review TY 303DD2 P S, WQ, ZZ F, S, TRFive-Year Review May obligate to WQ SSID but must plan/outlay site-specifically

FE 303DD2303DD2

PRA

S, WQS, WQ


Forward Planning/Redevelopment/Reuse

FM 303DD2 P S No Lead Codes Required

General Support and Management BM 303DC6303DD2

SP

0000


General Enforcement GE 501EC7501JC7501EH2

E

FFE

000000


Generic PA/SIPRC 303DC9 for HQ use only

QB 303DD2303DC9

PFF

S, WQ, ZZS, WQ, ZZ

F, S, TRFF

Groundwater Monitoring (Post-ROD) GM 303DD2303DC9

PFF

SS


HRS PackagePRC 303DC9 for HQ use only

HR 303DD2303DC9

PFF

SS

F, S, TRFF

Information Management Support IJ 303DC6303DC9303DD2501EC7

SFFPE



Integrated Assessment EA 303DD2 P S, WQ, ZZ F, S, TRLaboratory Support LA 303DC6

303DC9303DD2501EC7

SFFPE







Legal Review and Analysis PS 501EC7 E S, ZZ No Lead Codes Required

Litigation – Generic LT 501EC7501JC7

E SS


Local Government Reimbursement (Evacuation state/local)

EV 303DD2 P S No Lead Codes Required

Long-Term Response Action (LTRA) LR 303DD2 RA S F, S, TR, SA, SS, STManagement 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 501EC7501JC7501EH2

E

FFE

SSS


Non-NPL PRP SearchUse only for existing searches. For new searches use QV

RP 501EC7 E S, WQ, ZZ F, S

NPL RP SearchUse only for existing searches. For new searches use QV

NS 501EC7 E S, WQ F, S

Operations and Maintenance (O&M)Use Trust Fund resources only to oversee O&M; use reimbursable resources to conduct or oversee O&M

OM 303DC9303DD2

FFP

SS

FFRP, PS, SA, SS, ST,

MR

Prospective Purchaser Agreement (PPA) Assessment

QX 501EC7 E S No Lead Codes Required

Pre-CERCLIS Screening HX 303DD2 P S, WQ, ZZ F, S, TRPreliminary Assessment (PA) PA 303DD2 P S, WQ, ZZ F, S, TRPreparation of Cost Documentation PC 501EC7

501JC7E S

SNo Lead Codes

RequiredPRP FS NK 303DD2 P S RP, PS, MRPRP LR ME 303DD2 P S RP, PS, MRPRP RA BF 303DD2 P S RP, PS, MRPRP RD BE 303DD2 P S RP, PS, MRPRP Removal

Pipeline Site Allowance for Remedial Program Projects only

BB 303DC6303DC6303DD2

RVSP

SSS

RP, PS, MRRP, PS, MRRP, PS, MR

PRP RI NA 303DD2 P S RP, PS, MRPRP RI/FS BD 303DD2 P S RP, PS, MRPRP Search QV 501EC7 E S, WQ, ZZ F, SRD/RA Negotiation AN 501EC7 E S F, S





Real Property Acquisition RL 303DD2 P S No Lead CodesRequired

Records Management SW 303DC6303DC9303DD2501EC7501EH2

SFFPE

FFE

S, WQ, ZZ, 00S, WQ, ZZ, 00S, WQ, ZZ, 00S, WQ, ZZ, 00S, WQ, ZZ, 00


Remedial Action RA 303DD2 RA S F, S, TR, SA, SS, STRemedial Design RD 303DD2 P S F, S, TR, SA, SS, STRemedial Investigation RI 303DD2 P S F, S, TR, SA, SS, STRemovalMay plan with WQ SSID but must obligate site-specificallyRA Site Allowance for Remedial Program Projects only

RV 303DC6

303DD2

RV

RA

S

S

CG, F, S, TR, SA, SS, ST, SG

F, S, TR, SA, SS, ST

Removal Assessment RS 303DC6303DC6

RVS

S, WQ, ZZS, WQ, ZZ


Removal Negotiation RN 501EC7 E S F, SResearch and Development BG 303DD2 P S, WQ, ZZ No Lead Codes

RequiredRI/FS Negotiation FN 501EC7 E S F, SRisk/Health Assessment ED 303DC9

303DD2FFP

SS

FFF, S, TR, RP, PS

Section 104(E) Referral Litigation SF 501EC7 E S No Lead Codes Required

Section 106 Litigation SX 501EC7 E S No Lead Codes Required

Section 106/107 Litigation CL 501EC7 E S No Lead Codes Required

Section 107 Litigation SV 501EC7 E S No Lead Codes Required

SEE Program Extramural use only SM 303DC6303DC9303DD2501EC7

SFFPE



Site Inspection (SI) SI 303DD2 P S, WQ, ZZ F, S, TRSite Security and Maintenance PD 303DD2 P S No Lead Codes

RequiredSite-Specific BRAC Costs PX Not Available—Use FF Oversight (OX)State Core Program Extramural use only

SK 303DD2 P 00 No Lead Codes Required

State Support Agency Cooperative Agreement (formerly Management Assistance) Extramural use only

MA 303DC9303DD2

FFP

S, WQ, ZZS, WQ, ZZ






Technical Assistance TA 303DC6303DC9303DD2

SFFP

S, WQ, ZZS, WQ, ZZS, WQ, ZZ


Technical Assistance Grant May plan with WQ SSID but must obligate site-specificallyExtramural use only

TG 303DC9303DD2

FFP

SS


Training TH 303DC6303DD2501EC7

SPE

000000


Treatability Study TS 303DD2 P S No Lead Codes Required

Tribal Core Program Extramural use only

TK 303DD2 P 00 No Lead Codes Required

Tribal Support Agency Cooperative AgreementExtramural use only

TJ 303DC9303DD2

FFP

S, WQ, ZZS, WQ, ZZ


Site DesignatorsS Site-specific obligation

WQ Unspecified obligation; outlays must be redistributed to S, ZZ, or 00 site designators

ZZ Site related (ZZ) obligation00 Non-site (00) obligation

Superfund Program Implementation Manual (SPIM) Site Allowances (SA)

Site Allowance Site Allowance Name Compass Budget Org Code, Fifth Position

E (not in CERCLIS) Enforcement No Compass Budget Org CodeFFE (not in CERCLIS) Federal Facilities Enforcement No Compass Budget Org Code

FF Federal Facility Response FRV Removal ES Removal Support SP Pipeline Operations P

RA Remedial Action R

IV.G ACTION AND OTHER QUALIFIER CODES

IV.G.1Takeovers, Phased Indicators and Other Action Code AnomaliesAction anomaly codes (labeled Takeover or Lead Changes /Phased Indicators in SCAP

reports) are used to signify actions that for some reason should not appear as valid starts or completions in SCAP planning and accomplishment reports but which still require tracking.There are four general categories of anomaly codes: Takeover, Phased, Other Anomaly and Voluntary Cleanup. Exhibit IV.4 is a reference table of all action anomaly codes in CERCLIS.



EXHIBIT IV.4. CERCLIS ACTION ANOMALY REFERENCE TABLE

CERCLIS Action Anomaly Reference TableCode DescriptionTO Original Action Take OverTN New Action Resulting from Take OverTT Takeover of an Action Taken OverPS Phased StartPC Phased CompletionPB Phased Start & CompletionOS Other Start AnomalyOC Other Completion AnomalyOA Other Start and Completion AnomalyVC Voluntary Cleanup Start and Complete

a. TakeoversA takeover or lead change occurs when the entity performing a response action changes after the action has started and credit has been given. Typically, this occurs when a settlement with the PRP is reached after the action has started. A takeover may also occur when the Fund assumes an RP-lead project because of non-compliance with an administrative order (AO) or CD. RP-lead projects that are deficient or where the PRPs are recalcitrant may require substantial Fund involvement to correct, in which cases a new Fund action should be started and coded as a takeover in CERCLIS.

In order to avoid delays resulting from PRPs assuming the lead during a discrete phase of the project (a takeover), a policy has been established that limits lead changes from EPA to PRPs in the middle of a phase of the Superfund process, except in situations where the change will not cause undue delays (Office of Solid Waste and Emergency Response (OSWER) Directive 9800.1-01, Limiting Lead Transfers to Private Parties During Discrete Phases of the Remedial Process, November 14, 1991). The policy applies to lead changes from EPA to PRPs only, not EPA takeovers of PRP work or lead changes involving states. See the OSWER Directive at http://www.epa.gov/compliance/resources/policies/cleanup/superfund/lead-trans-rpt.pdf.

Although early site assessment activities will be Fund-lead, response lead changes (i.e., takeovers) can occur at any of the following points in the process:

Prior to development of an EE/CA for an non-time critical (NTC) removal action;Prior to the ESI/RI or RI/FS;Prior to the FS if the RI and FS are being done separately;After the ROD is signed and prior to beginning the RD or RA; orPrior to RA contract solicitation, when funding the RA would have significant implications for the Fund and when no significant delays will occur.

When circumstances warrant passing the lead to PRPs during a phase of cleanup, steps should be taken to minimize potential causes of delay. For example, if PRPs assume the



lead during the RI/FS, they should be given a limit of 60 days to enter into an administrative order on consent (AOC) for performing the work.

If a PRP is allowed to take over a Fund-financed response action after dollars have been obligated, the region should deobligate any unliquidated obligations, and use the region's portion of the recertified funds, pursuant to the Agency's deobligation policy, to pay for oversight of the response action conducted by the PRP (provided that special account funds are not available for this purpose).

b. CERCLIS Coding For TakeoversUsing CERCLIS codes to identify takeovers will prevent reporting of multiple starts and completions for the same response activity on SCAP planning and accomplishment reports. A takeover does not create a new OU. In the case where one entity takes over an action from another, the region must establish a new action with the appropriate lead code as well as apply the appropriate the Action Anomaly Codes to both the original action and the new action.

The completion date of the original action must be the same as the start date of the new action. Takeover/Phased Indicators must be entered with both actions. The "Original Action Takeover (TO)" indicator is used to flag the original action which has the change in lead, whereas a "New Action Resulting from Takeover (TN)" indicator is used to flag the new action.

On rare occasions, an action that has been taken over requires an additional lead change.For example, EPA reaches settlement with the PRPs after a Fund-financed action has begun. After the PRPs start work, EPA experiences problems with the PRPs in meeting deadlines or in the quality of the work. As a result, EPA makes a decision to take over the PRP- financed action. The steps to be taken to indicate this scenario in CERCLIS are:

1. A new action is added to CERCLIS at the same OU. A new combined RI/FS with an 'F'- lead would be added.

2. The start date of this new action is the date of the takeover.3. A Takeover/Phased Indicator of "New Action Resulting from Takeover (TN)" is

entered with the new action.4. The completion date of the latest action that was taken over is the same as the start

date of the new action (date of the takeover).5. The Takeover/Phased Indicator of the latest action that was taken over is changed

from "New Action Resulting from Takeover (TN)" to a "Takeover of an Action Taken Over (TT)."

Exhibits IV.5a, IV.5b, and IV.5c below provide examples of the CERCLIS coding for takeovers, takeovers of takeovers, phased projects and other anomalies.



EXHIBIT IV.5A. TAKEOVERS

OU Action Name Seq. Lead Plan Start

Act Comp

Takeover/Phased Indicator Comments

Takeover Coding for PRP taking over Fund RI/FS

01 Combined RI/FS 001 F 8/1/97 12/1/97 TO Fund-financed action initiated (No

Credit for Completion)

01 PRP RI/FS 002 RP 12/1/97 3/1/98 TN Fund-financed action being taken overby PRPs (No Credit for Start)

Takeover Coding for EPA taking over the PRP takeover of the Fund RI/FS

01 Combined RI/FS 001 F 8/1/97 12/1/97 TO Fund-financed action initiated (No

Credit for Completion)

01 PRP RI/FS 002 RP 12/1/97 3/1/98 TTPRP action initiated and taken over by Fund (No Credit for Start or Completion)

01 Combined RI/FS 003 F 3/1/98 9/1/99 TN PRP action being taken over by

Fund (No Credit for Start)

c. Phased ProjectsAt any stage in the cleanup process, a project may be phased or time-sequenced to accelerate the cleanup effort. Phasing is complementary to OUs. Whereas OUs break large, complex projects into smaller, more manageable work elements, phasing is a method to accelerate the implementation of projects within OUs. Phasing manipulates the internal steps required to complete each OU, thereby optimizing the overall schedule for,for example, an RA, PRP RA or FF RA that requires site clearing prior to constructing an incinerator. The clearing would be one phase of the RA, PRP RA or FF RA, while the construction of the incinerator would be a second phase.

Regions enter a separate RA, PRP RA or FF RA for each phase. Phases of each response action are shown in CERCLIS by the use of the Takeover/Phased Indicators of "Phased Start (PS)" and "Phased Complete (PC)" or "Phased Start and Completion (PB)" Funding required for each of the phases is tracked against the phase. However, the duration of the project is calculated from the date the first phase started to the date the last phase is completed.

In cases where HQ makes decisions to fund certain components of a Fund-financed RA project, HQ may direct a region to use or not use phased project coding in order to accurately depict the funding decision.



EXHIBIT IV.5B. PHASED PROJECTS


Act Comp


01 RD1 001 RP 99/1 00/2 PC PHASE I (Phased Completion-NoCredit for Completion)

01 RD2 002 RP 00/2 00/3 PB PHASE II (Phased Both-No Credit forStart or Completion)

01 RD3 003 RP 00/3 01/1 PSPHASE III (Phased Start-No Credit forStart)

d. Other AnomaliesAnomalies are those projects that do not fit the normal definitions of pipeline actions. Anomalies can be those projects that 1) should not appear on a SCAP planning and accomplishment report, but still need to be tracked or 2) occur out of the ordinary pipeline progression. Additionally, projects that are permanently suspended or discontinued should be assigned a completion date when such determination is made, and use the appropriate anomaly code to signify the action’s status.

An example of a SCAP anomaly occurs when different entities conduct FS work simultaneously that leads to a single ROD. Since it is inconsistent to report more FS starts than completions (the Agency would have to explain why FS work is not leading to a ROD), the SCAP planning and accomplishment report should identify only one start and completion for one FS. These projects are coded under the same OU with multiple sequence numbers and those FSs that should not appear in the SCAP report should be assigned a Takeover/Phased Indicator of "Other Start and Completion Anomaly (OA)."

EXHIBIT IV.5C. OTHER ANOMALIES


Act Comp


01 PRP RI/FS 001 RP 96/2 98/3 OS No Credit for Start01 PRP FS 001 RP 97/3 98/3 OA No Credit for Start or Completion

01 Combined RI/FS 001 F 97/2 98/3 OC No Credit for Completion

IV.G.2Other QualifiersThis section will be utilized to provide information on future qualifiers as deemed

necessary.







CChhaapptteerr VV:: SSiittee AAsssseessssmmeenntt//NNPPLL LLiissttiinngg





FY 12 SPIM V-i March 20, 2012

CCHHAAPPTTEERR VV:: SSiittee AAsssseessssmmeenntt//NNPPLL LLiissttiinngg

Table of Contents

V.A Site Assessment............................................................................................................V-1 V.A.1 Introduction ..............................................................................................................V-1 V.A.2 Site Assessment........................................................................................................V-2 V.A.3 Site Assessment Backlogs ........................................................................................V-3 V.A.4 Overview of Site Assessment/NPL Listing Targets and Measures..........................V-3 V.A.5 Site Status Indicators ................................................................................................V-6 V.A.6 Data Quality ...........................................................................................................V-10 V.A.7 Action Qualifiers for Site Assessment Actions ......................................................V-10

a. No Further Remedial Action Planned (NFRAP)............................................. V-10 b. Further Evaluation.......................................................................................... V-11 c. Perform a Removal.......................................................................................... V-11 d. Defer the Site to RCRA (Subtitle C) or the NRC ............................................. V-11 e. Sites addressed as part of existing NPL sites .................................................. V-11 f. Sites addressed as part of other existing non-NPL sites ................................. V-12 g. State Deferral Action Qualifiers...................................................................... V-12 h. Referred From RCRA Action Qualifier ........................................................... V-13 i. Assessment Complete – Decision Needed Action Qualifier ............................ V-13

V.A.8 Special Initiatives ...................................................................................................V-15 V.A.9 Site Assessment Critical Indicators ........................................................................V-15 V.A.10 Pre-CERCLIS Screening Assessments ..................................................................V-16

a. Definition of Accomplishment:........................................................................ V-16 b. Referred From RCRA ...................................................................................... V-18 c. Site Discovery.................................................................................................. V-19 d. Sites Archived.................................................................................................. V-21 e. Preliminary Assessments (PA) at Non-Federal Facility Sites......................... V-23 f. Federal Facility Preliminary Assessment Reviews ......................................... V-25 g. Site Inspections (SI) at Non-Federal Facility Sites ......................................... V-25 h. Site Reassessment ............................................................................................ V-27 i. Expanded Site Inspections (ESI) at Non-Federal Facility Sites...................... V-29 j. Federal Facility SI Reviews ............................................................................ V-31 k. Federal Facility ESI Reviews .......................................................................... V-31 l. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-

Federal Facility Sites ...................................................................................... V-31 m. State Deferral of Non-Federal Facility Sites .................................................. V-33 n. Hazard Ranking System Package (HRS)......................................................... V-34 o. NPL Listing ..................................................................................................... V-36 p. Other Cleanup Activity (OCA) ........................................................................ V-38

V.A.11 Tribal Inventory Information..................................................................................V-41 a. Native American Interest................................................................................. V-41 b. Associating Site to an American Indian Tribe/Alaskan Native Entity............. V-41


March 20, 2012 V-ii FY 12 SPIM

List of Exhibits

Exhibit V.1. Superfund Site Assessment Process .....................................................................................V-2

Exhibit V.2. Site Assessment/NPL Listing Activities ..............................................................................V-5

Exhibit V.3. Site Assessment Action Qualifiers .....................................................................................V-14


FY 12 SPIM V-1 March 20, 2012

CHAPTER V: SITE ASSESSMENT/NPL LISTING

V.A SITE ASSESSMENT

V.A.1 IntroductionThe Superfund remedial site assessment (aka remedial site evaluation) process evaluates

sites to determine and implement the appropriate responses to releases of hazardous substances to the environment. During the site assessment process, EPA and states collect data to identify, evaluate, and rank hazardous waste sites based on Hazard Ranking System (HRS) criteria. The HRS is a numerically based screening system that uses information from initial, limited investigations to assess the relative potential of sites to pose a threat to human health or the environment. It is the principal mechanism EPA uses to place uncontrolled waste sites on the National Priorities List (NPL). Sites with HRS scores of 28.5 or greater are eligible for placement on the NPL. Only sites on the NPL are eligible for Superfund-financed remedial actions.

Superfund site assessment staff may be notified of a potential site through various mechanisms, including receipt of a citizen’s petition, referrals from EPA’s removal and Resource Conservation and Recovery Act (RCRA) programs, and referrals or notifications from states, tribes and other federal agencies. Following notification, a site undergoes a minimal screening process (pre-Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) screening) to determine whether the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) site assessment process is appropriate. Once a potentially hazardous site is identified as appropriate for the site assessment process, it receives a site discovery date and is added to the active site inventory. Using criteria established under the HRS, EPA and/or its state and tribal partners then conduct a Preliminary Assessment and if warranted, a Site Inspection or other more in-depth assessment to determine whether the site warrants short- or long-term cleanup attention. Sites that do not warrant further interest are assigned a No Further Remedial Action Planned (NFRAP) decision. Sites that do warrant further removal- or remedial-type study are referred to appropriate cleanup programs for further work. These cleanup programs include EPA removal, RCRA, state/tribal cleanup programs such as Voluntary Cleanup Programs (VCPs), the Superfund Alternative Approach (SAA), and the National Priorities List.

At the conclusion of each assessment, the HRS model is applied to derive a preliminary site HRS score. Sites with preliminary HRS scores below 28.5 generally require no further Superfund remedial interest and are assigned a NFRAP decision. The NFRAP decision can also be made at sites with preliminary HRS scores of 28.5 or higher if EPA determines the site would receive a No Action Record of Decision (ROD) if it was placed on the NPL.


March 20, 2012 V-2 FY 12 SPIM

EXHIBIT V.1. SUPERFUND SITE ASSESSMENT PROCESS

V.A.2 Site AssessmentAssessing the worst sites first continues as a national priority. The regions should identify

the sites posing the highest risk or potential risk and develop a strategy to assess those sites in a timely manner, while balancing their other site assessment needs.

While assessing the worst sites first, the regions also need to ensure that the backlog of sites needing Preliminary Assessments (PAs), Site Inspections (SIs), or Expanded Site Inspections (ESIs) does not grow unacceptably. The regions should consider integrating assessments to reduce cost and time to assess sites. Regions should continue the use of pre-CERCLIS screening to assure only appropriate sites are placed in the CERCLIS active site inventory. The regions should also ensure the appropriate investigations of sites of tribal concern that are on or near Indian Country.

To better accomplish the national priorities, the regions should continue negotiating work share agreements with individual states (and tribes if applicable). This will help divide up the site assessment work and potentially enhance relations with the states and tribes. This process will also serve to identify the current lead agency for the public.

Given sizeable workloads and constrained resources, regions are encouraged to pursue more cost- and time-efficient methods of assessing sites without compromising the quantity and quality of site assessment decisions. Regions should communicate progress and results of new assessment methods to other EPA regional and Headquarters (HQ) site assessment staff.

HQ and regions should continue the streamlined process for listing sites on the NPL and evaluate alternatives to listing sites while providing NPL quality cleanups.



Site assessment is the first step in determining whether a site meets the criteria for placement on the NPL. NPL Listing is one of several approaches for addressing sites where assessment indicates remedial study/cleanup is needed to address human health and/or ecological risks. Once a site is determined to be NPL-caliber and a decision has been made that the federalSuperfund program should manage the site cleanup, regions should apply a strong initial presumption in favor of listing on the NPL. In 1992, EPA's Office of Emergency and Remedial Response (OERR), now the Office of Superfund Remediation and Technology Innovation(OSRTI)) issued a directive entitled Guidance on Setting Priorities for NPL Candidate sites (Office of Solid Waste and Emergency Response (OSWER) Directive 9203.1-06). The 1992 directive provided regions with general factors that should be considered in the risk-based decision making process for choosing sites to propose for listing pursuant to section 105(a)(8)(B) of CERCLA. These can include recently identified sites, sites earlier in the site assessment process, or previously deferred RCRA sites. The regions should ensure the appropriate investigation of sites of tribal concern including sites in or near Indian Country.

V.A.3 Site Assessment BacklogsA key function of HQ is to report national progress in the site assessment program.

Workload estimates are critical indicators of future program needs. HQ captures these workload estimates by identifying the number of sites at various stages in the site assessment pipeline. These stages are commonly referred to as "backlogs". For example, sites needing completion of a CERCLA PA are collectively termed the "PA Backlog". Throughout this chapter, the procedure HQ uses to derive backlog is provided for each step in the site assessment process. HQ will measure regional progress on non-federal sites still needing assessment with special emphasis on sites over one year old without any assessment started, and sites over four years old without a listing decision. A listing decision is defined as an assessed site with a NFRAP decision, or with a decision to study/cleanup a site via the NPL or a non-NPL cleanup approach. Regions should consider these assessment workloads when planning assessment work; however, the primary goal within the assessment program continues to be assessing worst sites first.

V.A.4 Overview of Site Assessment/NPL Listing Targets and MeasuresThe following pages contain, in pipeline order, the definitions of Superfund site

assessment targets and measures. Exhibit V.2 displays the full list of site assessment activities defined in this chapter and the associated reporting hierarchy.

EPA's Strategic Plan, Goal 3, Objective 3.3 Restore Land contains the Government Performance and Results Act (GPRA) measure for Superfund assessment work: "By 2015, complete 93,400 assessments at potential hazardous waste sites to determine if they warrant CERCLA remedial response or other cleanup activities.” The new Superfund Remedial Site Assessments measure will reflect the total number of Pipeline-funded remedial site assessments completed each year, and will include the following site assessment activities:

Pre-CERCLIS screening

PA

Federal Facility PA Review

SI



Federal Facility SI Review

ESI

Federal Facility ESI Review

Site Reassessment

Expanded Site Inspection/Remedial Investigation (ESI/RI)

HRS Package

Except for pre-CERCLIS screening actions, sites must have a completed site discovery action recorded in CERCLIS to get accomplishment credit for a Superfund remedial site assessment. Only assessments with a completion date falling in the current fiscal year (FY) will get captured in current year accomplishment reporting. All completed Superfund pre-CERCLIS screenings and all other remedial site assessments at sites with a completed discovery action will get captured in cumulative accomplishment (inception-to-date) reporting.

The annual and cumulative number of Superfund remedial site assessments completed will be captured on the Superfund Comprehensive Accomplishments Plan (SCAP)-15 report and will be included in EPA's Annual Report. Site detail supporting annual completion counts will be included on the SCAP-13 and SCAP-15 reports.

Data Quality for Completed Superfund Remedial Site Assessments Timeliness Requirement It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the activity occurs. The quarterly pull occurs on the fifth business day following the end of each quarter or the 10th business day following the end of the fourth fiscal quarter.

Reports and Guidance - SCAP-15 Report; - SCAP-13 Report; - The number of Superfund remedial site assessments will be included in EPA's

Annual Performance and Accountability Report and in EPA's Annual Superfund Report;

- Site assessment charts in eFacts; - Current version of the SPIM; - CERCLIS Quick Reference Guides covering entry of remedial site assessment

action data; - CERCLIS Data Quality Objective covering remedial site assessment data.

The following non-GPRA measures are tracked to capture the disposition of sites based on remedial site assessment work performed in the current fiscal year:

1. # Remedial Site Assessments Completed: NFRAP (site does not qualify for the NPL based on existing information) - this measure will capture the portion of



GPRA Superfund remedial site assessments that are assigned a NFRAP decision (action qualifier = N) or are determined not eligible for entry into the active CERCLIS inventory based on a pre-CERCLIS screening report.

2. # Remedial Site Assessments Completed: Remedial Study/Cleanup Needed - this measure will capture the portion of GPRA Superfund remedial site assessments that are assigned one of the following decisions or status designations: a. Deferred to Nuclear Regulatory Commission (NRC) (action qualifier = DN) b. Deferred to RCRA (action qualifier = D) c. Referred to removal, needs further remedial assessment (action qualifier = F) d. Referred to removal, no further remedial assessment (action qualifier = W) e. Addressed as part of an existing NPL site (action qualifier = A) f. Remedial activities under EPA enforcement, including sites addressed via a

Superfund Alternative Approach agreement (non-NPL status = SA) g. Other Cleanup Activity (non-NPL status = OF, OP, OS, or OT)

3. # Remedial Site Assessments Completed: Further Site Assessment Needed - this measure will capture the portion of GPRA Superfund remedial site assessments that are assigned one of the following decisions: a. Higher priority for further assessment (action qualifier = H) b. Lower priority for further assessment (action qualifier = L) c. Recommended for HRS scoring (action qualifier = G) d. Being considered for proposal to the NPL (action qualifier = O) e. Addressed as part of another non-NPL site (action qualifier = B) f. Needs a remedial preliminary assessment based on completion of a pre-

CERCLIS screening report

EXHIBIT V.2. SITE ASSESSMENT/NPL LISTING ACTIVITIES

ACTIVITY External Program Reporting

Internal Program Reporting

No. of Completed Superfund Remedial Site Assessments Annual Commitment System (ACS),Strategic Plan

Measure

No. of Completed Remedial Site Assessments: NFRAP Measure

No. of Completed Remedial Site Assessments: Remedial Study/Cleanup Needed

Measure

No. of Completed Remedial Site Assessments: Further Site Assessment Needed

Measure

No. of Final Assessment Decisions Measure

NPL Listing (Proposed, Final, Removed From Proposed, Withdrawn) Measure

Pre-CERCLIS Screening Assessment Measure

Site Discovery Measure





PAs at Non-Federal Facility Sites Measure

Federal Facility PA Review Measure

SI at Non-Federal Facility Sites Measure

Federal Facility SI Review Measure

Site Reassessment Measure

ESI at Non-Federal Facility Sites Measure

Federal Facility ESI Review Measure

Integrated ESI/Remedial Investigation Measure

HRS Package (Non-Federal Facility and Federal Facility) Measure

Other Cleanup Activity Measure

Archive Site Measure

Site Unarchived Measure

State Deferral of Non-Federal Facility Sites Measure

Referred from RCRA Measure

- For each activity, the definitions and reporting requirements in this chapter specify applicability with respect to NPL status, activity lead, and actual start and completion dates.

- For measures in italics: this edition of the SPIM includes a change in definition or requirements.

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in the Agency’s FY11-FY15 Strategic Plan.Target = SCAP target and reporting measure.Measure = SCAP reporting measure, but target not required.HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.Regional = Tracked by regions only, primarily for financial management purposes.

V.A.5 Site Status IndicatorsThese site status indicators are entered through the Site Status and Description/Operable

Units screen in CERCLIS.

Archive Indicator - this checkbox indicates if the site has been archived. NOTE: Indicating that a site has been archived will result in a pop-up message asking the user if theywould like to make a No Further Federal Action (NFFA) determination at this time. If the user clicks yes, the NFFA flag will be populated and an NFFA date will be system generated. A site cannot be archived if there are any planned or ongoing archive prohibited actions at the site. For a list of archive prohibited actions, refer to the CERCLIS Archived Sites quick reference guide (QRG).

A site that has been archived represents a site-wide decision that no further federalinterest 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. For more information about archiving sites in CERCLIS, refer to the Sites Archived section of this chapter, the CERCLIS Archived Sites QRG, or the EPA's Refining CERCLIS website at: http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm

Archive Date - this date is system generated with the current date when the checkbox is checked. This field is editable and should reflect the date the site was archived.

NPL Status - displays the current NPL Status for the site. User may select from the drop down to enter or change the NPL Status of the site. Regional users have access to change the NPL Status to Not a valid site or incident, Not on the NPL, Addressed as part of an existing NPL site, and Pre-proposed site. All other NPL Status values are added through a database revision and are uneditable.

Non NPL Status - displays the current Non-NPL Status for the site. User may select from the drop down to enter or change the Non NPL status of the site. The available non-NPL status values will be limited based on the NPL Status of the site. Regions should update the Non-NPL Status field in CERCLIS as soon as possible following entry of a site assessment action start and/or completion date.

Reporting non-NPL site status information allows EPA to clearly identify the progress a site has made in the Site Assessment Pipeline at any given time. For a list of Non-NPL Status values and more information about entering non-NPL status values in CERCLIS, refer to the Reporting Non-NPL Status QRG and the Understanding NPL and Non-NPL Status Code Relationships QRG.

Status Not Specified (SX) is one of the codes available for selection as a Non NPL Status value. Regions may select this code only if no other available Non NPL Status value is appropriate. If selected, the region should notify the EPA HQ Site Assessment Data Sponsor to determine whether a new Non NPL Status value needs to be created. Regions should review sites with an SX value at a minimum on a semi-annual basis (prior to mid-year review and end-of-year assessment) and update this value as appropriate.

Non NPL Status Date - this field is system generated with the current date when the Non NPL status of a site is changed. This field is editable and should reflect the date the non-NPL status of the site changed.

Eligible Response Site (ERS) Exclusion - this checkbox indicates if the region has made an ERS exclusion decision at the site.

Under CERCLA section 101(41) (C), EPA may exclude sites from the Brownfields eligible response universe if EPA conducts or has conducted a PA or SI and, after consultation with the state, determines or has determined that the site obtains a preliminary score sufficient for possible listing on the NPL or otherwise qualifies for listing on the NPL.

NOTE: This checkbox may not be selected if the site NFFA checkbox has been selected. Since NPL sites are excluded from the definition of Eligible Response Sites, HQ will uncheck the ERS Exclusion checkbox when updating CERCLIS for sites that get proposed to the NPL.



NPL sites, Federal Facility sites, and sites with planned or ongoing removals are excluded from the definition of ERS sites. For more information regarding making an ERS exclusion at a site, please refer to OSWER Directive 9230.0-170, entitled Regional Determinations Regarding Which Sites are Eligible Response Sites under CERCLA section101(41)(C)(i), as Added By the Small Business Liability Relief and Brownfields Revitalization Act.

ERS Exclusion Date - this date is system generated with the current date when the checkbox is checked. This field is editable and should reflect the date the site was excluded.

Final Assessment Decisions (FAD) - Superfund FADs are used as an indicator to measure progress towards completing remedial site assessment work at sites entered into CERCLIS. A FAD indicates remedial site assessment work is complete under the federal Superfund Program based on available information. Regions should assign a FAD designation to a site entered into CERCLIS with a discovery action and date if any of the following conditions are met:

The site or its parent site has been proposed to or placed on the NPL;

The site has been removed from proposal to the NPL and no further remedial assessment is needed;

The decision made at the last completed remedial assessment at the site is either: - NFRAP; - Referred to Removal-NFRAP; - Deferred to RCRA or NRC; or - Addressed as part of an NPL or non-NPL site

The site is being remediated under a formal state deferral agreement;

The site is being remediated using a Superfund Alternative Agreement;

Other Cleanup Activity (OCA) sites where no further site assessment work is anticipated (see Other Cleanup Activity section in this chapter for more information);

The site has been properly archived from the active CERCLIS site inventory.

EPA regions are responsible for maintaining FAD designations in CERCLIS. FAD status is captured in CERCLIS by selecting the Final Assessment Decision check box on the Site Description and Status/Operable Units screen. Once the FAD box is checked, CERCLIS automatically populates the related Final Assessment Decision Date field with the current calendar date. Regions can accept or edit this date before saving the information in CERCLIS. The FAD date should match the calendar date when the FAD decision was made. Backdating the FAD date is appropriate when data entry lags occur, even if the lag spans across fiscal years (e.g., sites where the FAD decision was made in a previous fiscal year, but the FAD box was inadvertently left unchecked). HQ will place a check in the FAD checkbox when updating CERCLIS for sites that get proposed to the NPL.



Final Assessment Decision Date - this date is system generated with the current date when the checkbox is checked. This field is editable and should reflect the date the final assessment decision was made.

NFFA - this checkbox only applies to sites that have been assigned an ERS exclusion decision and denotes that the site requires No Further Federal Action. CERCLA section101(41)(C)(i) authorizes EPA to make a site which was previously excluded as an ERS, because it had obtained a preliminary score sufficient for possible listing, an ERS again when EPA determines NFFA. NOTE: Proposed and Final NPL Sites are not eligible for NFFA. In addition, if a site has any planned or ongoing enforcement, cost recovery or removal activities, the user will not be allowed to make an NFFA determination.

NOTE: This checkbox may not be selected if the ERS Exclusion checkbox has been selected.

For more information regarding NFFA decisions, please refer to OSWER Directive 9230.0-170, entitled Regional Determinations Regarding Which Sites are Eligible Response Sites under CERCLA section 101(41)(C)(i), as Added By the Small Business Liability Relief and Brownfields Revitalization Act.

NFFA Date - this date is system generated with the current date when the checkbox is checked. This field is editable and should reflect the date of the determination that no further federal action would be taken at the site.

RCRAInfo Site ID – Site identification number recorded in RCRAInfo for a site that is tracked in CERCLIS. A new site added to CERCLIS should use the existing RCRA site identification number if the site already exists in RCRAInfo.

Type of Use Indicator - The Type of Use Indicator describes how the site is being used and is initially based on information collected during the site assessment process. This information will be updated as the site progresses through the Superfund process. The following type of use categories are available:

Commercial Use refers to use for retail shops, grocery stores, offices, restaurants, and other businesses.

Public Service Use refers to use by a local or state government agency or a non-profit group to serve citizens' needs. This can include transportation services such as rail lines and bus depots, libraries and schools, government offices, public infrastructure such as roads, bridges, utilities, or other services for the general public.

Agricultural Use refers to use for agricultural purposes, such as farmland for growing crops and pasture for livestock. Agricultural use also can encompass other activities, such as orchards, agricultural research and development, and irrigating existing farmland.

Recreational Use refers to use for recreational activities, such as sports facilities, golf courses, ball fields, open space for hiking/picnicking, and other opportunities for indoor or outdoor leisure activities.



Ecological Use refers to areas where proactive measures, including a conservation easement, have been implemented to create, restore, protect, or enhance a habitat for terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries, nature preserves, meadows, and wetlands.

Industrial Use refers to traditional light and heavy industrial uses, such as processing and manufacturing products from raw materials, as well as fabrication, assembly, treatment, and packaging of finished products. Examples of industrial uses include factories, power plants, warehouses, waste disposal sites, landfill operations, and salvage yards.

Military Use refers to use for training, operations, research and development, weapons testing, range activities, logistical support, and/or provision of services to support military or national security purposes.

Other Federal Use refers to use to support the federal government in federal agency operations, training, research, and/or provision of services for purposes other than national security or military.

Mixed Use refers to areas at which uses cannot be differentiated on the basis of acres. For example, a condominium with retail shops on the ground floor and residential use on the upper floors would fall into this category. When selecting Mixed Use, the individual types of uses should be identified, if possible.

Residential Use refers to use for residential purposes, including single-family homes, town homes, apartment complexes and condominiums, and child/elder care facilities.

Undetermined indicates that the type of use cannot be determined based on available information.

V.A.6 Data QualityThe regions should assure that their site assessment information is complete, current,

consistent and accurate. To assist the regions in this determination, data quality reports for Superfund site assessment information in CERCLIS are available through the national Superfund eFacts application. ReportLink may also be used to hold data quality reports. The site assessment data quality report in Superfund eFacts is used to monitor progress in correcting site assessment data in CERCLIS.

V.A.7 Action Qualifiers for Site Assessment ActionsSite screening and assessment decisions are made upon completion of each site

assessment action. These decisions identify how the region will proceed with site response and are recorded in CERCLIS as action qualifiers (Qualifiers).

a. No Further Remedial Action Planned (NFRAP)No further Superfund remedial assessment work will be taken at a site with a NFRAP determination (Qualifier = N) No Further Remedial Action Planned) unless new information warranting such action is received by EPA. NFRAP decisions should not be confused with archiving. NFRAP decisions are made from a site assessment perspective only; they simply denote that further Superfund NPL assessment work is not required



based on currently available information. In contrast, the archival of CERCLIS sites is made only when no further Superfund interest exists at a site. This means that sites are not archived if there are planned or ongoing removal or enforcement activities or if other Superfund interest still exists, even if a NFRAP decision was made during site assessment activities.

b. Further EvaluationUpon completion of each site assessment action, the region may determine that additional, more complex evaluation activities are required to determine whether or not the site should be pursued for placement on the NPL. A decision to conduct further evaluations at a site is recorded differently in CERCLIS depending on what site assessment activity is being performed.

For PAs, SIs, and Site Reassessment further evaluation is denoted by either making a decision of higher priority (Qualifier = (H) High), lower priority (Qualifier = (L) Low), or recommend the site for HRS scoring (Qualifier = (G) Recommended for HRS Scoring).

For ESIs and ESI/RIs, further evaluation is denoted by the decision of lower priority for further evaluation or to recommend the site for HRS scoring (Qualifier = (G) Recommended for HRS Scoring).

For Other Cleanup Activity actions, further evaluation is denoted by either making a decision of higher priority (Qualifier = (H) High) or lower priority (Qualifier = (L) Low).

Further evaluation activities upon completion of a HRS Package consist of HQ quality assurance and ultimately a decision on whether to propose the site to the NPL (Qualifier= (O) Site is being considered for proposal to the NPL).

c. Perform a RemovalUpon completion of PAs, SIs, SIPs, ESIs or ESI/RIs, the region may determine that a time-critical or non-time critical (NTC) removal is necessary. The decision recorded for these actions is Referred to Removal, Needs Further RMDL ASMT (Qualifier = F) or Referred to Removal, No Further RMDL ASMT (Qualifier = W).

d. Defer the Site to RCRA (Subtitle C) or the NRCUpon completion of PAs, SIs, or ESIs at non-Federal Facilities, or of FF PA Reviews, FF SI Reviews, or FF ESI Reviews at Federal Facilities the region may determine that the site is excluded from Superfund consideration under policy, regulatory, or legislative restrictions and defer it to either the RCRA program (Qualifier = (D) Deferred to RCRA (Subtitle C)) or to the NRC (Qualifier = (DN) Deferred NRC).

e. Sites addressed as part of existing NPL sitesUpon completion of Site Assessment activities, such as PAs, SIs, ESIs, or ESI/RIs, the region may decide that a site is best addressed as part of an existing NPL site. This would be done when contamination at a non-NPL site is being addressed by cleanup actions at an existing NPL site. This most frequently occurs at Federal Facilities and sites with an



area-wide groundwater contamination or sediment problem resulting from multiple sources. In this situation, the NPL site is considered the 'parent' and the non-NPL site is referred to as the 'child'. The decision to address a site as part of an existing NPL site requires the following information in CERCLIS:

- Upon completion of the site assessment activity that led to the decision to combine the two sites, the region should enter a qualifier of 'Addressed as part an existing NPL site' (A) at the child site;

- The seven digit Site ID number of the parent site must be entered into the Parent Site ID field (Site Parent ID) for the child site;

- The seven digit Site ID number of the child site must be entered into the Child Site ID field (Site Child ID) for the parent site; and

- The NPL Status for the child site must be changed to 'Site is part of NPL Site' (A).

After a site is collapsed into the parent site, no further response work should be recorded at the child site. Instead, any further response work performed at that site should be recorded under the existing parent NPL site, possibly as a separate operable unit.

f. Sites addressed as part of other existing non-NPL sitesUpon completion of a site assessment activity, it is also possible for the region to decide that a site is best addressed as part of another existing non-NPL site. The decision to combine multiple non-NPL sites requires the following information in CERCLIS:

- Upon completion of the site assessment activity that led to the decision to combine the two sites, the region should enter a qualifier of 'Addressed as part of another non-NPL site' (B) at the child site;

- The seven digit Site ID number of the parent site must be entered into the Parent Site ID field (Site Parent ID) for the child site;

- The seven digit Site ID number of the child site must be entered into the Child Site ID field (Site Child ID) for the parent site; and

- The Non-NPL Status for the child site must be changed to 'Addressed as part of another non-NPL site' (B).

After a site is collapsed into the parent site, no further actions should be recorded at the child site. Instead, any further assessment or response work performed at that site should be recorded under the existing parent site. If the parent site becomes a NPL site (NPL Status P, F, D, R, W), CERCLIS should be updated as described in section e. above. The Final Assessment Decision value for a child site should match that of its parent site.

g. State Deferral Action QualifiersUpon completion of the State Deferral (AQ) action, the outcome (qualifier) of the statedeferral must be entered with the completion date. The possible outcomes (qualifiers) at the completion of a state deferral are:

- Region confirmed successful completion (RS)- Region terminated deferral (RT)



h. Referred From RCRA Action QualifierFacilities whose owners have demonstrated an inability to finance corrective action are referred to Superfund from RCRA. An action qualifier of Financial (F) should be added for all Referred from RCRA (XR) actions where the site is referred to Superfund due to a failed financial assurance.

i. Assessment Complete – Decision Needed Action QualifierThis 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).



EXHIBIT V.3. SITE ASSESSMENT ACTION QUALIFIERS

SITE ASSESSMENT ACTION NAMES & CODES

Pre-CERCLIS Screening

Discovery

Preliminary Assessment

Federal Facility PA Review

Site Inspection

Federal Facility Sl Review

Site Reassessment

Expanded Site Inspections

Federal Facility ESI Review

ESI/RI

State Deferral

HRS Package

Other Cleanup Activity

Referred from RCRA

Archive Site

Site Unarchived

.... Available Action Decisions

HX i

NOT APPLICABLE

DS NOT APPLICABLE

PA t/1 t/lt/ l t/ t/ l t/ l t/ l t/ t/ t/

RX t/1 t/lt/ l t/ t/ t/ t/

Sl t/1 t/lt/ l t/ t/ l t/ t/ l t/ t/ t/

TY t/1 t/lt/ l t/ t/ t/ t/

00 t/1 t/lt/ l t/ t/ l t/ t/ l t/ t/ t/

ES t/1 t/ t/ t/ l t/ t/ l t/ t/ t/

TZ t/1 t/ t/ t/ l t/ t/ t/

ss t/1 t/ t/ t/ l t/ t/ l t/ t/ t/

AQ t/ t/

HR t/1 t/ t/ t/ l t/ t/

VA t/lt/ t/ l t/ t/ t/ t/ t/ t/

XR I I I I I I I I I I I I I I t/

VS I This action is populated when the archive flag is selected. No leads/decisions for these actions are available.

VU I This action is populated when the archive flag is deselected. No leads/decisions for these actions are available.

I ,g. ~ fr R~ ;;?#

f;f ,.§ ~& (;)'li

t/

t/

t/

t/

t/

t/

t/

t/

t/

.....



V.A.8 Special InitiativesA special initiative flag is used in CERCLIS to note a HQ or regional site special priority

or other program initiative under which a Superfund site may be tracked, and that a planned or actual activity addresses. These special initiatives are flagged on the Add Special Initiative screen via the Site Status and Description/Operable Units screen. The special initiatives in CERCLIS apply to and are used by all program areas. The following are a listing of the most commonly used special initiatives within the site assessment program:

Vermiculite Investigation (VI)

RCRA Deferral Audit (RA)

RCRA Deferral - Further Superfund Assessment (RE)

RCRA Deferral - New Decision (RC)

RCRA Deferral - Lead Confirmed (RB)

Site with SA (Superfund Alternative) Agreement per Office of Enforcement and Compliance Assurance (OECA) Policy (SA)

Government Accountability Office (GAO) Survey (RCED-99-22A) (GA)

GAO Survey (RCED-99-22B) (GB)

Military Munitions Response Program (MMRP)(MM)

Environmental Justice (EJ)

V.A.9 Site Assessment Critical IndicatorsCritical Indicators are used in CERCLIS as a way to further describe the action/activity at

the site. Site Assessment critical indicators are entered on the SCAP Information screen. The critical indicators used by the Site Assessment program are:

Abbreviated Preliminary Assessment - Available for Preliminary Assessment (PA) actions.

Integrated Removal and Remedial Assessment (Int Rmvl/Rmdl Assess) - Available for the following actions:- Preliminary Assessment (PA);- Site Inspection (SI);- Expanded Site Inspection (ESI);- HRS Package (HR);- Integrated ESI/RI (SS); and- Removal Assessment (RS).



V.A.10Pre-CERCLIS Screening AssessmentsDefinition:Pre-CERCLIS screening is the process of reviewing data on a potential site to determine whether it should be entered into the CERCLIS active site inventory for further evaluation. The process can be initiated through the use of several mechanisms, such as aphone call or referral by a state or other federal agency. The information/collection process is normally limited to one or two days. Minimal sampling can be performed during the pre-CERCLIS screening action (less than $10,000 sampling costs per screenedsite).

A site should not be entered into CERCLIS if:

- It is currently in CERCLIS or has been removed from CERCLIS and no new data warrants re-entry into CERCLIS;

- The site or contaminants found on the site are subject to certain limitations based on definitions in CERCLA;

- A state or tribal remediation program is involved in response at the site and it is in the process of a final cleanup;

- The hazardous substance release at the site is regulated under a statutory exclusion (e.g., petroleum, natural gas, natural gas liquids, synthetic gas usable for fuel, normal application of fertilizer, release located in a workplace, naturally occurring, or covered by the Nuclear Regulatory Commission (NRC), or Uranium Mill Tailings Radiation Control Act (UMTRCA), (see CERCLA section 101(22));

- The hazardous substance release at the site is deferred to another authority (e.g., RCRA Corrective Action);

- Site data are insufficient to determine if CERCLIS entry is warranted (i.e., based on potentially unreliable sources or with no information to support the presence of hazardous substances or CERCLA eligible pollutants or contaminants); or

- Documentation clearly demonstrates that there is no potential for a release that could cause adverse environmental or human health impacts.

For more information on pre-CERCLIS screening please refer to Pre-CERCLIS Screening Assessments fact sheet (OSWER 9375.2-11FS). This fact sheet provides the minimum requirements for conducting these types of assessments.

a. Definition of Accomplishment:Pre-Screening Starts - A pre-screening (Action Name = Pre-CERCLIS Screening) is started when the region begins collecting data and performing other tasks related to completion of the Pre-CERCLIS Screening Assessment Checklist; and CERCLIS contains the actual pre-screening start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State-Financed (S); Tribal (TR). Pre-CERCLIS screening start dates are not required.

Pre-Screening Completions - A pre-screening (Action Name = Pre-CERCLIS Screening) is completed when:



- Pre-CERCLIS Screening Assessment Checklist has been developed by EPA to document the decision and placed in the site file. The Pre-CERCLIS Screening actual completion date is the date the Checklist is finalized; and

- CERCLIS contains the actual Pre-CERCLIS Screening completion date (Actual Complete), a valid lead (Lead), and appropriate values in the NPL and Non-NPL Status fields.

In addition to the pre-screening action, entry of the following information is required:

Sites that require remedial assessment work, or both remedial assessment and removal work

- A Discovery Date on the Add Site screen, which corresponds to the actual completion date of the pre-screening action;

- An NPL Status of Not on the NPL on the Add Site screen; - A Non-NPL Status of PA Start Needed or Integrated Removal Assessment PA

Start Needed on the Site Description/Operable Unit screen.

Sites that require only removal work- An Initiation Date on the Add Site screen, which corresponds to the actual

completion date of the pre-screening action; - An NPL Status of Not on the NPL on the Add Site screen; - A Non-NPL Status of Removal Only on the Site Description/Operable Unit

screen.

Sites that require no further evaluation beyond the pre-screening- An NPL Status of Not a Valid Site or Incident on the Add Site screen; - A Non-NPL Status of Not a Valid Site or Incident, Not a Valid Site - RCRA

Lead, Not a Valid Site - NRC Lead, Not a Valid Site - State Lead, or Not a Valid Site - Tribal Lead.

For more information on tracking Pre-CERCLIS Screening activities, please refer to the March 2002 guidance document entitled Data Entry for Pre-Screening Sites.Changes in Definition:None.

Special Planning/Reporting Requirements:All pre-CERCLIS screening activities should be tracked in CERCLIS, including activities at sites not found to be CERCLA-eligible. Sites that are screened out of CERCLIS will be tracked through the Not a Valid Site or Incident values in the NPL and Non-NPL status field. If the decision is made that the site requires NPL assessment and potential cleanup under CERCLA authority, it should be added to the CERCLIS inventory by entering a Discovery Date and valid NPL and Non-NPL Statuses. A Discovery action or date should not be entered into CERCLIS if the site only needs a removal assessment/action and no NPL assessment work is necessary. For these sites with removal-only interest, the Site Initiation Date on the Add Site screen needs to be entered for these sites to be considered part of the CERCLIS inventory. Sites that are screened out of the CERCLIS inventory should be entered on the Add Site screen with no



Discovery or Initiation date, and the NPL status Not a Valid Site or Incident. The region will maintain a record based on a pre-screening action. This is a program measure.

Regions are responsible for maintaining the accuracy of the non-NPL status for every non-NPL site in the CERCLIS inventory. As new actions and new dates are entered into CERCLIS, the system will ask the user to confirm or change this value as appropriate.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of FYQ4.)

SPIM Action/ Activity

ActivityType

SPIM Lead

Documentation Required

Documentation Approval/Date Requirements

Action name = Pre-CERCLIS Screening (HX)

Program Measure

F, EP, S, TR

Pre-CERCLIS Screening Assessment checklist.

The date the checklist is final and CERCLIS contains the Pre-CERCLIS Screening completion date, lead, and NPL or Non-NPL status.

b. Referred From RCRADefinition:A site is Referred from RCRA when both RCRA and Superfund programs agree that the site may require additional investigation or cleanup under the Superfund program. Sites are considered for referral to Superfund from RCRA under a number of scenarios, including:

- sites with facilities that ceased treating, storing, or disposing of hazardous waste prior to November 19, 1980 (the effective date of Phase I of the Subtitle C regulations) and to which the RCRA corrective action or other authorities of Subtitle C cannot be applied.

- sites at which only materials exempted from the statutory or regulatory definition of solid waste or hazardous waste are managed

- contamination areas resulting from the activities of RCRA hazardous waste handlers to which RCRA subtitle C corrective action authorities do not apply, such as hazardous waste generators or transporters, which are not required to have Interim Status or a final RCRA permit; and

- sites having a low priority or questionable enforcement under RCRA, such as non-filers or converters.

Further, facilities whose owners have demonstrated an inability to finance corrective action are referred to Superfund from RCRA.

Appropriate documentation must exist and be signed by both programs that in fact RCRA has turned the site over to Superfund, and Superfund has accepted the site. All sites



referred to Superfund from RCRA must have a Referred from RCRA action and actual completion date documented in CERCLIS.

Definition of Accomplishment:A site referred from RCRA is considered complete the date the region received the paperwork that documents the decision that the site warrants Superfund NPL assessment and/or potential cleanup attention is entered. The Referred from RCRA date is entered as the completion (actual completion) at the site. Valid leads for Referred from RCRA actions include: Fund-Financed (F) and EPA-In House (EP). An action qualifier of financial should be added for all Referred from RCRA actions where the site is referred to Superfund due to a failed financial assurance.

Changes in Definition:None.

Special Planning/Reporting Requirements:Actual start and planning dates are not required for the Referred from RCRA action. An action qualifier of financial should be added to the Referred from RCRA action if the site was referred to Superfund as a result of a failed financial assurance. If the referred site does not already exist in CERCLIS, the site should be added to CERCLIS with the same site identification number used by the site in RCRAInfo.



Activity Type

SPIM Lead Documentation Required Documentation Approval/Date

Requirements

Action name= Referred from RCRA(XR)

Program Measure F, EP

Documentation of the site referral from RCRA and that the Superfund accepts the site warrants Superfund NPL assessment and potential cleanup attention.

The date the documentation of the referral from RCRA is received from the regional official and CERCLIS contains the Referred from RCRA actual completion date and lead.

c. Site DiscoveryDefinition:Site discovery is the process by which a potential hazardous waste site is entered into the CERCLIS inventory for NPL assessment activities. All sites moving through the NPL assessment process must have a Discovery action and actual completion date documented in CERCLIS. Entry of the site discovery date initiates the NPL assessment process and places the site on the Preliminary Assessment backlog.



Definition of Accomplishment:Site discovery of non-Federal Facilities is the date the region completes the pre-CERCLIS screening activities, and documents the decision that the site warrants Superfund NPL assessment and potential cleanup attention. The site discovery date for Federal Facilities is the date the site is formally added to the Federal Facilities Hazardous Waste Compliance Docket indicating Superfund involvement is required. The Site Name and Discovery Date must be entered into CERCLIS for both federal and non-federal sites. Valid leads for site discovery actions include: Fund-Financed (F); EPA-In House (EP); State (S), Tribal (TR); and Federal Facility (FF).


Special Planning/Reporting Requirements:Actual start and planning dates are not required for the Discovery action. The Discovery date is entered through the Add Site screen. The Discovery date will automatically populate the actual completion date for the Discovery action. Regions are now required to enter information on site type at the time of discovery on the Add Site or Site Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is a program measure.

Note: A separate field has been added to CERCLIS to record site initiation dates for removal-only sites. A Discovery action or date should not be entered into CERCLIS if the site only needs a removal assessment/action and no NPL assessment work is necessary. For these sites with removal-only interest, the Site Initiation Date on the Add Site screen needs to be entered for these sites to be considered part of the CERCLIS inventory. The discovery date for sites referred from removal to assessment should be the date the referral decision is made.


Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered by prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of FYQ4.)


ActivityType


Requirements

Action name= Discovery (DS)

Program Measure

F, EP, S, TR, FF

Documentation of the decision that the site warrants Superfund NPL assessment and potential cleanup attention.

The Discovery date is entered through the Add Site screen. The Discovery date will automatically populate the actual completion date for the Discovery action.



d. Sites ArchivedArchiving 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 Superfundprogram must be returned to the CERCLIS inventory. Regions may also record general enforcement related activities (e.g. issuance of comfort letter or prospective purchaser agreements) at archived sites. For more information on archiving sites in CERCLIS please refer to EPA's Refining CERCLIS website at: http://www.epa.gov/superfund/programs/reforms/reforms/2-4c.htm.

Backlogs: The Archive site backlog consists of the potential archive candidate sites described below.

An archive decision is recorded in CERCLIS at the site level. To receive credit for an archive decision, the Archive Indicator (Archive IND) must be checked, and the Archive Date entered on the Site Status and Description/Operable Units screen. A note must be prepared and placed in the site file explaining that no further federal Superfund interest exists at the site based on available information. Since archiving is a comprehensive decision, the note must represent the interests of the appropriate regional business units (e.g., site assessment, removal, etc.), including the regional RCRA program for archive designations based on site deferral to RCRA. Regions should also consult with stateand/or tribal partners prior to making an archive designation to ensure any issues related to archiving are considered and handled appropriately. The date of the note is the Archive Date and entering this date automatically generates the Archive Indicator in CERCLIS.

Although the underlying basis for archiving a CERCLIS site is whether or not federalSuperfund interest exists, several categories of sites are used to generate lists of potential archive candidate sites. Based on review of sites in these categories, regions should update the Archive IND and Archive Date field as appropriate in a timely fashion. These categories are:

- Sites that have completed only the site assessment process and have been given either a NFRAP or Deferred decision at the conclusion of the last completed site assessment action, and no other federal Superfund activity is anticipated;

- Sites that have completed both the removal and site assessment process, or have completed the removal process and require no site assessment work (removal-only sites), and which have completed all related oversight, cost recovery/other enforcement work, and have no further federal Superfund activity anticipated;

- Sites that have successfully completed state deferral as described in the May, 1995 OSWER Directive 9375.6-11 titled Guidance on Deferral of NPL Listing Determinations While States Oversee Response Actions and no further federalSuperfund activity is anticipated;



- Sites removed from the proposed NPL or final NPL (e.g., as a result of a lawsuit) that have no further federal Superfund activity anticipated;

- Child sites addressed as part of a parent non-NPL site that has been properly archived;

- Sites that have been entered into the CERCLIS inventory via entry of a site discovery and/or site initiation date which have not had any work started and, based on review, do not warrant any type of additional Superfund activity. An abbreviated preliminary assessment (PA) should be completed for these sites prior to designating archive status;

- Sites that have completed Other Cleanup Activities by a non-EPA party and have no other federal Superfund activity anticipated.

As appropriate, sites can be returned to the CERCLIS inventory by deleting the date in the Archive Date field. The Archive Indicator will automatically be deleted. A note explaining why the site was returned to the CERCLIS inventory must be prepared and placed in the site file.

The Archive Indicator field in CERCLIS is used as a filter on Superfund reports and data sets to delineate whether a site is still in, or has been removed from, the CERCLIS inventory. Planning dates for archiving sites are not available. It is important to note that an archive decision is not the same as a NFRAP decision. A NFRAP decision is recorded as an Action Qualifier, is made only at the conclusion of a site assessment action, and does not take into account any other Superfund programmatic activity that may be going on at a site such as removals or cost recovery. Archived site is a program measure for both non-Federal and Federal Facilities.

The CERCLIS application will prevent adding certain assessment, removal, remedial, and enforcement actions at archived sites. The CERCLIS-Archive Quick Reference Guide lists the prohibited actions. Prohibited actions can be added to a site by either: 1) returning the site to CERCLIS (e.g., substantial site characterization and/or cleanup is needed); or 2) requesting a database revision through HQ (e.g., entry of historical data). The restriction will not prevent users from entering action-related data such as start/completion dates, leads, qualifiers, etc., at existing actions. CERCLIS will also prevent the archival of NPL sites (Proposed, Final, and Deleted) and sites having a start and no completion date at an archive-prohibited action.

Archive designations should be made in a timely fashion to accurately portray the status of sites to all users of Superfund Program information. The site assessment program area within the CERCLIS reports module contains reports to help EPA regions maintain the integrity of archived data. The Potential Archive Site Inventory Report lists sites that may be eligible for archival. The Archived-To-Be-Reviewed Site Inventory Report lists sites that may warrant data corrections/updates or return to the active CERCLIS site inventory.

The CERCLIS application now captures archive designations by automatically generating an archive action and completion date when the Archive Date field is populated. In addition, a site unarchived action and completion date is generated when the archive date or indicator is deselected (i.e., a decision is made to unarchive a site).



Multiple Archive Site/Site Unarchived actions may be created at a site if the archive indicator is selected, deselected, and then selected again. Each time the archive indicator is selected/deselected at a site, a new Archive Site or Site Unarchived action will be created.

The archive status of a child site should match the archive status of its parent site.

e. Preliminary Assessments (PA) at Non-Federal Facility SitesDefinition:A Preliminary Assessment (Action Name = Preliminary Assessment) is often the first phase of the NPL assessment process following site discovery. The PA is used to determine what steps, if any, need to occur next at the site. Federal, state, and local government files, geological and hydrological data, and data concerning site practices are reviewed to complete the PA report. An on- or off-site reconnaissance also may be conducted, although it is not required. Samples are not generally collected during a PA;however, limited sampling may be performed as necessary to determine whether further assessment (e.g., site inspection) is needed.

Regions also have been encouraged to further reduce repetitive site characterization tasks and costs by combining site assessment and removal evaluation activities where warranted by site conditions. An integrated removal assessment and remedial preliminary assessment combines requirements of a both types of assessments into a single report.

There are instances when an Abbreviated Preliminary Assessment (APA) can be performed in lieu of a standard Preliminary Assessment (PA). The October, 1999 Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides information on conducting APAs and includes a checklist to help site assessors determine whether an APA report is appropriate for a given site. The checklist or an equivalent document can serve as documentation that the APA was completed. The APA checklist or equivalent report must address the requirements set forth in the National Contingency Plan (NCP) for conducting remedial preliminary assessments.

Once a site has been entered into the CERCLIS site inventory for remedial assessment, an APA may be performed if the site/release:

- is regulated under a statutory exclusion (e.g., petroleum); - is subject to certain limitations based on definitions in CERCLA (e.g., naturally

occurring substances in its unaltered form); - can be addressed as part of another site already in CERCLIS; - will be deferred to another program (e.g., RCRA, NRC, EPA removal) based on

existing policy considerations (follow-up confirmation of the deferral is required); - requires no further remedial assessment; or - will require a Superfund site inspection.

Backlogs: The Preliminary Assessment backlog consists of sites with a Non-NPL Status of either PA start needed or PA ongoing.



Definition of Accomplishment:PA Starts - A PA (Action Name = Preliminary Assessment) is started when the region begins collecting data and performing other tasks related to development of the PA report; or when the region signs a letter, form, memo, or issues a Technical Direction Document (TDD) to the EPA contractor or state/tribal government (where applicable), requesting performance of a PA at a specific site or group of sites; or when EPA receives written confirmation from a state/tribal government that the state/tribal government will conduct the PA; and CERCLIS contains the actual PA start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR). PA start dates are required and are used by HQ as a program measure.

APA Starts - An Abbreviated PA is started when the region begins collecting data and performing other tasks related to development of the PA report; or when the region signs a letter, form, memo, or issues a Technical Direction Document (TDD) to the EPA contractor or state/tribal government (where applicable), requesting performance of a PA at a specific site or group of sites; or when EPA receives written confirmation from a state/tribal government that the state/tribal government will conduct the PA.

PA Completions - A Preliminary Assessment (Action Name = Preliminary Assessment) is completed when:

- A PA Report has been developed by EPA; or received by the region from the federal contractor or state/tribal government; and the appropriate regional official signs a letter, form, or memo approving the PA report. The PA actual completion date is the date the PA report is approved; and

- CERCLIS contains the actual PA completion date (Actual Complete), a valid lead (Lead), and a decision on whether further activities are necessary in the Qualifier field; and

- The decision is documented by completing the Site Decision Form 9100-3 in CERCLIS or an equivalent document. The decision document must be printed, signed by the appropriate regional official, and placed in the file.

A valid decision must be recorded in CERCLIS upon completion of the PA. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.

APA Completions - An Abbreviated Preliminary Assessment is completed when an APA checklist or equivalent report has been completed by EPA; or received by the region from the federal contractor or state/tribal government; and the appropriate regional official signs a letter, form, or memo approving the APA report. The APA actual completion date is the date the APA report is approved. APA reports are tracked in CERCLIS by entering a PA action and selecting APA as a critical indicator on the PA action SCAP Information screen.




Special Planning/Reporting Requirements:Regions should attempt to complete PAs at non-Federal Facility sites listed in CERCLIS within one year of the site discovery completion date.

Integrated removal assessment and remedial preliminary assessment reports are tracked in CERCLIS be entering a PA action and selecting INTEGRATED RV/RMDL as a critical indicator on the PA action SCAP Information screen. APA reports are tracked in CERCLIS by entering a PA action and selecting APA as a critical indicator on the PA action SCAP Information screen. PA starts and completions (Actual Start and Complete) are reported site-specifically in CERCLIS. Preliminary Assessment completions at non-Federal Facility sites is a program measure.




ActivityType

SPIM Lead Documentation Required


Action Name =Preliminary Assessment (PA)

Program Measure

F, EP, S, TR

Starts:Letter, form, memo;Technical Direction Document (TDD);Written confirmation from a state/tribalgovernment that the state/tribalgovernment will conduct the PA.

Starts:Signed by region.Date TDD is issued.Date EPA receives confirmation.

Action Name =Preliminary Assessment (PA)

Program Measure

F, EP, S, TR

Completions:PA report; Letter, form, or memo approving the PA report; Site decision Form 9100-3 in CERCLIS or equivalent document.

Completions:Signed by the appropriate regional official.

f. Federal Facility Preliminary Assessment ReviewsPlease refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a description of this activity.

g. Site Inspections (SI) at Non-Federal Facility SitesDefinition:The SI (Action Name = Site Inspection) involves the collection of field data from asuspected hazardous waste site to confirm or deny the presence of contamination and to



further characterize contaminants, migration pathways, and background contaminant levels. The SI serves as a further screening activity to determine what steps, if any, need to occur next at the site. Regions should employ Field Analytical Sampling (FAS) techniques wherever practical during conduct of SI activities.

Regions also have been encouraged to further reduce repetitive site characterization tasks and costs by combining site assessment and removal evaluation activities where warranted by site conditions. An integrated removal assessment and remedial site inspection combines requirements of a both types of assessments into a single report.

Backlogs: The Site Inspection backlog consists of sites with a Non-NPL Status of either SI start needed or SI ongoing.

Definition of Accomplishment:SI Starts - A SI (Action Name = Site Inspection) start date at a non-Federal Facility site is defined as the date when EPA or the state/tribal government signs a letter, memo or form approving the site-specific SI work plan, or a Technical Direction Document (TDD) is issued to the contractor at a site (refer to OSWER Publication #9345.1-03FS for further guidance on defining SI starts) and CERCLIS contains the actual SI start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR). SI start dates are required.

SI Completions - A SI (Action Name = Site Inspection) is completed when:

- A SI Report has been generated by EPA; or received by the region from the federal contractor or state/tribal government; and the appropriate regional official signs a letter, form, or memo approving the SI report. The SI actual completion date is the date the SI report is approved; and

- CERCLIS contains the actual SI completion date (Actual Complete), a valid lead (Lead), and a decision on whether further activities are necessary in the Qualifier field; and


A valid decision must be recorded in CERCLIS upon completion of the SI. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.Changes in Definition:None.

Special Planning/Reporting Requirements:Planning dates are not required for SIs. Actual start and completion dates are required for SIs. SI starts (Actual Start) and completions (Actual Complete) are reported site-specifically in CERCLIS. Site Inspection starts and completions at non-Federal Facility sites are program measures.



Integrated removal assessment and remedial site inspection reports are tracked in CERCLIS by entering a SI action and selecting INTEGRATED RV/RMDL as a critical indicator on the SI action SCAP Information screen.




ActivityType

SPIM Lead Documentation Required


Action Name =Site Inspection (SI)

Program Measure

F, EP, S, TR

Start:Letter, memo, or form approving the site-specific SI work plan,Technical Direction Document (TDD).

Start:Signed by EPA or the state/tribal government.Issued to contractor.

Completion: SI Report and signed letter, form, or memo approving the SI report. Site Decision Form 9100-3 in CERCLIS or an equivalent document.

Completion: Signed by appropriate regional official.

h. Site ReassessmentDefinition:A Site Reassessment represents the gathering and evaluation of new information on a site previously assessed under the federal Superfund Program to determine whether further Superfund attention is needed. A Site Reassessment serves as a supplement to previous assessment work, and not as a replacement for traditional assessment activities (e.g., Preliminary Assessment, Site Inspection). The scope of work for a Site Reassessment activity is flexible, but will usually represent a component of a traditional site assessment action. The intent of the Site Reassessment action is to document the expenditure of Superfund resources on older sites where EPA has received new information or learned that site conditions have changed. This action is also used to record further assessment decisions made after reviewing this new site information. A brief summary of work performed as part of the Site Reassessment action and the related site decision as a result of this work must be documented by completing the Site Decision Form 9100-3 in CERCLIS, or an equivalent document. Correction of site disposition decisions (i.e., action qualifiers) based solely on file reviews should be documented using the historical lockout feature in CERCLIS and not as a new Site Reassessment action.



Definition of Accomplishment:Site Reassessment Starts - A Site Reassessment (Action Name = Site Reassessment) start is defined as the date when EPA or state/tribal government signs a letter, memo or form approving the site-specific Site Reassessment work plan or a TDD is issued to the contractor at a site and CERCLIS contains the actual Site Reassessment start date (Actual Start) and an action lead (Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR).

Site Reassessments Completions - A Site Reassessment (Action Name = Site Reassessment) is complete when:

- A Site Reassessment report has been developed by EPA, or received by the region from the federal contractor, or the state/tribal government, and the appropriate regional official signs a letter, form, or memo approving the Site Reassessment report. The Site Reassessment actual completion date is the date the Site Reassessment report is approved, and

- CERCLIS contains the actual Site Reassessment completion date (Actual Complete), a valid lead (Lead), and a valid decision on whether further activities are necessary in the Qualifier field; and


A valid decision must be recorded in CERCLIS upon completion of the Site Reassessment. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.Changes in Definition:None.

Special Planning/Reporting Requirements:Planning dates are not required for Site Reassessment. Actual start and completion dates are required for Site Reassessment. Site Reassessment starts (Actual Start) and completions (Actual Complete) are reported site-specifically in CERCLIS. Site Reassessment starts and completions are program measures for non-Federal Facilities.






ActivityType

SPIM Lead Documentation Required Documentation Approval/

Date Requirements

Action Name = Site Reassessment (OO)

Program Measure

F, EP, S, TR

Start:Letter, memo, or form approving the site-specific work plan or a TDD is issued.

Start:Signed by the EPA or state/tribal government.

Completion:Site Reassessment report; Letter, form, or memo approving the report; Site Decision Form 9100-03, or an equivalent document.

Completion:Signed by appropriate regional official.

i. Expanded Site Inspections (ESI) at Non-Federal Facility SitesDefinition:The ESI (Action Name = Expanded Site Inspection) collects additional data beyond that collected in the SI to evaluate the site for HRS scoring. ESIs are reserved for more complex sites that cannot be adequately characterized using standard SI methodologies. Installation of groundwater monitoring wells is typical of activities performed under the ESI.

Regions also have been encouraged to further reduce repetitive site characterization tasks and costs by combining site assessment and removal evaluation activities where warranted by site conditions. An integrated removal assessment and expanded site inspection combines requirements of a both types of assessments into a single report.

Regions should employ FAS techniques wherever practical during ESI activities.

Backlogs: The Expanded Site Inspection backlog consists of sites where the Non-NPL Status is either ESI start needed or ESI ongoing.

Definition of Accomplishment:ESI Starts - An ESI (Action Name = Expanded Site Inspection) start is defined as the date when EPA or state/tribal government signs a letter, memo or form approving the site specific ESI work plan or a Technical Direction Document is issued to the contractor at a site and CERCLIS contains the actual ESI start date (Actual Start) and an action lead (Lead) of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR).

ESI Completions - An ESI (Action Name = Expanded Site Inspection) is complete when:

- An ESI Report has been developed by EPA; or received by the region from the federal contractor; or the state/tribal government; and the appropriate regional official signs a letter, form, or memo approving the ESI report. The ESI actual completion date is the date the ESI report is approved; and

- CERCLIS contains the actual ESI completion date (Actual Complete), a valid lead (Lead), and a valid decision on whether further activities are necessary in the Qualifier field; and




A valid decision must be recorded in CERCLIS upon completion of the ESI. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.Changes in Definition:None.

Special Planning/Reporting Requirements:Planning dates are not required for ESIs. Actual start and completion dates are required for ESIs. ESI starts (Actual Start) and completions (Actual Complete) are reported site-specifically in CERCLIS. ESI starts and completions are program measures for non-Federal Facilities.

Integrated removal assessment and expanded site inspection reports are tracked in CERCLIS by entering an ESI action and selecting INTEGRATED RV/RMDL as a critical indicator on the ESI action SCAP Information screen.



SPIM Action/Activity ActivityType


Date Requirements

Action Name = Expanded Site Inspection (ES)

Program Measure

F, EP, S, TR

Start:Letter, memo, or form approving the site specific work plan or TDD.

Start:Signed by the EPA or state/tribal government.Issued to the contractor at a site.

Completion:ESI report; Letter, form, or memo approving the ESI report; Site Decision Form 9100-3 in CERCLIS or an equivalent document.




j. Federal Facility SI ReviewsPlease refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a description of this activity

k. Federal Facility ESI ReviewsPlease refer to Chapter VIII, titled Federal Facility Program, of the SPIM for a description of this activity.

l. Integrated Expanded Site Inspection/Remedial Investigation (ESI/RI) at Non-Federal Facility Sites

Definition:The integrated ESI/RI (Action Name = ESI/RI) is an assessment consisting of an ESI and a RI. The ESI/RI is used to expedite remedial response by gathering site characterization data common to both ESI and RI activities in one step, thereby expediting the later collection of data when comprehensive RI activities are performed. The goal of ESI/RIs is to save time and costs characterizing sites when compared to the traditional, sequential ESI-NPL Listing-RI process. ESI/RIs facilitate but do not replace RIs, and are recommended at sites where conditions indicate that the HRS score will be above 28.5 and a remedial response will be needed. The RI portion of an ESI/RI is intended to be a site-wide activity. ESI/RIs actions should be entered into CERCLIS at operable unit 00.

ESI/RIs may not always be feasible given known site conditions and activities completed to date. In some cases, it may be more prudent to conduct a separate ESI and RI. The definitions for Remedial Investigation/Feasibility Study (RI/FS) Completion and RI Completion (see definitions in Chapter VII) are different from the definition for ESI/RI Completion. The definition of an ESI/RI Completion is the same as that of an ESI Completion. If an ESI/RI action is recorded in CERCLIS, a stand-alone ESI event (Action Name = Expanded Site Inspection) should not be recorded at that site.

Regions also have been encouraged to further reduce repetitive site characterization tasks and costs by combining site assessment and removal evaluation activities where warranted by site conditions. An integrated removal assessment and integrated ESI/RI combines requirements of a both types of assessments into a single report.

Backlogs: The ESI/RI backlog consists of sites with a Non-NPL Status of either Integrated ESI/RI start needed or Integrated ESI/RI ongoing.

Definition of Accomplishment:ESI/RI Starts - ESI/RI (Action Name = ESI/RI) start date is defined as the date when EPA approves the site-specific ESI/RI work plan and CERCLIS contains the actual ESI/RI start date (Actual Start) and an action lead of: Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR).

ESI/RI Completions - An ESI/RI (Action Name =ESI/RI) is complete when:

- An ESI/RI Report has been reviewed and accepted by the region and the appropriate regional official signs a letter, form, or memo approving the ESI/RI



report. The ESI/RI actual completion date is the date the ESI/RI report is approved; and

- The following has been recorded in CERCLIS: the actual ESI/RI completion date (Actual Complete); a valid lead (Lead); and a decision on whether further activities are necessary in the Qualifier field; and


A valid decision must be recorded in CERCLIS upon completion of the ESI/RI. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.Changes in Definition:None.

Special Planning/Reporting Requirements:Planned start and completion dates are not required for ESI/RIs. Actual start and completion dates are required for ESI/RIs. ESI actions (Action Name = Expanded Site Inspection) should not be recorded separately in CERCLIS if they are conducted as part of an ESI/RI. ESI/RI starts and completions at non-Federal Facility sites are program measures.

An integrated removal assessment and ESI/RI report is tracked in CERCLIS by entering an ESI/RI action and selecting INTEGRATED RV/RMDL as a critical indicator on the ESI/RI action SCAP Information screen.


Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered by prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of FYQ4.)


ActivityType


Date Requirements

Action Name =ESI/RI : SS

Program Measure

F, EP, S, TR

Start:Site-specific ESI/RI work plan.

Start:Approved by EPA.

Completion:Letter, form, or memo approving the ESI/RI report;Site Decision Form 9100-3, or an equivalent document.




m. State Deferral of Non-Federal Facility SitesDefinition:State Deferral (Action Name = State Deferral) is an administrative mechanism enabling states and tribes, under their own laws, to respond at sites in the CERCLIS inventory that EPA would otherwise not soon address. Under the State Deferral program, EPA anticipates that responses may be quick and efficient, yet still be protective of the environment and of communities' rights to participate in the decision-making process. Refer to the guidance on Deferral of NPL Listing Determinations While States Oversee Response Actions (OSWER Directive 9375.6-11, May 1995) for additional information on this program.

Backlogs: The State Deferral backlog consists of CERCLIS sites with a Non-NPL Status of Deferral of NPL listing decision while states oversee response.

Definition of Accomplishment:State Deferral Starts - The state deferral (Action Name = State Deferral) process start is defined as the date when the regional Superfund program director and the state program director sign a document deferring the site to the state under the terms established in the deferral guidance. A State Deferral action must be recorded in CERCLIS with an action lead (Lead) of State Deferral (SD). State deferrals are applicable only to non-Federal Facility sites that are not on the NPL.

State Deferral Completions The state deferral (Action Name = State Deferral) completion date is defined as either: 1) the signature date of a formal regional document confirming that the deferral has been completed successfully, or terminating the deferral agreement; or 2) 90 days after the date EPA receives state certification that the deferral has been completed. The outcome (Qualifier) of the state deferral must be entered with the completion date.

Valid decisions (Qualifiers) must be recorded in CERCLIS upon completion of the statedeferral. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.


Special Planning/Reporting Requirements:Six SubActions can be entered for the State Deferral action to generically capture the different cleanup phases a site may be undergoing. These SubActions include:

1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site Investigation)

2. Remedy Selection (SubAction Name = Remedy Selection);

3. Design (SubAction Name = Design);

4. Construction (SubAction Name = Construction);



5. Post-Construction Maintenance (SubAction Name = Post Construction Maintenance); and

6. Short Term Cleanup (SubAction Name = Short Term Cleanup)

SubAction start and completion dates and SubAction lead codes are available for documenting the start and completion of the different cleanup phases being conducted at non-NPL sites by non-EPA parties.

Planned start and completion dates are not required for State Deferral actions. Actual start and completion dates are required. Sites successfully completing the deferral process are eligible for archiving (removal) from the CERCLIS inventory. State deferral starts and completions are program measures.




ActivityType


Date Requirements

Action Name =State Deferral (AQ)

Program Measure SD

Start: Document deferring the site to the state.

Start: Signed by regional Superfund program director and stateprogram director.

Completion:Formal regional document confirming that the deferral has been completed successfully, or terminating the deferral agreement; orstate certification that the deferral has been completed.

Completion:SignatureReceived by EPA.

n. Hazard Ranking System Package (HRS)Definition:The HRS Package (Action Name = HRS Package) documents a numeric score of the relative severity of a hazardous substance release or potential release based on: 1) the relative potential of substances to cause hazardous situations; 2) the likelihood and rate at which the substances may affect human and environmental receptors; and 3) the severity and magnitude of potential effects. The HRS Package also includes references and documentation in support of the score. The score is computed using the revised Hazard Ranking System (HRS). Regions are responsible for preparing HRS packages for both Federal and non-Federal Facility sites. Regions submit a draft version of the HRS



package to HQ for quality assurance review. Regions and HQ work together to address issues and agree on a final version of the HRS package. Based on results of the completed HRS package and other factors, regions determine what next steps, if any, are appropriate for a site (e.g., NPL listing, NFRAP, etc.)

Regions also have been encouraged to further reduce repetitive site characterization tasks and costs by combining site assessment and removal evaluation activities where warranted by site conditions. An integrated removal assessment and HRS Package combines requirements of both types of assessments into a single report.

Backlogs: The HRS backlog consists of sites having Non-NPL Status of either HRS start needed or HRS ongoing.

Definition of Accomplishment:HRS Package Starts - An HRS Package (Action Name = HRS Package) start is defined as the date when EPA signs a memo, form, or letter requesting development of a HRS Package for a specific site and CERCLIS contains the actual HRS Package start date (Actual Start) and a valid action lead of Fund-Financed (F); EPA-In House (EP); State (S); or Tribal (TR). HRS Package start dates are required for both Federal and non-Federal Facility sites, and are used to identify the status of sites in the site assessment pipeline and to measure activity durations. Due to the pre-decisional nature of HRS packages, regions may postpone entry of HRS start dates until after the HRS package has gone through HQ quality assurance review or after the site has been proposed to the NPL.

HRS Package Completions - An HRS Package (Action Name = HRS Package) is complete when:

- An HRS Package has completed HQ quality assurance review and HQ and the region agree to a final version, or an HRS package has completed regional quality control review and the HRS package will not be submitted to HQ for quality assurance review; and

- The following has been recorded in CERCLIS: the approval date for the final version of the HQ QA reviewed (if submitted to HQ) or regional QC reviewed (if not submitted to HQ) HRS Package date or the NPL Proposal publication date as the actual HRS Package completion date (Actual Complete), a lead (Lead), and a decision on whether further activities are necessary in the Qualifier field. Since HRS packages are pre-decisional, entry of HRS Package completion dates in CERCLIS may be delayed until after the site is proposed to the NPL, if applicable; and


Note: Submission of HRS Packages to HQ for technical assistance does not represent an HRS Package completion.



A valid decision must be recorded in CERCLIS upon completion of the HRS Package. Please refer to Exhibit V.3 for a list of valid qualifiers for this action and a description of each qualifier.Changes in Definition:None.

Special Planning/Reporting Requirements:Planned start and completion dates are not required for HRS Packages. Actual start and completion dates are required for HRS Packages. HRS Package starts and completions at both Federal and non-Federal Facilities are program measures.

Integrated removal assessment and HRS Package reports are tracked in CERCLIS by entering an HRS Package action and selecting INTEGRATED RV/RMDL as a critical indicator on the HRS Package action SCAP Information screen.


Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the site is proposed to the NPL. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of FYQ4.)


ActivityType


Date Requirements

Action Name =HRS Package (HR)

Program Measure

F, EP, S, TR

Start:Letter, form, or memo requesting site specific development of a HRS Package.

Start:EPA signature.

Completion:Site Decision Form 9100-3, or an equivalent document.


o. NPL ListingDefinition:The NPL is a list of national priorities among the known or threatened releases of hazardous substances, pollutants, or contaminants throughout the United States and trust territories. There are three mechanisms for placing sites on the NPL for possible remedial action:

- A site may be included on the NPL if it scores sufficiently high on the Hazard Ranking System (HRS). The HRS serves as a screening device to evaluate the relative threat that uncontrolled hazardous substances pose to human health or the



environment. As a matter of Agency policy, those sites that score 28.5 or greater on the HRS are eligible for the NPL.

- Each state may designate a single site as its top priority to be listed on the NPL, regardless of the HRS score.

- Certain sites may be listed regardless of their HRS score, if all of the following conditions are met:

The Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S. Public Health Service has issued a health advisory that recommends dissociation of individuals from the release; and EPA determines that the release poses a significant threat to public health; and EPA anticipates that it will be more cost-effective to use its remedial authority than to use its removal authority to respond to the release.

Backlogs: In general, the backlog for proposing sites to the NPL consists of sites having a Non-NPL Status of HRS Package Completed - Further Evaluation Needed.Definition of Accomplishment:Proposed NPL Listing - The process of proposing a site for placement on the NPL is complete (Actual Complete date) when a Proposed Rule proposing the site to the NPL (Action Name = Proposal to NPL) is published in the Federal Register.

Removal of Proposed NPL Listing - The process of removing a site from the list of proposed NPL sites starts (Actual Start date) when a proposal to remove the site is published in the Federal Register and is complete (Actual Complete date) when final notice of the removal is published in the Federal Register (Action Name = Removed from the Proposed NPL).

Final NPL Listing - The listing process for a site is complete (Actual Complete date) when a Final Rule adding the site to the NPL (Action Name = Final Listing on NPL) is published in the Federal Register.

Withdrawn from the Final NPL - The process of withdrawing a site is complete (Actual Complete date) when a Final Rule withdrawing the site (Action Name - Withdrawn from the NPL) is published in the Federal Register.


Special Planning/Reporting Requirements:HQ will update the following CERCLIS data when Proposed and/or Final NPL rules are published in the Federal Register;

- CERCLIS Site Name; - Federal Register Site Name (for historical record keeping purposes should the

CERCLIS site name change); - NPL listing action (Proposal to NPL, Removed from Proposed NPL, Final Listing

on NPL, and Withdrawn from the NPL;



- NPL listing action actual completion date and action lead of Fund-financed (F); - The NPL Status of Proposed for NPL (P), Removed from list of proposed NPL

sites (R), Currently on Final NPL (F), and Withdrawn from NPL (W); - Federal Docket Management System (FDMS) number, if not already assigned; - The FAD Date will be added to the site and any associated child sites using the

date of NPL proposal (this automatically checks the FAD box); - The ERS Exclusion will be unchecked at the site and any associated child sites

(when proposed); - The Non-NPL Status and date fields will be deleted (when proposed); - The Federal Register date, volume, and page; and - The Federal Facility status.

NOTE: Further information on Deletion and Partial Deletion from the NPL can be found in Chapter VII of this Manual. NPL Listing is a program measure.


SPIM Action/Activity ActivityType


Date Requirements

Action name = Proposal to NPL (NP)

Program Measure F

Proposed Rule proposing the site to the NPL.

Published in the Federal Register.

Removed from the Proposed NPL (NR)

Start:Proposal to remove the site.Complete:Final notice of the removal.

Final Listing on the NPL (NF)

Final Rule adding the site to the NPL.

Withdrawn from the NPL (TW)

Final Rule withdrawing the site.

p. Other Cleanup Activity (OCA)Definition:This action is used to document the referral of a non-NPL site to a state, tribal, or federal environmental cleanup program for remedial-type work without EPA enforcement or oversight. Remedial-type work can include comprehensive site investigations in support of making cleanup determinations, interim cleanup actions, removals or final cleanup decisions, including decisions that cleanup is not required. For this definition, “without EPA enforcement or oversight” means that there is no continuous and substantive involvement on the part of EPA while remedial-type work is ongoing, such as routinely reviewing work products and other documents and providing comments to the non-EPA



party. However, EPA may gather information about activities at an OCA site through meetings or calls with the non-EPA party, by accessing related web sites, or through other means.

OCA status should only be used for sites that have completed the Superfund site assessment process and are considered to be NPL-caliber (i.e., existing information indicates the site would achieve an HRS score > 28.5 and the site warrants remedial-type work as described above).

Regions should periodically discuss progress of OCA sites with the other party leading or managing the remedial-type work to ensure adequate progress is being made. OCA sites not making adequate progress should be evaluated to determine whether another cleanup approach is warranted.

Definition of Accomplishment:OCA Starts - An OCA (Action Name = Other Cleanup Activity) start date is defined as the date EPA refers the site to the state, tribal, or federal environmental cleanup program for further consideration or acknowledges that the site is being cleaned up by a non-EPA party as supported by existing documentation.

Valid leads for Other Cleanup Activity are: Potentially Responsible Party (PRP) Lead Under State (SR), No Fund Money (SN), Tribal (TR), and Federal Facility (FF).

OCA Completions - An OCA (Action Name = Other Cleanup Activity) completion date is defined as either: 1) the date EPA obtains or receives documentation from the non-EPA party that the site has been addressed in accordance with all applicable standards (i.e., determination that cleanup was successfully completed or that cleanup was not necessary); or 2) the date EPA determines remedial-type work will not be completed by the non-EPA party (e.g., site referred back to EPA or otherwise returned to EPA for evaluation of other cleanup approaches). The date the documentation is received or determination is made is entered into CERCLIS as the actual completion date of the OCA.

The decision is documented by completing the Site Decision Form 9100-3 in CERCLIS, or an equivalent document. The decision document must be printed, signed by the appropriate regional official, and placed in the site file.

Valid decisions to be recorded in CERCLIS upon completion of the OCA include:

For sites that require further remedial site assessment:

- (H) - High - Higher priority for further assessment; or- (L) - Low - Lower priority for further assessment; or- (F) - Referred to the removal program with further remedial assessment needed;



For sites that do not require further remedial site assessment:

- (N) - No further remedial action planned; or- (D) - Deferred to RCRA (Subtitle C); or- (DN) - Deferred to NRC; or- (A) - Site is being addressed as part of an NPL site. A site having an event

qualifier of Collapsed should have an NPL Status indicator (Site NPL Status) of A and a valid value in the Site Parent ID field; or

- (B) – Addressed as part of another non-NPL site; or- (W) - Referred to the removal program with no further remedial assessment

needed.Changes in Definition:None.

Special Planning/Reporting Requirements:Recording Final Assessment Decisions at Other Cleanup Activity Sites: Regions should assign a Final Assessment Decision to those OCA sites where no further site assessment work is anticipated. If new information is received or conditions change such that further site assessment is warranted (e.g., site reassessment), regions should delete the Final Assessment Decision.

OCA action start and completion dates are used to generate the following OCA status values displayed on EPA’s public web site for Superfund:

• Referred to state for Remedial Study/Cleanup - (value calculated when OCA start date exists and no completion date exists); and

• State Remedial Study/Cleanup Completed - (value calculated when OCA start and completion dates exist).

For existing OCA actions that do not meet the current SPIM definition, an Action Anomaly Code shall be recorded at the OCA action as follows:

• Other Start Anomaly (OS) – use if only a start date has been recorded; or

• Other Start and Completion Anomaly (OA) – use if both a start and completion date have been recorded.

The following six SubActions can be entered under the Other Cleanup Activity Action to generically capture the different cleanup phases a site may be undergoing.

1. Comprehensive Site Investigation (SubAction Name = Comprehensive Site Investigation)

2. Remedy Selection (SubAction Name = Remedy Selection);

3. Design (SubAction Name = Design);



4. Construction (SubAction Name = Construction);

5. Post-Construction Maintenance (SubAction Name = Post Construction Maintenance); and

6. Short Term Cleanup (SubAction Name = Short Term Cleanup).

SubAction start and completion dates and SubAction lead codes are available for documenting the start and completion of the different cleanup phases being conducted at non-NPL sites by non-EPA parties.

The following action qualifiers are available for these SubActions:

- (H) - High - Higher priority; and- (L) - Low - Lower priority; and- (Blank) - No qualifier specified.

Regions are responsible for maintaining the accuracy of the non-NPL status for every non-NPL site in the CERCLIS inventory. Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of FYQ4.)


ActivityType


Requirements

Action name =Other Cleanup Activity (VA)

Program Measure

SR, SN, TR, FF,

Start:Documentation between EPA and the non-EPA party leading the cleanup.

Start:EPA refers the site to a state, tribal, or federal environmental cleanup program or acknowledges the site is being cleaned up by a non-EPA party.

Completion:Date EPA receives information that remedial-type work has been or will not be completed.

V.A.11Tribal Inventory Information

a. Native American InterestThe Native American Interest checkbox is available on the Add Site screen and Site Status and Description/Operable Units screen. 'Yes' should be selected from the drop down for all tribal sites and indicates that the site is or may be of interest to one or more Native American entities whose members or land is directly affected by the release.

b. Associating Site to an American Indian Tribe/Alaskan Native EntityThe Select/Associate Tribe screen in CERCLIS is used to identify the specific Indian entity (e.g., American Indian tribe or Alaskan native corporation) associated with the site.



This screen allows users to associate one or more Indian entities to a site. The tribes available for selection represent the official list of federally recognized tribes as defined in the Tribal Identifier Data Standard.

Associating an Indian entity to a site may be done at any point in the pipeline. Users may associate an Indian entity to a site when the site is first added to CERCLIS, when an activity occurs at the site where the Indian entity is the lead or signs an agreement, or at any other time that an Indian entity shows interest in the activities at the site.

On Tribal PropertyThe On Tribal Property field is used on the Select/Associate Tribe screen to indicate whether the release is on the tribe's property. This includes Indian country and any other land owned by an American Indian tribe or an Alaskan native Corporation.

Tribal Action Lead CodesThere are two tribal lead codes available for actions on the project schedule: Tribal Lead, Fund Financed (TR) and Special Account Financed Action - Tribal Govt. Action leads are defined on the Project Schedule screen and are specific to an action on the schedule.




Chapter VI: Removal Program





FY 12 SPIM VI-i March 20, 2012

Chapter VI:I: Removal Programm

Table of Contents

VI.A Protect Human Health and the Environment ..........................................................VI-1 VI.A.1 Removal Actions .................................................................................................... VI-1 VI.A.2 Removal Initiation.................................................................................................. VI-1 VI.A.3 Overview of Removal Actions Target and Measures............................................. VI-1

a. Removal Starts.................................................................................................. VI-2 b. Removal Completions....................................................................................... VI-4

List of Exhibits

Exhibit VI.1. Removal Program Activities ........................................................................................ VI-1


March 20, 2012 VI-ii FY 12 SPIM



FY 12 SPIM VI-1 March 20, 2012

CHAPTER VI: REMOVAL PROGRAM

VI.A PROTECT HUMAN HEALTH AND THE ENVIRONMENT Protection of human health and the environment remains the highest priority for the

Superfund Program. EPA will continue to address the worst sites first while balancing the need to complete response actions at sites. The Agency will ensure that available resources are disbursed in a fiscally sound manner. Maximizing Potentially Responsible Party (PRP) involvement remains a high priority.

VI.A.1 Removal ActionsThe goal of EPA's emergency response and removal program is to provide quick

response to immediate threats to public health and the environment from releases of hazardous substances, pollutants or contaminants whenever and wherever they occur.

VI.A.2 Removal InitiationRemoval Initiation is the process by which a potential hazardous waste site is entered into

the Comprehensive Environmental Response, Compensation and Information System (CERCLIS) inventory for Removal response activities. All sites considered removal only sites should have a Removal Initiation flag and date documented in CERCLIS. Entry of the site removal initiation date initiates the removal process and distinguishes it from the National Priority List (NPL) assessment process. The removal initiation flag and date should be added when a site is entered in CERCLIS. If the site needs to go through the NPL assessment process,then it requires a Site Discovery action and date (see Chapter V, titled Site Assessment/NPL Listing for further information on sites needing assessment work).

VI.A.3 Overview of Removal Actions Target and MeasuresThe following pages contain, in pipeline order, the definitions of removal program targets

and measures. Exhibit VI.1 displays the reporting hierarchy of removal activities defined in this chapter.

EXHIBIT VI.1. REMOVAL PROGRAM ACTIVITIES

Activity External Program Reporting


Removal Starts Headquarters (HQ)

Removal CompletionsACS,

Strategic PlanTarget

Notes: For each activity, the definitions and reporting requirements in this chapter specify applicability with respect to NPL status, activity lead, and actual start and completion dates.

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in Agency fiscal year (FY)11-FY15 Strategic Plan.Target = SCAP target and reporting measure.


March 20, 2012 VI-2 FY 12 SPIM

Measure = SCAP reporting measure, but target not required.HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.Regional = Tracked by Regions only, primarily for financial management purposes.

a. Removal Starts Definition:Removal actions are responses performed at NPL and non-NPL sites that eliminate or reduce threats to public health or the environment from the release, or potential release, of hazardous substances or pollutants or contaminants that may pose an imminent and substantial danger to public health or welfare. These risk reduction activities can be conducted as emergency, time-critical, or non-time critical removal actions. This measure tracks each removal action. The appropriate use of Special Account funds for removal actions is provided in the Guidance on the Planning and Use of Special Account Funds(OSWER 9275.1-20, September 2010).

Definition of Accomplishment:A site is addressed by a removal action when the EPA, Remedial Action Contract (RAC), Emergency and Rapid Response Services (ERRS), state, tribal government, or PRP, or their contractors, have mobilized for work on the removal action specified in the Action Memorandum.

- Fund-financed (Including F-, TR-, or S-lead) actions - EPA, state, tribal government, or their contractors have begun work at a site for the removal (emergency, time-critical, or non-time critical) as documented by a Pollution Report (POLREP). The date of on-site work is reported in CERCLIS as the removal (Action Name = Removal Action) actual start date (Actual Start).

- PRP- financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead) actions) - EPA, state, tribal government or their contractors have begun work at a site for the PRP-financed removal (emergency, time-critical, or non-time critical) as documented by a Pollution Report (POLREP). The date of on-site work is reported in CERCLIS as the removal (Action Name = Removal Action) actual start date (Actual Start).

- PRP-financed (Including RP- and MR- lead) actions under the terms of an Administrative Order on Consent (AOC), Unilateral Administrative Order (UAO), Consent Decree (CD), or judgment - The PRPs or their contractors have begun work on-site for the removal (emergency, time critical, or non-time critical) as documented in a POLREP AND the PRPs provide written notice of intent to comply with a UAO, or an enforcement instrument has been signed by EPA and the PRPs, or a judgment has been signed by a federal judge. The date of on-site work is reported in CERCLIS as the removal (Action Name = PRP Removal) actual start date (Actual Start). The following information must be entered into CERCLIS for the enforcement instrument:

The date the AOC (Action Name = Admin Order on Consent) was signed by the PRPs and the designated regional official (Actual Complete), and the Response Acts Pd by Parties of PRP Removal; or



The date (Actual Complete) the PRPs provide notice of intent to comply (Action Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-lead removal signed (Actual Complete) by the designated regional official (Action Name = Unilateral Admin Order), and the Response Acts Pd by Parties of PRP Removal; or The date the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree) to DOJ or HQ and the Response Acts Pd by Parties of PRP Removal; or The date a judgment (Action Name = Judicial/Civil Judgment) was signed by the federal judge (Actual Complete), and the Response Acts Pd by Parties of PRP Removal.

- PRP-financed (PS-lead actions) under terms of a State Order or decree - The PRPs or their contractors have begun work on-site for the removal (emergency, time critical, or non-time critical) as documented in a POLREP, and the stateenforcement instrument has been signed by the appropriate state official. The date of on-site work is reported in CERCLIS as the removal (Action Name = PRP Removal) actual start date (Actual Start).

- PRP-Lead (RP- lead actions) emergency removals without an enforceable instrument - The PRP or their contractors have begun work on-site in response to an emergency incident, and EPA provides on-site technical oversight and/or is part of an incident command system/unified command (as documented in a POLREP). The date of on-site work is reported in CERCLIS as the removal (Action Name = PRP Emergency Removal) actual start date (Actual Start).

- For both Fund- and PRP-financed removals, the following additional information must be entered into CERCLIS:

The Critical Indicator classification of the removal: 1) Emergency; 2) Time Critical; and 3) Non-Time Critical; The media addressed through the removal (Media Type); The Media Name; andThe Response Action being conducted (Selected Response Actions).

An endangerment determination should be documented when an Action Memo, Removal Action Decision Document or an enforcement instrument is prepared. Regions identify which of the documents contain the endangerment determination when they enter the actual completion date (Actual Complete) for the corresponding action into CERCLIS.


Planning/Reporting Requirements:Program policy remains enforcement first. HQ encourages the regions, in order to be able to bill for oversight costs, to use enforceable instruments for PRP-Lead time critical and non-time critical removals.

Fund-financed removals, PRP-financed removals under the terms of an enforceable instrument, PRP-financed emergency removals without an enforceable instrument, and PRP-financed time-critical and non-time critical removals without an enforceable



instrument will be tracked separately for management purposes. Removals are funded bythe removal Site Allowance. Removal start totals will not include Coast Guard leads. Coast Guard lead removals are recorded non-site-specifically in CERCLIS through the program management screen.

b. Removal Completions DefinitionRemoval actions are responses performed at NPL or non-NPL sites that eliminate or reduce threats to public health or the environment from the release, or potential release, of hazardous substances or pollutants or contaminants that may present an imminent and substantial danger to public health or welfare. These risk reduction activities can be conducted as emergency, time-critical or non-time critical removal actions. This measure tracks each removal completion at a site.

DISCLAIMER: Regions will receive credit in the management of the Superfund program for completion of a removal action even though the removal action itself may not be complete for cost recovery statute of limitations purposes. Agency policy for statute of limitations purposes provides that a removal is not complete until EPA has made a final decision on whether any additional cleanup activity is required (and, if it is required, until EPA has both made a final decision on such additional activity and has completed the design for that activity). The date found in the removal action, actual complete column of a CERCLIS report is a programmatic measure only, and cannot be relied upon to create any rights, substantive or procedural, enforceable by any party in litigation with the United States. EPA reserves the right to change such data at any time without public notice.

Definition of Accomplishment:Following are the conditions under which a removal is considered complete:

- Fund-financed (Including F-, TR-, or S-lead) removal is considered complete when the actions specified in the Action Memorandum are met, OR when the contractor has demobilized and left the site (as documented in the POLREP) and recorded the removal (Action Name = Removal Action) actual completion date (Actual Complete) in CERCLIS.

- PRP-financed (Including RP- and MR- lead) removal under the terms of an AOC, UAO, CD, or judgment is considered complete when the region has certified that the PRPs have fully met the terms of an AOC, UAO, CD, or judgment and have completed the actions specified in the Action Memorandum (as documented in the Final POLREP, Letter of Completion, or some other equivalent document) and recorded the removal (Action Name = PRP Removal) actual completion date (Actual Complete) in CERCLIS.

- PRP-financed (PS-lead actions) removal under terms of a State Order or decree is considered complete when the state has certified the PRPs have fully met the terms of the instrument AND have completed the actions specified in the Action Memorandum (as documented in the POLREP) and recorded the removal



(Action Name = PRP Removal) actual completion date (Actual Complete) in CERCLIS.

- PRP-Lead (RP- lead actions) emergency removal without an enforceable instrument is considered complete when the On-Scene Coordinator (OSC), in consultation with the unified command/incident command system if applicable, has determined that the emergency is stabilized (as documented in a POLREP) and recorded the removal (Action Name = PRP Emergency Removal) actual completion date (Actual Complete) in CERCLIS.

- Although expected to be rare, there may be circumstances when voluntary removals are completed for time-critical and non time-critical removal actions. In those cases, regions are required to consult with the Office of Emergency Management (OEM) and the Office of Site Remediation Enforcement (OSRE),and the removals should be reported as voluntary removal actions.

- For either Fund- or PRP-financed removals, an action qualifier must be recorded to identify whether the action resulted in the site being Cleaned Up or Stabilized.

- Action qualifiers are defined as follows: Cleaned Up: All threats have been addressed as defined in the Action Memo, and the region determines that it has addressed all threats posed by the site (will not be returning for subsequent response activity). Also, all removal obligations and related work have been completed. Stabilized: All threats identified in the Action Memo have been addressed. The region may take additional removal actions as new threats are identified/investigatory information is available. Example: Leaking drums and contaminated soil in the area of the drums are excavated and disposed of in an approved off-site facility. Site is stabilized. This qualifier is also used for early actions at sites where EPA is planning further work under the remedial program.

Exceptions:Temporary demobilization and temporary storage on-site are not considered completions, unless temporary storage is the only action specified in the Action Memorandum to mitigate threats to public health, welfare, and the environment. Likewise, temporary off-site storage of hazardous substances at a Treatment, Storage, and Disposal (TSD) facility other than the facility of ultimate disposal is a continuation of the action, not a completion, unless temporary off-site storage at a TSD is the only action specified in the Action Memorandum. In addition, a removal would not be considered complete if:

- The Action Memorandum requires the EPA contractor to monitor the hazardous substances stored on-site or additional contractor expenditures are anticipated; or

- Hazardous substances are being stored at an off-site facility other than the ultimate TSD facility required in the Action Memorandum.

A removal would be considered complete if: The scope of work for the action does not specify final off-site disposal of hazardous substances;



The substances have been stabilized and are stored on-site due to circumstances such as the unavailability of a final treatment/disposal remedy; and No additional Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) removal authority funds are anticipated to be expended on this action. In this instance, no CERCLA removal authority funds will be expended for remedial-term site operations and maintenance (O&M). Any remedial-term site O&M (greater than six months) should be performed by the PRP or another agency (e.g., the state); or Hazardous substances are being stored off-site at the location of final disposal, and no additional contractor expenditures are anticipated for this action.


Special Planning/Reporting Requirements:Upon completion of a removal, an action qualifier must be recorded to identify whether the removal resulted in the site being Cleaned Up or Stabilized. This is both a Government Performance and Results Act (GPRA) annual performance goal and GPRA measure. Removal completion totals will not include Coast Guard lead actions. Coast Guard lead removals are recorded non-site-specifically in CERCLIS through the program management screen. The Removal Program is also requiring the data elements listed below to be entered into CERCLIS. If these fields are left blank, the removal will not count towards the GPRA annual performance goal.

Removal Action NameRemoval LeadRemoval Action Critical IndicatorAction QualifierStart DateCompletion DateMedia NameMedia TypeNPL/Non-NPL Site TypeVolumeContaminantContaminant of Concern




CChhaapptteerr VVIIII:: RReemmeeddiiaall PPrrooggrraamm





FY 12 SPIM VII-i March 20, 2012

CChhaapptteerr VVIIII:: RReemmeeddiiaall PPrrooggrraamm

Table of Contents

VII.A Remedial Program Targets and Measures ............................................................. VII-1 VII.A.1 Remedial Program Targets and Measures............................................................. VII-1 VII.A.2 Remedial Program Definitions.............................................................................. VII-3

a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund Alternative)......................................................................................................VII-3

b. Feasibility Study (FS) (NPL & Superfund Alternative)...................................VII-6 c. Combined RI/FS (NPL & Superfund Alternative) .........................................VII-10 d. Treatability Studies (NPL & Superfund Alternative) ....................................VII-13 e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund

Alternative)....................................................................................................VII-14 f. Engineering Evaluation/Cost Analysis (EE/CA)...........................................VII-15 g. Decision Documents (NPL & Superfund Alternative)...................................VII-16 h. Final Remedy Selected ..................................................................................VII-20 i. Remedial Design (RD) Start (NPL & Superfund Alternative).......................VII-22 j. RD Completion (NPL & Superfund Alternative)...........................................VII-24 k. Remedial Action Start (NPL & Superfund Alternative) ................................VII-25 l. RA Contract Award (NPL & Superfund Alternative) ....................................VII-31 m. Start of On-Site Construction (NPL & Superfund Alternative).....................VII-32 n. Operational and Functional (NPL & Superfund Alternative).......................VII-35 o. Final Inspection by EPA (NPL & Superfund Alternative) ............................VII-36 p. Remedial Action Completion (NPL & Superfund Alternative)......................VII-37 q. Construction Completion (NPL & Superfund Alternative) ...........................VII-39 r. Long-Term Response Action (LTRA and PRP LR) (NPL & Superfund

Alternative)....................................................................................................VII-40 s. Operation and Maintenance (O&M) (NPL & Superfund Alternative)..........VII-42 t. Cleanup Goals Achieved (NPL & Superfund Alternative) ............................VII-44 u. Ground Water Monitoring (NPL & Superfund Alternative) .........................VII-45 v. NPL Site Completions ...................................................................................VII-46 w. Five Year Reviews .........................................................................................VII-47 x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative) ...........VII-52 y. Partial NPL Deletion ....................................................................................VII-53 z. Final NPL Deletion .......................................................................................VII-55 aa. Protective for People Under Current Conditions (PFP) ..............................VII-56 bb. Ready for Anticipated Use (RAU) .................................................................VII-58 cc. Cross-Program Revitalization Measures (CPRM) Indicators ......................VII-60 dd. Human Exposure Under Control ..................................................................VII-62 ee. Migration of Contaminated Ground Water Under Control ..........................VII-67 ff. Populations Protected ...................................................................................VII-70 gg. Cleanup Volume ............................................................................................VII-71 hh. Support Agency Assistance............................................................................VII-72 ii. Technical Assistance .....................................................................................VII-73


March 20, 2012 VII-ii FY 12 SPIM

List of Exhibits

Exhibit VII.1. Remedial Program Activities ..................................................................................... VII-1

Exhibit VII.2. Human Exposure Evaluation Flowchart................................................................... VII-66

Exhibit VII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet .. VII-69


FY 12 SPIM VII-1 March 20, 2012

CHAPTER VII: REMEDIAL PROGRAM

VII.AREMEDIAL PROGRAM TARGETS AND MEASURES

VII.A.1 Remedial Program Targets and MeasuresAs described in Chapter I of this manual, the Superfund Remedial program implements

numerous processes to determine the need for and to conduct response actions. These processes include collecting data on sites to determine the need for Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) response, conducting or overseeing investigations and studies to select remedies, designing and constructing or overseeing construction of remedies and post-construction activities at non Federal Facility sites. The Remedial program also includes technical and administrative support activities, redevelopment functions, participation of states, tribes, and communities in cleanups, and enhancement of response capabilities of states and tribes.

The following pages contain, in pipeline order, the definitions of remedial activities, programmatic measures, and remedial project support activities. Exhibit VII.1 displays theinternal and external reporting hierarchy for the full list of remedial activities defined in this chapter.

EXHIBIT VII.1. REMEDIAL PROGRAM ACTIVITIES



Remedial ActionAnnual

Commitment System (ACS)

Target

Construction Completion ACS Target

Migration of Contaminated Ground Water Under Control ACS Target

Human Exposure Under ControlACS,


Sitewide Ready for Anticipated Use (SWRAU)ACS,


RI/FS (RI, FS, Combined RI/FS) Target

Decision Document (Record of Decision (ROD), ROD Amendment, ESD, Action Memo for NTCRA) Target

Remedial Design Target

Five Year Review (FYR) Target

Final NPL Deletion Target

Start of Public Comment Period (Proposed Plan to Public) Measure


March 20, 2012 VII-2 FY 12 SPIM



Final Remedy Selected Measure

Engineering Evaluation/Cost Analysis (EE/CA) Measure

Operational and Functional (O&F) Measure

Long-Term Response Action (LTRA & PRP LR) Measure

Operation and Maintenance (O&M) Measure

Ground Water Monitoring Measure

Site Completion Measure

Partial NPL Deletion Measure

RA Contract Award Headquarters (HQ)

Start of On-Site Construction HQ

Final Inspection by EPA HQ

Cleanup Goals Achieved HQ

Acres Protective for People Under Current ConditionsCross Program Revitalization

Measure (CPRM)HQ

Acres Ready for Anticipated Use CPRM HQ

Cleanup Volumes HQ

Treatability Study Regional

Support Agency Assistance Regional

Technical Assistance Regional- For each activity, the definitions and reporting requirements in this chapter specify applicability with

respect to NPL status, activity lead, and actual start and completion dates. - For measures in italics: this edition of the SPIM includes a change in definition or requirements.

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in Agency fiscal year (FY)11-FY15 Strategic Plan.CPRM = Reported to external parties as part of Cross Program Revitalization Measures.Target = Superfund Comprehensive Accomplishments Plan (SCAP) target and reporting measure.Measure = SCAP reporting measure, but target not required.HQ = Tracked by HQ for program management purposes, but not a SCAP target or measure.Regional = Tracked by regions only, primarily for financial management purposes.

Where noted in this document, specific activities may be applicable at sites with a Superfund Alternative Approach (SAA) settlement. Additional details on the SAA category of sites can be found in Chapter IX, titled Enforcement). Superfund Alternative sites should be identified in the Comprehensive Environmental Response, Compensation and Liability



Information System (CERCLIS) using the Special Initiative Indicator of "Site with SA Agreement per Office of Enforcement and Compliance Assurance (OECA) Policy" in order to ensure accurate reporting.

Furthermore, specific activities described in this chapter may be funded through Special Account resources. Additional guidance on the appropriate use of Special Account funds at each of these activities is provided in the following documents:

Guidance on the Planning and Use of Special Account Funds (Office of Solid Waste and Emergency Response (OSWER) 9275.1-20, September 2010) Consolidated Guidance on the Establishment, Management and Use of CERCLA Special Accounts (October 2002)

VII.A.2 Remedial Program Definitions

PPAARRTT II.. RREEMMEEDDYY SSEELLEECCTTIIOONN

a. Remedial Investigation (RI) (National Priorities List (NPL) & Superfund Alternative)

Definition: The purpose of the Remedial Investigation (RI) is to collect data necessary to adequately characterize the site for the purpose of developing and evaluating effective remedial alternatives. The RI provides information to assess the risks to human health and the environment and to support the development, evaluation, and selection of appropriate response alternatives.

Definition of Accomplishment:

RI StartObligation of funds for forward planning, community relations and/or other support activities do not constitute a RI start.

Fund-financed (Including F-, TR - and S-lead actions) - Credit for a Fund-financed RI (Action Name = Remedial Investigation) start at an NPL or Superfund Alternative site is received when funds are obligated and the actual start date (Actual Start) has been recorded in CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the RI has been signed by the EPA Contracting Officer (CO); or

- An Interagency Agreement (IA) has been signed by the other federal agency (e.g., U.S. Army Corps of Engineers (USACE)); or

- A Cooperative Agreement has been signed by the Regional Administrator or designee to conduct a RI.



If a subsequent RI is initiated without a new obligation of funds, the start date as recorded in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.

PRP- financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-lead), or Tribal Government (ST-lead) actions) - Credit for a special account-financed RI (Action Name = Remedial Investigation) start at an NPL or Superfund Alternative site is received when funds are obligated and the actual start date (Actual Start) of the RI has been recorded in CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the RI has been signed by the EPA Contracting Officer; or

- An IA has been signed by the other federal agency (e.g., USACE); or - A Cooperative Agreement has been signed by the Regional Administrator or

designee to conduct a RI.

If a subsequent RI is initiated without a new obligation of funds, the start date as recorded in CERCLIS is defined as EPA's written approval of the work plan for the subsequent RI.

PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - APRP- financed RI (Action Name = PRP RI) under federal enforcement at an NPL or Superfund Alternative site starts when one of the following enforcement actions occurs:

- An Administrative Order on Consent (AOC), in which the Potentially Responsible Parties (PRPs) agree to conduct the RI, is signed by the Regional Administrator or delegate. The RI start date (Actual Start) is the date the AOC is signed. This is reported in CERCLIS as the AOC (Action Name = Administrative Order on Consent) completion date (Actual Complete); or

- The date (Actual Complete) the PRPs provide notice of intent to comply (SubAction Name = PRP Notify EPA of Intent to Comply) with a Unilateral Administrative Order (UAO) for a RP-lead RI signed (Actual Complete) by the designated regional official (Action Name = Unilateral Admin Order) and the Response Act Pd by Parties of "PRP RI"; or

- A Consent Decree (CD), in which the PRPs agree to conduct the RI, is referred by the region to Department of Justice (DOJ) or HQ. The RI start date (Actual Start) is the date the Regional Administrator signs the memo transmitting the CD to HQor DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent Decree) actual start date (Actual Start).

PRP-financed under state enforcement (PS-lead actions) - A PRP-financed RI (Action Name = PRP RI) under state enforcement at a NPL or Superfund Alternative site starts when a state order or comparable enforcement document (Action Name = State Order or State Decree), in which the PRPs agree to conduct the RI, is signed by the last appropriate state official or party (Actual Complete) and the site is covered by one of the following:

- State enforcement Cooperative Agreement signed by the Regional Administrator; or



- Superfund Memorandum of Agreement (SMOA) signed by the appropriate state and regional official containing a schedule for RI work at the site; or

- A general SMOA signed by the appropriate state and regional officials covering remedial work to be undertaken with schedules defined before work commences; or

- Other state/EPA agreement signed by the appropriate state and regional official.

If a subsequent PRP-financed RI under federal or state enforcement is initiated without a new or amended AOC, CD, state order, or other comparable state enforcement document, the start date for the RI as recorded in CERCLIS is documented by a letter, form, or memo from EPA or the state approving the work plan for the subsequent RI.

If an AOC, state order, or other comparable state enforcement document is amended for the subsequent RI, the start date is the date the last state official or Regional Administrator/delegate signs the amendment. If a federal CD is amended, the start date is the date on which the memo transmitting the CD to HQ or DOJ is signed by the Regional Administrator.

In-house (EP-lead action) - Credit for an in-house RI (Action Name = Remedial Investigation) start at a NPL or Superfund Alternative site is received on the date that the region conducts the initial RI scoping meeting. The start (Actual Start) is documented by a memo to file containing the minutes from the meeting.

RI CompletionCredit for RI (Action Name = Remedial Investigation or PRP RI) completion at an NPL or Superfund Alternative site is received when the final RI report has been approved by the appropriate regional official and the actual completion date (Actual Complete) has been recorded in CERCLIS.

Changes in Definition: Definition and documentation regarding RI completion was added.

Special Planning/Reporting Requirements: The RI may be conducted alone, as part of a site-wide integrated Expanded Site Investigation/Remedial Investigation (ESI/RI) assessment, or as a combined RI/FS. The RI action should only be added to CERCLIS when the RI is conducted as a stand-aloneactivity.

The RI actual start and complete dates are reported site-specifically in CERCLIS. For PRP-financed RIs, both the RI start (Actual Start) and the CD start (Actual Start) or AOC, state order, or state decree or notice of intent to comply with a UAO completion dates (Actual Complete) must be entered into CERCLIS; the RI start and enforcement dates should be the same date. Funds for RIs and RI oversight are found in the pipeline operations Site Allowance. RI start is an internal program target and measure.



Data Entry Timeliness Requirement: It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4).



Requirements

Action name =Remedial Investigation (RI)

F, TR, S, SA, SS, ST

StartContract modification or work assignment/task order; or An IA; or Cooperative Agreement.

CompleteRI Report

StartSigned by EPA Contracting Officer; or Signed by other federal agency; Signed by Regional Administrator or designee.

CompleteSigned by appropriate regional official

Action name =PRP RI (NA) RP, MR

StartAOC; orNotice of intent to comply with UAO; or Memo transmitting CD to DOJ or HQ

CompleteRI Report

StartSigned by Regional Administrator or delegate;


Action name =PRP RI (NA) PS

StartState enforcement cooperative agreement; or SMOA; or other state/EPA agreement

CompleteRI Report

StartSigned by all appropriate state and regional officials


Action name =Remedial Investigation (RI)

EP

StartMemo to file documenting scoping meeting

CompleteRI Report

StartSigned by appropriate regional official


b. Feasibility Study (FS) (NPL & Superfund Alternative)

Definition:The primary objective of a FS is to ensure that appropriate remedial alternatives are developed and evaluated such that an appropriate remedy may be selected.




FS StartFund-financed (Including F , TR- and S lead actions) - Credit for a Fund-financed FS (Action Name = Feasibility Study) start at an NPL or Superfund Alternative site is received when funds are obligated and the actual start date (Actual Start) is entered into CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the FS has been signed by the EPA CO; or

- An IA has been signed by the other federal agency (e.g., USACE); or - A Cooperative Agreement has been signed by the Regional Administrator or his

designee to conduct a FS. If a first or subsequent FS is initiated without a new obligation of funds, the start date as recorded in CERCLIS is defined as the date of EPA's written approval of the work plan for the FS.

PRP- financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead) actions) - Credit for a special account-financed FS (Action Name = Feasibility Study) start at a NPL or Superfund Alternative site is received when funds are obligated and the actual start date (Actual Start) is entered into CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the FS has been signed by the EPA Contracting Officer; or


designee to conduct a FS.

If a first or subsequent FS is initiated without a new obligation of funds, the start date as recorded in CERCLIS is defined as the date of EPA’s written approval of the work plan for the FS.

PRP-financed under federal enforcement (Including RP- and MR-lead actions) - APRP- financed FS (Action Name = PRP FS) under federal enforcement at a NPL or Superfund Alternative site starts when one of the following enforcement actions occurs:

- An AOC that addresses FS activities is signed by the Regional Administrator or delegate. The FS start date (Actual Start) is the date the AOC is signed. This is recorded in CERCLIS as the AOC (Action Name = Administrative Order on Consent) actual completion date (Actual Complete); or

- The date (Actual Complete) the PRPs provide notice of intent to comply (SubAction Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-lead FS signed (Actual Complete) by the designated regional official (Action Name = Unilateral Admin Order) and the Response Acts Pd by Parties of "PRP FS"; or

- The Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ that addresses FS activities is referred by the region to DOJ or HQ. The FS



start date (Actual Start) is the date (Actual Start) the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree) to DOJ or HQ.

PRP-financed under state enforcement (PS- lead actions) - A PRP-financed FS (Action Name = PRP FS) under state enforcement at a NPL or Superfund Alternative site starts when a state order or comparable enforcement document (Action Name = State Order or State Decree), in which the PRPs agree to conduct the FS, is signed by the last appropriate state official or party (Actual Complete), and the site is covered by one of the following:


- SMOA signed by the appropriate state and regional official containing a schedule for FS work at the site; or

- Other state/EPA agreement signed by the appropriate state and regional official. If a first or subsequent FS is initiated without a new or amended AOC, CD, state order, or other comparable state enforcement document, the start date of the FS is documented by a letter, form, or memo from EPA or the state approving the work plan for the subsequent FS.

If an AOC, state order, or other comparable state enforcement document is amended for the first or subsequent FS, the actual start date is the date the last state official or the Regional Administrator/delegate signs the amendment. If a federal CD is amended, the start date is the date the Regional Administrator signs the memo transmitting the CD to HQ or DOJ.

In-house (EP-lead action) - Credit for an in-house FS (Action Name = Feasibility Study) start at a NPL or Superfund Alternative site is received on the date that the region conducts the initial FS scoping meeting. The start date (Actual Start) is documented by a memo to file containing the minutes from the meeting.

FS CompletionCompletion (Actual Complete) for FS (Action Name = Feasibility Study or PRP FS) at an NPL or Superfund Alternative site occurs upon signature of the resulting remedy decision document (e.g., Record of Decision (ROD) or ROD Amendment).

Changes in Definition:Definition and documentation regarding FS completion was added.

Special Planning/Reporting Requirements:The FS may be conducted alone or as part of a combined RI/FS. The FS action should

only be added to CERCLIS when the FS is conducted as a stand-alone activity.

The FS actual start and complete dates are entered into CERCLIS site-specifically. For a PRP-financed FS, both the FS start date (Actual Start) and the CD start date (Actual Start), or, AOC, state order or state decree or the notice of intent to comply with a UAO actual completion date (Actual Complete) must be entered into CERCLIS; the RI start



and enforcement dates should be the same date. Funds for FS and FS oversight are contained in the pipeline operations Site Allowance. Obligation of funds for forward planning, community relations and/or other support activities does not constitute an FS start. FS Start is an internal program target and measure.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

SPIM Action/ Activity SPIM Lead Documentation Required Documentation Approval/Date

Requirements

Action name =Feasibility Study (FS)

F, TR, S,SA, SS, ST

StartContract modification or work assignment/task order; or IA; or Cooperative Agreement

CompleteDecision document

StartSigned by the EPA CO; Signed by other federal agency; Signed by the Regional Administrator or his designee.


Action name = PRP FS (NK) RP, MR

StartAOC; or Notice of intent to comply with a UAO; or Memo transmitting CD to DOJ or HQ.


StartSigned by Regional Administrator or delegate


Action name = PRP FS (NK) PS

StartState order, or comparable enforcement document stateenforcement Cooperative Agreement; SMOA; or Other state/EPA agreement.


StartSigned by all appropriate state officials or parties Signed by Regional Administrator Signed by appropriate state and regional official Signed by the appropriate state and regional official.


Action name =Feasibility Study (FS) EP

StartMemo to file documenting scoping meeting


StartSigned by appropriate regional official




c. Combined RI/FS (NPL & Superfund Alternative)

Definition:The purpose of the RI/FS is to assess site conditions and evaluate alternatives to the extent necessary to select a remedy.


Combined RI/FS Start

Fund-financed (Including F , TR- and S lead actions) - Credit for a Fund-financed RI/FS (Action Name = Combined RI/FS) start at a NPL or Superfund Alternative site isreceived when funds are obligated and the actual RI/FS start date (Actual Start) is reported in CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the RI/FS has been signed by the EPA CO; or


designee to conduct a RI/FS.

If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date is defined as the date of EPA's written approval of the work plan for the RI/FS.

PRP- financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead) actions) - Credit for a special account-financed RI/FS (Action Name = Combined RI/FS) start at a NPL or Superfund Alternative site is received when funds are obligated and the actual RI/FS start date (Actual Start) is reported in CERCLIS. Funds are obligated when:

- The contract modification or work assignment/task order for the RI/FS has been signed by the EPA CO; or


designee to conduct a RI/FS.

If a first or subsequent RI/FS is initiated without a new obligation of funds, the start date is defined as the date of EPA's written approval of the work plan for the RI/FS.

PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - APRP-financed RI/FS (Action Name = PRP RI/FS) under federal enforcement at a NPL or Superfund Alternative site starts when one of the following enforcement actions occurs:

- An Administrative Order on Consent (AOC), in which the PRPs agree to conduct the RI/FS, is signed by the Regional Administrator or delegate. The RI/FS start date (Action Name = PRP RI/FS) is the date the AOC is signed. This is recorded in CERCLIS as the AOC (Action Name = Administrative Order on Consent) completion date (Actual Complete); or



- The date (Actual Complete) the PRPs provide notice of intent to comply (SubAction Name = PRP Notify EPA of Intent to Comply) with a UAO for a RP-lead RI/FS signed (Actual Complete) by the designated regional official (Action Name = Unilateral Admin Order), and the Response Acts Pd by Parties of "PRP RI/FS"; or

- A Consent Decree (CD), in which the PRPs agree to conduct the RI/FS, is referred by the region to DOJ or HQ. The RI/FS start date (Actual Start) is the date the Regional Administrator signs the memo transmitting the CD to HQ or DOJ. This is recorded in CERCLIS as the CD (Action Name = Consent Decree) actual start date (Actual Start).

PRP-financed under state enforcement (PS-lead actions) - A PRP-financed RI/FS (Action Name = PRP RI/FS) under state enforcement at a NPL or Superfund Alternative site starts when a state order or comparable enforcement document (Action Name = State Order or State Decree), in which the PRPs agree to conduct the RI/FS, is signed by the last appropriate state official or party (Actual Complete) and the site is covered by one of the following:


- SMOA signed by the appropriate state and regional official containing a schedule for RI/FS work at the site; or

- Other state/EPA agreement signed by the appropriate state and regional officials.

If a first or subsequent RI/FS is initiated without a new or amended AOC, CD, state order, or other comparable state enforcement document, the start date of the RI/FS is documented by a letter, form, or memo from EPA or the state approving the work plan for the subsequent RI/FS.

If an AOC, state order, or other comparable state enforcement document is amended for the first or subsequent RI/FS, the start date is the date on which the last state official or Regional Administrator/delegate signs the amendment. If a CD is amended, the start date is the date the Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ.

In-house (EP-lead action) - Credit for an in-house RI/FS (Action Name = Combined RI/FS) start at a NPL or Superfund Alternative site is received when the region has the initial RI/FS scoping meeting and the date is entered into CERCLIS. The start (Actual Start) is documented by a memo to file containing the minutes from the meeting.

Combined RI/FS Completion

Completion (Actual Complete) for Combined RI/FS (Action Name = Combined RI/FS or PRP RI/FS) at an NPL or Superfund Alternative site occurs upon signature of the resulting remedy decision document (e.g., ROD or ROD Amendment).

Changes in Definition:Definition and documentation regarding completion of a Combined RI/FS was added.



Special Planning/Reporting Requirements:Regions should not report a combined RI/FS start if a separate RI and FS are being conducted and have been reported. The RI/FS start and the RI start definition are the same. Obligation of funds for forward planning, community relations and/or other support activities do not constitute an RI/FS start.

The combined RI/FS actual start and complete dates are entered into CERCLIS site-specifically. For a PRP-financed RI/FS, the RI/FS start date (Actual Start) and the CD start date (Actual Start), or, AOC, state order, or state decree or notice of intent to comply with a UAO actual completion date (Actual Complete) must be entered into CERCLIS; the RI start and enforcement dates should be the same date. Funds for RI/FS and RI/FS oversight are contained in the pipeline operations Site Allowance. Combined RI/FS start is an internal program target and measure.




Requirements

Action name= Combined RI/FS (CO)


StartContract modification or work assignment/task order; or IA; or Cooperative Agreement


StartSigned by EPA CO; Signed by other federal agency; Signed by the Regional Administrator or designee.

CompleteAppropriate regional official.

Action name= PRP RI/FS (BD)

RP, MR

StartAdministrative Order on Consent (AOC); or Notice of intent to comply with a UAO for a RP-lead RI/FS and the Response acts Pd; or Memo transmitting Consent Decree (CD) to HQ or DOJ.


StartSigned by Regional Administrator or delegate, Signed by designated regional official and the Response acts Pd signed by parties of APRP RI/FS@, Signed by Regional Administrator transmitting the Consent Decree.


Action name= PRP RI/FS (BD)

PS

StartState order or comparable enforcement document state enforcement Cooperative Agreement; SMOA; or Other state/EPA

StartSigned by all appropriate state officials and parties Signed by Regional Administrator, Signed by the appropriate state and regional





Requirements

agreement.


official, Signed by the appropriate state and regional officials.


Action name= Combined RI/FS (CO)

EP

StartMemo containing the minutes from initial RI/FS scoping meeting.


StartAppropriate regional official.


d. Treatability Studies (NPL & Superfund Alternative)

Definition:Treatability studies are laboratory or field tests used to determine whether availabletechnologies will effectively decontaminate a given matrix in order to develop feasible remedial alternatives.

Definition of Accomplishment:Fund-financed (Including F-, EP-, S- or TR- lead) - The start date is the date of EPA’swritten approval, as reflected in CERCLIS, of the treatability study work plan. The completion is the written approval of the report on the results of the treatability study.

PRP-financed (Including RP-, MR- or PS- lead) - The treatability study starts when EPA approves, in writing, the treatability study work plan submitted by the PRP. The completion is the approval of the report on the results of the treatability study.

PRP- financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Government (ST-lead) actions) - The treatability study starts when EPA approves, in writing, the treatability study work plan. The completion is the approval of the report on the results of the treatability study.


Special Planning/Reporting Requirements:Treatability study (Action Name = Treatability Study) planned and actual start and completion dates are not required in CERCLIS. Treatability studies are funded as part of an ESI/RI, RI/FS, or Remedial Design (RD). Dollars are not budgeted, planned, or



obligated separately. Treatability studies may be tracked at the regional level but this activity is not a program target or measure.


SPIM Action/ Activity SPIM Lead Documentation Required Documentation Approval/

Date Requirements

Action name =Treatability Study (TS)

F, S, TR, EP RP, MR, PS, SA, SS, ST

Start: EPA's written approval of treatability study work plan. Complete: Written approval of report on results of treatability study.

Start: Not specified. Complete: Not specified.

e. Start of Public Comment Period (Proposed Plan to Public) (NPL & Superfund Alternative)

Definition:The FS or RI/FS report is released to the public when the contamination at the site has been characterized and alternatives for remediation have been evaluated.

Definition of Accomplishment:The Start of Public Comment Period (Proposed Plan to Public) is accomplished at a NPL or Superfund Alternative site either 1) on the date the appropriate regional official signs a letter transmitting RI/FS reports and the proposed plan to the site repository for public review, or 2) when the first page of the approved proposed plan, which lists the dates the public comment period starts and ends, is included in the site file. This date must be recorded in CERCLIS as the actual start date (Actual Start) of the SubAction, Public Comment Period (Action Name = Feasibility Study or Combined RI/FS or PRP FS or PRP RI/FS and SubAction Name = Public Comment Period).


Special Planning/Reporting Requirements:Accomplishments are based on the first proposed plan released to the public for each FS or RI/FS, regardless of lead. Sites with SAA settlements should be identified in CERCLIS using the appropriate special initiatives flag. This is an internal program measure.




SPIM Action/Activity SPIM Lead Documentation Required Documentation Approval/Date Requirements

Action name = Feasibility Study (FS) or Combined RI/FS (CO) or PRP RI/FS (BD) SubAction Name = Public Comment Period (PB)

F, S, TR, SA, SS, ST, EP RP, MR, PS,

Letter transmitting RI/FS reports and proposed plan firstpage of approved proposed plan.

Signed by appropriate regional official Not specified.

f. Engineering Evaluation/Cost Analysis (EE/CA)

Definition:The Engineering Evaluation/Cost Analysis (EE/CA) identifies objectives for a non-time critical (NTC) response action, and includes an analysis of cost, effectiveness, and the ability to implement the various alternatives that may be used to satisfy these objectives.

Definition of Accomplishment:The actual start date of an EE/CA is the date that the appropriate regional official signs the EE/CA Approval Memorandum. This information should be recorded in CERCLIS as the actual start date (Actual Start) of the EE/CA (Action Name = Engineering Eval/Cost Analysis).

The actual completion date of an EE/CA is the date that the appropriate regional official signs the Action Memorandum. This information should be recorded as the actual completion date (Actual Complete) of the EE/CA (Action Name = Engineering Eval/Cost Analysis).


Special Planning/Reporting Requirements:EE/CAs are reported site-specifically in CERCLIS. Funds for EE/CAs are contained in the pipeline operations Site Allowance. This is an internal program measure.






Requirements

Action name =Engineering Eval/Cost Analysis (EE)

F, S, TR, SA, SS, ST, EP, RP, PS, MR, CG

Start: EE/CA Approval Memorandum. Complete: Action Memorandum.

Start: Signed by appropriate regional official. Complete: Signed by appropriate regional official.

g. Decision Documents (NPL & Superfund Alternative)

Definition:A "Decision Document" is developed to document decisions or changes to decisions (at NPL, non-NPL, and Superfund Alternative sites) to:

- Perform an emergency, time-critical, or NTC removal; or - Perform a remedial action.

Definition of Accomplishment:Removal Decision Documents (Emergency, Time Critical, or NTC) - The date the On-Scene Coordinator (OSC), Assistant Administrator for OSWER (AA OSWER), or designated regional official signs the first or original Action Memorandum for each removal. Regions will not receive credit for subsequent Action Memos, (e.g., ceiling increases) at the same removal. The date of the signature is recorded in CERCLIS as the actual completion date (Actual Complete) of the SubAction “Approval of Action Memo”or “Removal Action Decision Document.” To receive credit for the Action Memo, the region must enter the action, actual completion date, media addressed, media name, andresponse technology.

Remedial Action Decision Documents (ROD, ROD Amendment, ESD, or Other) - Aresponse action decision document is documented in a Record of Decision (ROD), ROD Amendment, Explanation of Significant Differences (ESD), or through other remedy changes such as a letter to the file. After a ROD is signed, new information may be generated that could affect the remedy selected. Three types of changes may occur: ROD Amendment, Explanation of Significant Differences, and Other Remedy Change.Guidance on the appropriate use of ROD Amendments, ESDs and Other Remedy Changes is available in A Guide to Preparing Superfund Proposed Plans, Records of Decision, and Other Remedy Selection Decision Documents (OSWER 9200.1-23.P, July 1999).

The Superfund Enterprise Management System (SEMS) Document Management System (SDMS) number for each of these documents needs to be sent to the following e-mail group within five days after signing: OSWER Office of Superfund Remediation and Technology Innovation (OSRTI) HQ DOC Center. Please ensure that the documents aretext searchable PDFs of the final version. The documents should also contain signed signature pages and all attachments (especially figures and tables).



Record of Decision (ROD): The ROD documents the selected remedy, provides the basis for taking action, and documents compliance with statutory requirements. It is prepared after completion of the FS and public comment on the Proposed Plan. The completion date for the ROD is the date the designated regional official or the AA OSWER signs the ROD at a NPL or Superfund Alternative site. This date is reported in CERCLIS as the ROD (Action Name = Record of Decision) completion date (Actual Complete). To receive credit for a completed ROD, the region must enter the action, appropriate lead, and actual completion date. EPA HQ is now responsible for data entry of the following elements: media addressed, media name, selected alternative, response technology, remedy cost data, and institutional control information.

State-lead RODs under CERCLA that result from an F, S, TR, or EP-lead FS or RI/FS, or a PS or MR-lead PRP RI/FS, or PRP FS where EPA concurs on the ROD should have a lead of ‘SC’. Accomplishments are reported as the date of the latest signature, from EPA or the state, on the ROD at NPL or Superfund Alternative sites.

For state-lead RODs without EPA concurrence, the ROD should have a lead of 'SW'. The ROD will not be included in accomplishment reporting; however, the ROD date should be recorded in CERCLIS as the date the state signs the ROD.

ROD Amendment: When a post-ROD remedy change involves a fundamental or appreciable change or changes in the scope, performance, and/or cost, or a number of significant changes together have the effect of a fundamental change, the change in remedy should be documented in a ROD Amendment. When such fundamental changes or amendments are made to a remedy, the ROD process (revised proposed plan, public comment period, public meeting, responsiveness summary, and amended ROD) should be repeated. The amended ROD must be placed in the Administrative Record (AR) and a copy must be e-mailed to the HQ address provided above.

A fundamental change to the ROD should be recorded as a ROD amendment SubAction in CERCLIS (Action Name = Record of Decision and SubAction Name = ROD Amendment). The date the designated regional official or the AA OSWER signs the amended ROD at a NPL or Superfund Alternative site should be recorded in CERCLIS as the actual completion date. To receive credit for a completed ROD amendment, the region must enter the action, appropriate lead, and actual completion date. EPA HQ is now responsible for data entry of the following elements: media addressed, media name, selected alternative, response technology, remedy cost data, and institutional control information. ROD Amendments are tracked as an internal reporting measure.

Explanations of Significant Differences: When a post-ROD remedy change involves a portion of the remedy and does not fundamentally alter the overall cleanup approach it may be documented as an Explanation of Significant Differences (ESD). A copy of the ESD is placed into the Administrative Record (AR), and a copy needs to be e-mailed to the HQ address provided above. The ESD is made available to the public for review. A formal public comment period, public meeting, and responsiveness summary are not required. While the ESD is being prepared and made available to the public, response activities should continue.



An ESD is not a new ROD and should not be coded as such in CERCLIS. It should be entered as a SubAction to the ROD (Action Name = Record of Decision and SubAction Name = Explanation of Significant Dif). The date the ESD at a NPL or Superfund Alternative site is signed by the designated regional official or the AA OSWER is reported as the actual completion date. To receive credit for a completed ESD, the region must enter the action, appropriate lead, and actual completion date. EPA HQ will enter response action and cost data if they are changed by the ESD. ESDs are tracked as an internal reporting measure.

Other Remedy Changes: Non-significant remedy changes fall within the normal scope of changes occurring during the Remedial Design/Remedial Action (RD/RA) or limited RA. These changes may result from value engineering. This may cause minor changes in the type/cost of materials, equipment facilities, services, and supplies. When such changes do not significantly affect the scope, performance, or cost of the remedy, they are considered minor or non-significant.

Other Remedy Changes should be documented in a Note to File or Memorandum to File, titled "Other Remedy Change." Copies of these documents shall be placed into the Administrative Record (AR), and need to be e-mailed to the HQ address provided above.Since the document is placed into the AR, it is available for public review. A formal public comment period, public meeting and responsiveness summary are not needed. An Other Remedy Change is not a new ROD and should not be coded as such in CERCLIS. It should be entered as a SubAction to the ROD (Action Name = Record of Decision and SubAction Name = Other Remedy Change). Other Remedy Change data are entered into CERCLIS at the time the document is signed. The date the Other Remedy Change at a NPL or Superfund Alternative site is signed by the designated regional official or the AA OSWER is reported as the actual completion date. Response action and cost data only need to be entered when they change. Other Remedy Changes are tracked as an internal reporting measure.

RODs Requiring No Physical Construction: At some NPL sites, EPA may determine, through the Remedial Investigation/Feasibility Study (RI/FS) (or other means), that no physical construction is necessary to protect human health and the environment. Such a determination may be documented in no action/no further action RODs, including RODsthat require only monitoring, and Limited Action RODs requiring monitored natural attenuation or institutional controls only. To receive credit for a completed ROD in these instances, the region must enter the action, appropriate lead, and actual completion date. EPA HQ will enter response action and cost data, as appropriate.

Changes in Definition:Clarified the data elements that the region and HQ are each responsible for entering, with respect to the selected remedy in a decision document.

Special Planning/Reporting Requirements:To receive credit for an Action Memo, the region must enter the following data into CERCLIS:



- the media addressed through the action (Media Type and Media Name), and- the Selected Response Actions.

To receive credit for a ROD, ROD amendment, ESD or Other Remedy Changes the region must enter the following data into CERCLIS:

- Action/SubAction Name, - Action Lead, and- Actual Completion Date.

For a ROD, ROD amendment, ESD, or Other Remedy Change, EPA HQ is now responsible for entering the following data into CERCLIS:

- the name of the selected alternative (Alternative Name), - the media addressed in the ROD (Media Type and Media Name), - the Selected Response Actions (which may include No Action, No Further

Action, Monitoring, or Institutional Controls in addition to active remediation). If institutional controls are anticipated at the site, institutional control objectivesneed to be defined and entered into CERCLIS, and

- associated cost data that are listed in the decision document that may be any or all of the following costs (Capital Cost (must always be entered even if 0), Annual Operations and Maintenance (O&M) Cost, Total O&M Cost, Present Worth Cost, O&M Duration, and Discount Rate)

CERCLIS will system generate the RI/FS or FS actual completion date if one does not already exist and a predecessor relationship was established between the RI/FS and the ROD. This is an internal program target and measure.


SPIM Action/Activity SPIM Lead Documentation Required


Action name = Removal, PRP RemovalSubAction name =Approval of Action Memo (AM) or Removal Action Decision Document (RF)

F, FE, S, TR, SA, SS, ST, EP, RP, MR, PS

Action Memo or other Removal Decision Document

Signed by designated regional official.

Action name = Record of Decision (RO)


ROD Signed by designated regional official or the AA OSWER.

Action name = Record of Decision (RO)

F, FE, S, TR, SA, SS, ST,

Amended ROD Signed by designated regional official or AA OSWER at an NPL



SPIM Action/Activity SPIM Lead Documentation Required


SubAction Name = ROD Amendment (JQ)

EP, RP, MR, PS

or Superfund Alternative site.

Action name = Record of Decision (RO): SubAction Name =Explanation of Significant Diff (EH)

F, FE, S, TR,SA, SS, ST, EP, RP, MR, PS

ESD Signed by regional official or the AA OSWER.

Action name = Record of Decision (RO) SubAction Name = Other Remedy Change (OT)


Other Remedy Change Signed by designated regional official or the AA OSWER.

h. Final Remedy Selected

Definition:This measure will track the Final Remedy Selected measure at NPL sites. Final Remedy Selected decisions will also be tracked in CERCLIS for non-NPL sites and reported separately. A Final Remedy Selected decision occurs when a final decision has taken place at a site (i.e. the final remedy has been selected at the last operable unit (OU) for a site). This can include the signature of the final ROD, ROD Amendment, or Removal Action Memorandum at a site. In general, an Explanation of Significant Difference (ESD) will not constitute a Final Remedy Selected since ESDs generally document a non-fundamental change to a remedy. Also, a partial deletion from the NPL cannot be used to document Final Remedy Selected.

Definition of Accomplishment:Credit under CERCLA for a Final Remedy Selected will be given when:

- Site has a Final ROD or ROD Amendment, there are no existing planned ROD, ROD Amendment, Removal Action Memorandum, RI/FS or EE/CA actions, and the action is designated as the Final Remedy. This is reported in CERCLIS as a ROD (Action Name = Record of Decision) or ROD Amendment (SubAction Name = ROD Amendment) with the date the designated regional official or the AA OSWER signs the ROD (Actual Complete) and the action has been designated a Final Remedy (Qualifier = R); or

- Site has a Removal Action Memorandum and no existing planned ROD, RI/FS, or planned action memorandum and the action is designated as the Final Remedy. This is reported in CERCLIS as an Action Memorandum (Action Name =Engineering Eval/Cost Analysis and SubAction Name = Approval of Action Memo) with the date the memorandum was signed (Actual Complete) and the action is designated a Final Remedy (Qualifier = R).




Special Planning/Reporting Requirements:CERCLIS will automatically look for planned RODs, ROD Amendments, Removal Action Memoranda, RI/FSs and EE/CAs when a user assigns the Final Remedy Selected qualifier at a ROD, ROD Amendment or Action Memorandum. CERCLIS will not assign the Final Remedy for a deleted site if a Final Remedy determination has already been made at the site. As part of the development of the baseline for this measure, HQ worked with the regions to evaluate Construction Completion sites to determine whether they constituted a Final Remedy Selected (as of 2003). There were a limited number of sites where additional remedy selection was envisioned and a Final Remedy Selected determination was not made. As of 2005, no further changes to the baseline number were to be made.

Once a site is designated as Final Remedy Selected at the end of year pull, that site cannot get credit for a change in status if it is subsequently determined that additionalchanges to the remedy are needed in the future. However, the database can track that decision document that constitutes the most up to date document reflecting the actual final remedy selected action, as opposed to the decision document for which credit for Final Remedy Selected accomplishment was recorded.

This is an internal program measure.

Data Quality:

Data Entry Timeliness RequirementThe Final Remedy Selected decision will be marked by the region as a qualifier associated with a specific response measure decision document and operable unit. This qualifier may be selected for a planned action that is expected to be the Final Remedy for the site. The measure only includes sites for which the Final Remedy Selected qualifier is assigned to a completed action (one for which the user enters the actual completion date). It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the activity occurs. Once a site is designated as a Final Remedy Selected site, that designation cannot be removed from the site (although CERCLIS may track what the new decision is that will be the Final Remedy document) and the site cannot get credit for another Final Remedy Selected accomplishment in another year. (Generally, the quarterly pull occurs on the fifth business day following the end of each quarter or the 10th business day following the end of the fourth fiscal quarter.)

Accuracy RequirementThe final remedy determination is tracked to the signature date of the decision document that designates the remedy for the final OU at the site. The measure tracks the fiscal yearin which the final remedy determination was made and associates the measure to the remedy decision document/action. The Final Remedy Selected measure at a site is locked to the year in which the Final Remedy was originally selected/designated. The system prevents users from changing the original fiscal year in which a final remedy selected determination was made, once the fiscal year has passed. If a new decision/action is made at the site that supersedes the original Final Remedy Selected determination, the system



prompts users to "move" the Final Remedy Selected qualifier to the new measure/action which becomes the new Final Remedy at the site. In these cases, the region must document the reason that the remedy changed. If the Fiscal year of the original Final Remedy Selected action has passed, the measure counts the site in the original fiscal yearof the determination. The site is not counted twice if the Final Remedy Selected qualifier is moved. Further, measures cannot be removed from CERCLIS after the end of year accomplishment pull from CERCLIS is determined.

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i. Remedial Design (RD) Start (NPL & Superfund Alternative)

Definition:The RD converts the remedy selected in the ROD into a final design document for the RA. The obligation of funds for design assistance or technical assistance does not constitute a RD start.

Pre-design activities will not be counted as an RD start.

Definition of Accomplishment:Fund-Financed (Including F-, EP-, TR-, and S-lead actions) - A Fund-financed RD (Action Name = Remedial Design) at a NPL or Superfund Alternative site is started (Actual Start) when funds are obligated. An obligation is made when:

- The EPA CO signs the contract modification or work assignment/task order for the RD; or

- A Cooperative Agreement is signed by the Regional Administrator or his designee; or

- An IA is signed by the other federal agency.

In those instances where design assistance is conducted prior to ROD signature, and there is not a new obligation of funds for a subsequent RD, the start of RD is defined as the written approval of the work plan to conduct these activities. If there is a new obligation of funds, the start of RD is defined as the date funds are obligated. When an RD has been prepared by other parties (e.g., water lines where the city already prepared plans and specifications) or plans developed for a similar remedy will be used, the RD actual start date is the same as the RA actual start date.

PRP-financed RD from a Special Account (including Special Account Financed Action performed by EPA (SA-lead) the State (SS-Lead), or Tribal Governments (ST-lead) actions) - A PRP-financed RD from a Special Account (Action Name = Remedial Design) at an NPL or Superfund Alternative site is started (Actual Start) when funds are obligated. An obligation is made when:

- The EPA CO signs the contract modification or work assignment/task order for the RD; or



- A Cooperative Agreement is signed by the Regional Administrator or his designee; or

- An IA is signed by the other federal agency.

In those instances where design assistance is conducted prior to ROD signature, and there is not a new obligation of funds for a subsequent RD, the start of RD is defined as the written approval of the work plan to conduct these activities. If there is a new obligation of funds, the start of RD is defined as the date funds are obligated. When an RD has been prepared by other parties (e.g., water lines where the city already prepared plans and specifications) or plans developed for a similar remedy will be used, the RD actual start date is the same as the RA actual start date.

PRP-financed under federal enforcement (Includes RP- and MR-lead actions) - The start (Actual Start) of an RP-lead RD (Action Name = PRP RD) at a NPL or Superfund Alternative site is credited on the date the earlier of the following actions takes place:

- The enforcement document under which the RD is to be conducted becomes effective;

- For an Administrative Order on Consent (AOC), this is the date of signature of the AOC for RD by the Regional Administrator or his delegate, or the date of signature of an amendment to an existing AOC to include RD;

- For a Unilateral Administrative Order (UAO), this is the date of the PRP's written notice of intent to comply with the UAO;

- For a CD, this is the date the Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ; or

- An official written notice to proceed is issued by EPA to the PRP.

PRP-financed under state enforcement (PS-lead actions) - Credit will be given (Actual Start) for a PS-lead RD (Action Name = PRP RD) at a NPL or Superfund Alternative site based on the issuance or effective date of a state order or other comparable state enforcement document for RD (or combined RD/RA). If the RD is covered by a pre-existing state order, credit will be based on the notice to proceed date.


Special Planning/Reporting Requirements:The actual start date (Actual Start) of the RD (Action Name = Remedial Design or PRP RD) must be entered into CERCLIS. Accomplishments are reported site-specifically. Funds for RDs are in the pipeline operations Site Allowance. This is an internal program target and measure.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth



business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)



Requirements

Action name= Remedial Design (RD)

F, EP, TR, S, SA, SS, ST

Contract modification or work assignment/task order for the RD, Cooperative Agreement or IA.

Signed by the EPA CO; or Signed by the Regional Administrator or his designee; or An IA signed by the other federal agency.

Action name= PRP RD (BE)

RP, MR

Official written notice from the EPA to the PRP or the enforcement document under which the RD is to be conducted becomes effective (this can be either the AOC, or an amendment to an existing AOC to include RD); or The PRP's written notice of intent to comply with the UAO; or Memo transmitting the CD to DOJ or HQ).

Official written notice from the EPA AOC signed by the Regional Administrator or his delegate for the RD PRP's written notice Signed by Regional Administrator.

Action name= PRP RD (BE)

PS State order or other comparable state enforcement document.

Signature and date on the enforcement document.

j. RD Completion (NPL & Superfund Alternative)

Definition:The RD converts the remedy selected in the ROD into a final design document for RA.

Definition of Accomplishment:The RD at an NPL or Superfund Alternative site is complete when:

Fund-financed (Including F-, EP-, TR-, and S-lead actions) - EPA concurs, in writing, with the final design document.

PRP-financed under federal enforcement (Including MR- and RP-lead actions) - EPA concurs, in writing, with the final design document.

PRP-financed under state enforcement (PS-lead actions) - the state concurs with the final design document.


Special Planning/Reporting Requirements:The actual completion date (Actual Complete) of the RD (Action Name = Remedial Design or PRP RD) must be entered into CERCLIS. Accomplishments are reported site-specifically. This is an internal program target and measure. The regions should update the technical and cost data previously entered by HQ for the ROD if there are any



changes that result from the RD. This can be accessed through the Selected Remedy Summary screen.



Action name = Remedial Design (RD)


Written EPA approval of the final design document. Not specified

Action name = PRP RD (BE) RP, MR Written EPA approval of the final

design document. Not specified.

Action name = PRP RD (BE) PS State approval of final design

document. Not Specified

k. Remedial Action Start (NPL & Superfund Alternative)

Definition:Remedial Action - A remedial action (RA) is the actual construction or implementation of a discrete scope of activities supporting a Superfund site cleanup. Each RA project is generally designed to achieve progress toward specific remedial action objectives (RAOs) identified in a CERCLA remedy decision document (e.g., ROD, ROD amendment, ESD). Fund-financed remedial actions can only be funded at sites that are on the NPL (Final or Deleted). PRP-financed RAs (including RAs financed from a Special Account) may be performed at NPL and Superfund Alternative sites.

Limited Remedial Action - A Limited Remedial Action (Limited RA) is the implementation of a remedy decision document where the only action selected is Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional Controls. A Limited RA is distinguished from Remedial Action because the remedy typically requires no remedial design and is distinguished from a No Action/No Further Action ROD because the remedy includes at least some remedial action component. In the case of monitored natural attenuation, natural processes are used to attain cleanup goals, and the Limited RA may only consist of adding monitoring wells and a determination that the action is complete. Monitored natural recovery is a remedy that typically uses known, ongoing, naturally occurring processes to contain, destroy, or otherwise reduce the bioavailability or toxicity of contaminants in sediment. A monitored natural recovery remedy generally includes site-specific cleanup levels and remedial action objectives, and the Limited RA may only consist of monitoring to assess whether risk is being reduced as expected. For an institutional control only remedy, the Limited



RA consists of implementing the institutional controls outlined in the decision document.To identify an RA as a Limited RA in CERCLIS, a region should attach the Limited RA Critical Indicator to the RA action code (Action Name = Remedial Action or PRP RA).

Institutional Control Remedial Action - An institutional control remedial action is an anomaly-coded action used solely to fund the institutional control implementation (or oversight) component of a selected remedy where the remedial action for the selected remedy has already been completed. This action is distinguished from a limited remedial action, in which the selected remedy is monitored natural attenuation, monitored natural recovery, and/or institutional controls only. Because this action is associated with an existing completed remedial action, the Other Start and Completion anomaly code (RAA_CODE = "OA") should be used. Where the selected remedy includes physical construction as well as institutional controls, and the remedial action is not yet started or is underway, implementation of the institutional controls should be included in the remedial action and the anomaly code should not be used.

DISCLAIMER: The Remedial Action start is a program management accomplishment that does not signify "initiation of physical on-site construction" for purposes of calculating a cost recovery statute of limitations. The date found in the remedial action actual start column of a CERCLIS report is a programmatic measure only, and cannot be relied upon to create any rights, substantive or procedural, enforceable by any party in litigation with the United States. EPA reserves the right to change such data at any time without public notice.

Definition of Accomplishment:The start date (Actual Start) of the RA, Limited RA, or Institutional Control Action (Action Name = Remedial Action or PRP RA), as defined below, is entered into CERCLIS to record the start accomplishment.

Fund-financed (Including F-, EP-, TR-, and S-lead actions)

Remedial Action and Institutional Control Remedial Action (Action Name = Remedial Action)

- A RA start at a NPL site is the date a contract modification for the RA is signed by the EPA CO or the IA is signed by the other federal agency or a Cooperative Agreement is awarded, and funds are obligated.

- A RA start at a NPL site, which is a subsequent RA start under an existing IA, is the date the amendment to the IA to include the new work is approved.

Limited Remedial Action (Action Name = Remedial Action)

- A Limited RA start at a NPL site is the date a ROD selecting a limited remedial action is signed.



PRP- financed RA from a Special Account (including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Governments (ST-lead) actions)

Remedial Action and Institutional Control Remedial Action (Action Name = Remedial Action)

- A RA start at a NPL or Superfund Alternative site is the date a contract modification for the RA is signed by the EPA CO or the IA is signed by the other federal agency or a Cooperative Agreement is awarded, and funds are obligated

- A RA start at a NPL or Superfund Alternative site, which is a subsequent RA start under an existing IA, is the date the amendment to the IA to include the new work is approved.

Limited Remedial Action (Action Name = Remedial Action)

- A Limited RA start at a NPL or Superfund Alternative site is the date a ROD selecting a limited remedial action is signed.

PRP-financed under federal enforcement (MR- lead actions)

Remedial Action (Action Name = PRP RA)

An RA start at a NPL or Superfund Alternative site is the date either one of the following occurs and has been recorded in CERCLIS:

- If work is performed by the PRPs under the same enforcement instrument (e.g., CD, UAO) as the RD, the RA start is the date EPA approves, in writing, the PRP RD document (RD completion); or

- Where the Fund performed the RD or the RD was done under a settlement/order for RD only and the PRPs are doing the RA under the terms of a separate CD or judgment for RA only, the RA start date is whichever one of the following occurs first:

The date the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree) to DOJ or HQ;The date the judgment (Action Name = Judicial/Civil Judgment) is signed by the federal judge; or The date EPA approves, in writing, the final design document for the RD.

Institutional Control Remedial Action (Action Name = PRP RA)An RA start at an NPL or Superfund Alternative site is the date the earlier of the following actions takes place:

The date of signature of the AOC for RA by the Regional Administrator or his delegate, or the date of signature of an amendment to an existing AOC to include the RA;



The date the Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ; or An official written notice to proceed is issued by EPA to the PRP.

Limited Remedial Action (Action Name = PRP RA)- A Limited RA start at an NPL or Superfund Alternative site, under the terms of a

CD or judgment for RA only, is the date either one of the following occurs and is recorded in CERCLIS:

The CD (Action Name = Consent Decree) is transmitted by the Regional Administrator to HQ or the DOJ; or The date the judgment (Action Name = Judicial/Civil Judgment) is signed by the federal judge.

PRP-financed under federal enforcement (RP- lead actions)

Remedial Action (Action Name = PRP RA)- An RA start at an NPL or Superfund Alternative site is the date either one of the

following occurs and has been recorded in CERCLIS: If work is performed by the PRPs under the same enforcement instrument (e.g., CD, UAO) as the RD, the RA start is the date EPA approves, in writing, the PRP RD document; or Where the Fund performed the RD or the RD was done under a settlement/order for RD and the PRPs are doing the RA under the terms of a separate CD, UAO (RP-lead RA only) or judgment for RA only, the RA start date (Actual Start) is whichever one of the following occurs first:

- The date of the PRP's written notice of intent to comply with the UAO for the RP-lead RA (Action Name = Unilateral Admin Order and SubAction Name = PRPs Ntfy EPA, Intent to Comply);

- The date the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree);

- The date the judgment (Action Name = Judicial/Civil Judgment) issigned by the federal judge; or

- The date EPA approves, in writing, the final design document for the RD.

Institutional Control Remedial Action (Action Name = PRP RA)- An RA start at an NPL or Superfund Alternative site is the date the earlier of the

following actions takes place: The date of signature of the AOC for RA by the Regional Administrator or his delegate, or the date of signature of an amendment to an existing AOC to include the RA; The date the Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ; or An official written notice to proceed is issued by EPA to the PRP.

Limited Remedial Action (Action Name = PRP RA)



- A Limited RA start at an NPL or Superfund Alternative site, under the terms of a CD, UAO or judgment for RA only, is that date either one of the following occurs and is recorded in CERCLIS:

The date of the PRP's written notice of intent to comply with the UAO (Action Name = Unilateral Admin Order and SubAction Name = PRPs Ntfy EPA, Intent to Comply); The date the Regional Administrator signs the memorandum transmitting the CD to DOJ or HQ; or The date the judgment (Action Name = Judicial/Civil Judgment) is signed by the federal judge.

PRP-financed under state enforcement (PS-lead actions)

Remedial Action (Action Name = PRP RA)- If the PRP is doing work under a state order or comparable enforcement

document, and the NPL or Superfund Alternative site is covered by a state enforcement cooperative agreement or State Memorandum of Agreement (SMOA) with a schedule for remedial action work at the site, and EPA approved the ROD, the RA start is the date the state approves, in writing, the PRP RD document.

Institutional Control Remedial Action (Action Name = PRP RA)- The RA start at an NPL or Superfund Alternative site is the issuance or effective

date of a state order or other comparable state enforcement document for the RA. If the RA is covered by a preexisting order, the RA start date is the notice to proceed date.

Limited Remedial Action (Action Name = PRP RA)- If the PRP is doing work under a state order or comparable enforcement

document, and the NPL or Superfund Alternative site is covered by a state enforcement cooperative agreement or State Memorandum of Agreement (SMOA) with a schedule for remedial action work at the site, and EPA approved the ROD, the Limited RA start is the issuance or effective date of the enforcement instrument.


Special Planning/Reporting Requirements:This is an internal program target and measure. The actual start date (Actual Start) of the RA (Action Name = Remedial Action or PRP RA), the Limited RA Critical Indicator, and, for PRP-lead RAs, the appropriate enforcement information must be entered into CERCLIS. The regions should update the technical and cost data previously entered by HQ for the ROD if there are any changes that result from the RA. Fund-financed RAs are planned on a site-and action-specific basis and are in the RA Site Allowance. Oversight of RP-lead RAs is funded through the pipeline operations Site Allowance.






Date Requirements

Action name =Remedial Action (RA)


Contract modification for the RA or IA.RA signed by the EPA CO; or IA signed by the other federal agency.

Action name =PRP RA (BF) MR

Written approval by the EPA of the PRP RD document; Memo transmitting the CD to DOJ or HQ; The judgment, or written approval from the EPA of the final design document for the RD.

The date of written approval; Signed by the Regional Administrator;Signed by the federal judge

Action name =PRP RA (BF) RP

Written approval from EPA of the PRP RD document; PRP's written notice of intent to comply with UAO; Memo transmitting the CD and judgment EPA written approval of the final design document.

The date of written approval; The date of written notice; Memo signed by the Regional Administrator; judgment signed by the federal judge100% design approval by EPA

Action name =PRP RA (BF) PS Written approval from the state of the PRP RD

document.The date of written approval.

Action name =Remedial Action (RA):Limited Remedial Action


Signed ROD. ROD signature date

Action name =PRP RA (BF):Limited Remedial Action

RPPRP's written notice of intent to comply with UAO; Memo transmitting the CD to DOJ or HQ; Judgment.

The date of written notice.Signed by the Regional Administrator; Signed by the federal judge.


MRCD transmitted by the Regional Administrator to HQ or the DOJ; orJudgment.

The date of CD transmittal memo; Signed by the federal judge.


PS Enforcement instrument. The date of issuance or effective date.

Action name =Remedial Action

F, EP, TR, S,

Contract modification for the RA or IA. RA signed by the EPA CO; or IA signed by the other federal





Date Requirements

(RA): Institutional Control Remedial Action

Anomaly Code “OA” is to be used

SA, SS, ST

agency.

Action name =PRP RA (BF): Institutional Control Remedial Action


MR

Official written notice from the EPA to the PRP or the enforcement document under which the RD is to be conducted becomes effective (this can be either the AOC, or an amendment to an existing AOC to include RD; or the PRP's written notice of intent to comply with the UAO; or Memo transmitting the CD to DOJ or HQ).

Official written notice from the EPA; AOC signed by the Regional Administrator or his delegate for the RD;PRP's written notice; Signed by Regional Administrator.



RP

Official written notice from the EPA to the PRP or the enforcement document under which the RD is to be conducted becomes effective (this can be either the AOC, or an amendment to an existing AOC to include RD; or the PRP's written notice of intent to comply with the UAO; or Memo transmitting the CD to DOJ or HQ).

Official written notice from the EPA; AOC signed by the Regional Administrator or his delegate for the RD;PRP's written notice; Signed by Regional Administrator.



PS State order or other comparable state enforcement document.

Signature and date on the enforcement document.

l. RA Contract Award (NPL & Superfund Alternative)

Definition:Award of RA contract is the date a contract for construction of the remedy is awarded.

Definition of Accomplishment:Fund-financed (Including F-, TR-, and S-lead actions) and PRP- financed RA from a Special Account (including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Governments (ST-lead) actions) - Date (recorded in CERCLIS as an Actual Complete) when the EPA, state or other federal agency (e.g.USACE) awards (signs) a contract to initiate a Fund-financed RA.

If a Response Action Contracts (RAC) contractor is assigned RA responsibility, the award of RA contract at a final NPL site is defined as the date the RA subcontract is signed by the contractor. If an Emergency and Rapid Response Services (ERRS)



contractor will be performing the RA, award of RA contract is defined as the date (Actual Complete) the contract modification for the RA is signed by the EPA CO.

PRP-financed under federal enforcement (Including MR-, RP-, and PS-lead actions) -Date (recorded in CERCLIS as an Actual Complete) when the PRP awards a contract to initiate the RA at a NPL or Superfund Alternative site, as documented in a memorandum to the site file.


Special Planning/Reporting Requirements:The actual completion date (Actual Complete) must be placed in CERCLIS with the RA SubAction, Award of RA Contract (Action Name = Remedial Action or PRP RA and the SubAction Name = Award of Contract). This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.



SPIM Lead

Documentation Required Documentation Approval/Date Requirements

Action name =Remedial Action(RA)


Contract, subcontract, or contract modification.

EPA, state or USACE signed contract. RA subcontract signed by the RAC contractor or the contract modification for the RA signed by the EPA CO.

Action name =PRP RA (BF)

MR, RP, PS

Memo documenting PRP awarded contract. The date of memo to the site file.

m. Start of On-Site Construction (NPL & Superfund Alternative)

Definition:This measure counts the initiation of on-site construction for all remedial actions at NPL or Superfund Alternative sites.

Definition of Accomplishment:On-Site Construction for a Remedial Action begins when the EPA, RAC contractor, USACE, state or PRP, or their contractors have begun on-site construction work at a site for the remedial action selected in the ROD or other decision document.

- Fund-financed (Including F-, TR-, and S- lead actions) - EPA, the state or their contractors have begun work for on-site construction of the remedy at a site on theNPL. A memo to file documenting that the contractor has mobilized and began



substantial and continuous physical on-site remedial action is required. This date is entered into CERCLIS as the RA On-Site Construction SubAction (Action Name = Remedial Action and SubAction Name = RA On-Site Construction Start) actual completion date (Actual Complete).

- PRP- financed from a Special Account (including Special Account Financed Action performed by EPA (SA-lead), the State (SS-Lead), or Tribal Governments (ST-lead) actions) - EPA, the state or their contractors have begun work for on-site construction of the remedy at a NPL or Superfund Alternative site. A memo to file documenting that the contractor has mobilized and began substantial and continuous physical on-site remedial action is required. This date is entered into CERCLIS as the RA On-Site Construction SubAction (Action Name = Remedial Action and SubAction Name = RA On-Site Construction Start) actual completion date (Actual Complete).

- PRP-financed under federal enforcement (Including RP- and MR- lead actions) - The PRPs or their contractors have begun work at a NPL or Superfund Alternative site for on-site construction of the remedy. The date of on-site construction must be documented in a memorandum to the site file stating when the contractor began substantial and continuous physical on-site remedial action. A copy of a report of start up from the contracting party is also acceptable. The date of on-site construction must be entered into CERCLIS as the RA On-Site Construction SubAction (Action Name = PRP RA and SubAction Name = RAOn-Site Construction Start) actual completion date (Actual Complete).

In addition, to receive credit under this measure, the PRPs must be in compliance with a UAO, or an enforcement instrument signed by EPA and the PRPs, or a judgment signed by a federal judge. The following information must be entered into CERCLIS for the enforcement instrument:

The date (Actual Complete) the PRPs provide notice of intent to comply (Action Name = PRP Notify EPA of Intent to Comply) with a UAO for the RP-lead RA signed (Actual Complete) by the designated regional official (Action Name = Unilateral Admin Order), and the Response Acts Pd by Parties of "PRP RA" or The date the CD (Action Name = Consent Decree) was signed by the PRPs, the designated regional official, and the federal judge (Actual Complete), and the Response Acts Pd by Parties of "PRP RA"; or The date a judgment (Action Name = Judicial/Civil Judgment) was signed by the federal judge (Actual Complete), and the Response Acts Pd by Parties of "PRP RA".

- PRP-financed under state enforcement (PS-lead actions) - The PRPs or their contractors have begun work at a NPL or Superfund Alternative site for on-site construction of the remedy. The date of on-site construction must be documented in a memorandum to the site file stating when the contractor began substantial and



continuous physical on-site remedial action. A copy of a report of start up from the contracting party is also acceptable. The date of on-site construction must be entered into CERCLIS as the RA On-Site Construction SubAction (Action Name= PRP RA and SubAction Name = RA On-Site Construction Start) actual completion date (Actual Complete). In addition, to receive credit under this measure, the PRPs must be working under a state enforcement instrument.


Special Planning/Reporting Requirements:RA starts will be tracked separately for management purposes. The date of RA on-site construction (SubAction Name = RA On-site Construction Start) will be used for purposes of establishing the Statute of Limitation (SOL) determination. It is also used as the trigger date for a statutory Five Year Review (FYR), if applicable. The Five Year Review planned completion date is set for five years after the RA On-Site Construction Start planned start date. The Five Year Review planned completion date will be grayed out and uneditable once the actual start date for the RA On-Site Construction Start is entered. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.

Data Entry Timeliness Requirements:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

SPIM Action/Activity SPIM Lead Documentation Required Documentation Approval/

Date Requirements

Action name = Remedial Action (RA): SubAction name= RA On-Site Construction (RG)


Memo The date of memo to the site file.

Action name = PRP RA (BF): SubAction name = RA On-Site Construction (RG)

RP, MR Memo or a copy of a report of start up from the contracting party Memo to site file.

Action name = PRP RA (BF): SubAction name = RA On-Site Construction (RG)

PSMemo or a copy of a report of start up from the contracting party. stateenforcement instrument

Memo to site file.

Action name = Unilateral Admin Order (UA) Consent Decree (CD) Judicial/Civil Judgment (JG)

MR, RP

PRP's written notice of intent to comply with UAO; or Memo transmitting the CD to DOJ or HQ; or Judgment signed by the federal judge.

The date of PRP’s written notice. Signed by the Regional Administrator Signed by the federal judge.



n. Operational and Functional (NPL & Superfund Alternative)

Definition:Operational & Functional (O&F) activities are generally conducted after physical construction of the remedy is complete to ensure that it is functioning properly and operating as designed. A remedy is determined to be O&F either one year after construction is complete, or when EPA and the state concur that the remedy is functioning properly and is performing as designed (whichever is earlier). EPA may grant extensions to the one-year period, as appropriate. O&F activities occur during the last year of Remedial Action, and generally guide the schedule for transferring O&M responsibilities to states for fund-financed remedies.

O&F determinations are typically only made for those remedies that have an O&M, longterm response action (LTRA), or PRP long term response action (PRP LR) component.Monitored natural attenuation remedies have a simplified O&F determination. EPA is responsible for the O&F determination (with concurrence from the appropriate parties); therefore all O&F SubActions are given a Fund-financed lead code. Upon O&F completion, the remedy moves into LTRA, PRP LR, or O&M.

Definition of Accomplishment:O&F activities are completed when the appropriate parties (e.g., EPA, state and/or PRP) concur that the remedy is operational and functional, and the completion (Actual Completion Date) of the O&F period (Action Name = Remedial Action or PRP RA and SubAction Name = Operational and Functional) is documented by a letter from EPA to the appropriate parties. The O&F completion date should directly correspond to the start date for the LTRA, PRP LR or O&M action that follows. Planned and actual start dates are not required for the O&F SubAction.

The RA Report is only used to document RA completion, and should not be used to document O&F determinations due to potential delays in preparing RA reports. O&F completions should be documented by a letter from EPA to the appropriate parties, independent from the RA report. This will ensure timely transfer of O&M responsibilities to states at fund-financed remedies.


Special Planning/Reporting Requirements:The completion (Actual Complete) of O&F (SubAction Name = Operational and Functional) are reported site and OU specifically in CERCLIS. Completion of this activity may be tracked by HQ for program management purposes, but it is not a program target or measure. As a SubAction, O&F does not receive funding.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the



quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

SPIM Action/Activity SPIM Lead

Documentation Required Documentation Approval/Date Requirements

Action Name = Remedial Action or PRP RASubAction Name =Operational and Functional (VM)

F Letter to the interested parties.

Signed by the designated regional official within oneyear of remedy construction, unless an extension has been granted

o. Final Inspection by EPA (NPL & Superfund Alternative)

Definition:Final Inspection by EPA refers to the contract final inspection, conducted to determine whether construction of the remedy has been completed in accordance with the contract design and specifications.

Definition of Accomplishment:The final contract inspection (Action Name = Remedial Action or PRP RA and SubAction Name = Final Inspection by EPA) is complete (Actual Complete) when the designated regional official approves the Final Inspection Report, documenting that all work has been completed in accordance with the contract plans and specifications (including any punch list items identified during the pre-final inspection).

Changes in Definition:This SubAction is being defined in the SPIM for the first time.

Special Planning/Reporting Requirements:The contract final inspection is an important step prior to approval of the Remedial Action Report and receiving credit for RA completion. Planned and actual start dates are not required for this SubAction. Additional information on RA inspections may be found in Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.




SPIM Action/Activity SPIM Lead Documentation Required Documentation Approval/Date

Requirements

Action Name = Remedial Action or PRP RASubAction Name = Final Inspection by EPA (PQ)

F EPA’s written approval of the Final Inspection Report

Signed by the designated regional official

p. Remedial Action Completion (NPL & Superfund Alternative)

Definition:Remedial Action - A remedial action (RA) is the actual construction or implementation of a discrete scope of activities supporting a Superfund site cleanup. Each RA project is generally designed to achieve progress toward specific remedial action objectives (RAOs) identified in a CERCLA remedy decision document (e.g., ROD, ROD amendment, ESD). Fund-financed remedial actions 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 Superfund Alternative sites.

Limited Remedial Action - A Limited Remedial Action (Limited RA) is the implementation of a remedy decision document where the only action selected is Monitored Natural Attenuation, Monitored Natural Recovery, and/or Institutional Controls. A Limited RA is distinguished from Remedial Action because the remedy typically requires no remedial design and is distinguished from a No Action/No Further Action ROD because the remedy includes at least some remedial action component. In the case of monitored natural attenuation, natural processes are used to attain cleanup goals, and the Limited RA may only consist of adding monitoring wells and a determination that the action is complete. Monitored natural recovery is a remedy that typically uses known, ongoing, naturally occurring processes to contain, destroy, or otherwise reduce the bioavailability or toxicity of contaminants in sediment. A monitored natural recovery remedy generally includes site-specific cleanup levels and remedialaction objectives, and the Limited RA may only consist of monitoring to assess whether risk is being reduced as expected. For an institutional control only remedy, the Limited RA consists of ensuring the institutional controls are in place. To identify an RA as a Limited RA in CERCLIS, a region should attach the Limited RA Critical Indicator to the RA action code (Action Name = Remedial Action or PRP RA).

Institutional Control Remedial Action - An institutional control remedial action is an anomaly-coded action used solely to fund the institutional control implementation (or oversight) component of a selected remedy where the remedial action for the selected remedy has already been completed. This action is distinguished from a limited remedial action, in which the selected remedy is monitored natural attenuation, monitored natural recovery, and/or institutional controls only. Because this action is associated with an existing completed remedial action, the Other Start and Completion anomaly code (RAA_CODE = "OA") should be used. Where the selected remedy includes physical construction as well as institutional controls, and the remedial action has not yet started



or is underway, implementation of the institutional controls should be included in the remedial action and the anomaly code should not be used.

Definition of Accomplishment:The completion date (Actual Completion) of the RA, Limited RA, or Institutional Control Action (Action Name = Remedial action or PRP RA), as defined below, is entered intoCERCLIS to record the completion accomplishment.

Remedial Action and Limited Remedial Action- A Fund-financed RA completion at a NPL site or a PRP-lead RA completion at a

NPL or Superfund Alternative site is the date the designated regional official approves the Remedial Action Report.

Examples of Remedial Action completions and criteria for EPA approval of an RAReport may be found in Chapter 2 of the Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Institutional Control Remedial Action- A Fund-financed RA completion at a NPL site or a PRP-lead RA completion at a

NPL or Superfund Alternative site is the date that the appropriate institutional control vehicle designated in the ROD (e.g. deed restriction, well drilling restriction, groundwater use restriction) is fully implemented and documented.

Changes in Definition:Minor edits made in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The revised guidance no longer distinguishes between Interim and Final RA Reports, therefore the qualifier is no longer utilized.

Special Planning/Reporting Requirements:Remedial action, limited remedial action, and institutional control remedial actioncompletions will be tracked separately but accomplishments (excluding anomaly-coded remedial actions) will be reported on a combined basis.

Beginning in FY 2011, the Superfund program began reporting “Remedial Action Project Completions” externally as a key program measure with an annual target. The measure includes Fund, PRP (including Special Account-funded) and Federal Facility RA completions at final and deleted NPL sites. The new measure is intended to augment the existing site-wide Construction Completion measure and reflect the large amount of work being done at Superfund sites. Reporting on the new measure will provide valuable information to communities by demonstrating incremental progress in reducing risk to human health and the environment at sites.





SPIM Action/Activity SPIM Lead Documentation RequiredDocumentation Approval/Date Requirements

Action name = Remedial Action (RA) or PRP RA (BF)

F, EP, TR, S, SA, SS, ST, MR, RP, PS

Remedial Action Report.Written approval from the designated regional official

Action name = Remedial Action (RA) or PRP RA (BF): Limited Remedial Action

F, EP, TR, S, SA, SS, ST, MR, RP, PS

Remedial Action Report.Written approval from the designated regional official

Action name = Remedial Action (RA) or PRP RA (BF): Institutional Control Remedial Action


F, EP, TR, S, SA, SS, ST,MR, RP, PS

Documentation of the IC vehicle designated in the Record of Decision

Signature on the institutional control documentation

q. Construction Completion (NPL & Superfund Alternative)

Definition:Construction at an NPL or PRP-lead Superfund Alternative site is considered complete when physical construction is complete for the entire site as a result of one or more removal and/or remedial actions, and a Preliminary Close Out Report (PCOR) has been signed by the designated regional official and concurred with by HQ. The report must address construction activities for the entire site. There is only one Construction Completion accomplishment per site. For more detailed information on the specific requirements for Construction Completion, see Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Definition of Accomplishment:The Construction Completion designation requires that the remedy is documented in a final ROD, physical construction of the remedy is complete, a pre-final inspection has been conducted and only minor punch list items remain, and the designated regional official has signed the PCOR.

Construction Completion is achieved when the region enters the signature date (Actual Complete) of the PCOR into CERCLIS (Action Name = Prelim Close-Out Rep Prepared) and HQ selects the appropriate special initiative indicator in CERCLIS (Indicator Name =Construction Completion or Indicator Name = SAA Construction Completion). This action constitutes HQ concurrence with the construction completion documentation. EPA is responsible for documenting Construction Completion; therefore all PCOR actions are given a Fund-financed lead code.



If a site meets both the Construction Completion and Site Completion criteria simultaneously, then a PCOR is not needed. In this situation, a Final Close Out Report (FCOR) may be prepared in order to satisfy documentation requirements for both milestones. The same CERCLIS rules apply for the signature date (Actual Complete) of the FCOR (Action Name = Close Out Report) and HQ selection of the special initiative indicator.

- In some rare instances, NPL sites may be addressed entirely under removal authority. In such instances, the site is likely to achieve CC and site completion at the same time. The Remedial Project Manager (RPM) (or OSC) should document in the final Pollution Report (POLREP) that the contractor has completed all removal actions and demobilized from the site. The RPM (or OSC) should then prepare an FCOR to document construction completion (and simultaneous site completion).

Changes in Definition:Definition was updated to reflect recent revisions to Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Special Planning and Reporting Requirements:Regions will not receive credit for Construction Completion until the actual completion date of the Preliminary or Final Close-Out Report is entered into CERCLIS, the necessary documentation is submitted to HQ, and HQ selects the appropriate special initiative indicator in CERCLIS. For NPL sites, regions identify sites to meet the goal prior to the start of the FY. Regions may receive credit under this measure and the NPL Site Completion measure as a result of the same remedial action or removal action. Sites with Superfund Alternative Agreements do not count toward meeting annual Construction Completion goals. Construction Completion is a key program target and measure; the program reports accomplishments to external parties.

The planned completion date for a Policy Five Year Review is set for five years after the PCOR or FCOR planned completion date. The Five Year Review planned completion date will be grayed out once the actual completion date of the PCOR or FCOR is entered.

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r. Long-Term Response Action (LTRA and PRP LR) (NPL & Superfund Alternative)

Definition:LTRA refers to the Fund-financed(or PRP-financed from a Special Account), operation of ground water and surface water restoration measures, including monitored natural attenuation for the first 10 years of operation following the O&F determination or until cleanup levels are achieved, whichever is earlier.



PRP LR (PRP long-term response) is a specific type of O&M for ground water and surface-water restoration remedies (including monitored natural attenuation). The 10-year time period described above does not apply to PRP LR.

Note that LTRA and PRP LR do not apply to other remedies that simply require a long time to achieve cleanup goals, such as bioremediation or soil vapor extraction. LTRA and PRP LR also do not apply to ground water or surface water containment measures, ground water monitoring, or ground water or surface water measures initiated for the primary purpose of providing a drinking water supply.

Definition of Accomplishment:LTRA and PRP LR Start:

Fund-financed LTRA (Including F- and S- lead actions), PRP-financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-lead), or Tribal Government (ST-lead) actions) or PRP LR (IncludingRP-, MR-, PS-, and SR- lead actions) Start: LTRA at a NPL site or PRP LR at a NPL or Superfund Alternative site (Action Name = Long Term Response or PRP LR) begins (Actual Start Date) on the date the remedy is determined to be O&F. Note that RA completion (the parent action to the O&F SubAction) may occur later than LTRA start because the RA Report is generally submitted to the region for approval up to 90 days after the O&F determination.

LTRA and PRP LR Completion:

Fund-financed LTRA or PRP-financed from a Special Account Completion: LTRA at a NPL site is complete (Actual Complete Date) 10 years after it begins or when cleanup goals are achieved as documented by valid monitoring data (e.g., routine O&M report),whichever is earlier. LTRA transitions to O&M if cleanup goals have not been achieved within the 10-year period.

PRP LR Completion: PRP LR at a NPL or Superfund Alternative site is complete (Actual Complete Date) when cleanup goals are achieved, as documented by valid monitoring data (e.g., routine O&M report).

Changes in Definition:Minor edits made in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The revised guidance no longer distinguishes between Interim and Final RA Reports;therefore a Final RA Report is not needed to document achievement of restoration goals.

Special Planning/Reporting Requirements:LTRA and PRP LR are planned on a site-specific basis (Action Name = Long-term Response or PRP LR) in CERCLIS and are used for resource allocation purposes only. Funds for LTRA are issued site-specifically in the RA Site Allowance. Funds for oversight of the PRP LR are contained in the pipeline operations Site Allowance.Completion of LTRA and/or PRP LR is an internal program measure.






Requirements

Action name =Long Term Response (LR)

F, S, TR, SA, SS, ST

StartLetter documenting O&F completion

CompleteLetter to the state confirming LTRA transfer; or Report containing valid monitoring data that demonstrate cleanup goals achieved

StartSigned by the designated regional official.

Complete Signed by the appropriate regional official. Date should not exceed 10 years from LTRA start.

Action name =PRP LR (ME)

RP, MR, PS, SR

StartLetter documenting O&F completion

CompleteReport containing valid monitoring data that demonstrate cleanup goals achieved

Start Written approval from the designated regional official.

CompleteSigned by the appropriate regional official.

s. Operation and Maintenance (O&M) (NPL & Superfund Alternative)

Definition:O&M are the activities required to maintain the effectiveness or the integrity of the remedy, and, in the case of Fund-financed or PRP-financed from a special account measures to restore ground- or surface- waters, continued operation of such measures beyond the LTRA period until cleanup goals are achieved. Except for Fund-financed or PRP-financed from a special account ground- or surface- water restoration actions covered under section 300.435(f)(4) of the National Contingency Plan (NCP), O&M measures are initiated after the remedy has achieved the remedial action objectives and remediation goals in the ROD, and is determined to be O&F (see definition of O&F).

Depending on the remedy that was implemented at the site/OU, O&M may not be required, may only be required for a defined timeframe, or may be required to be performed indefinitely. Examples of remedies where O&M may have an indefinite period of performance are sites where waste is contained on-site and the integrity of the cap must be maintained or sites where institutional controls must be maintained. In some instances, O&M may be complete when the ground- or surface- water restoration goals are met. The state or PRP is fully responsible for O&M.

Ground water and surface water restoration measures, including monitored natural attenuation conducted by the PRPs, are technically defined as O&M. However, to better



track these types of restoration remedies, regions should use PRP LR to indicate that these activities are being performed at the site.

Definition of Accomplishment:The start of O&M (Action Name = Operations and Maintenance) depends upon the remedial action objectives of a given remedy. For containment remedies, O&M starts (Actual Start Date) on the date the remedy is declared O&F, and it signifies the state or PRPs have assumed responsibility for all activities necessary to operate and/or maintain the long-term effectiveness or integrity of the actions selected in the ROD. Note that RA completion (the parent action to the O&F SubAction) may occur later than O&M start because the RA Report is generally submitted to the region for approval up to 90 days after the O&F determination.

For groundwater or surface water restoration remedies, which are subject to a 10-yearLTRA (either Fund-financed or PRP-financed through a Special Account), O&M (Action Name = Operation and Maintenance) starts (Actual Start Date) upon completion of LTRA.

Where appropriate, the completion of O&M is defined as the date (Actual Complete) the performance standards or conditions specified in the Superfund State Contract (SSC), Cooperative Agreement, or Consent Decree have been met with respect to O&M. If O&M must be conducted indefinitely, regions should not enter an actual completion date.


Special Planning/Reporting Requirements:Completion of O&M is an internal program measure. O&M is planned site-specifically (Action Name = Operation and Maintenance) in CERCLIS. Funds for oversight of O&M are contained in the pipeline operations Site Allowance and/or a site specific special account. If O&M is not required, regions should not enter the action into CERCLIS. Where O&M must be conducted indefinitely, regions should not enter a planned or actual completion date for the O&M action.

If the only O&M activities being conducted by the PRPs at the site are ground water or surface water restoration, including monitored natural attenuation, regions should use the 'PRP LR' Action instead of the 'Operations and Maintenance' Action. In this situation, regions should not enter both Actions.





Requirements

Action Name =Operations and Maintenance (OM)

RP, PS, MR, SA, SS, ST, SR, SN

Start:Letter documenting O&F completion; or Letter to the state confirming LTRA transfer

Complete:Documentation the performance standards in the SSC, cooperative agreement or consent decree have been met

Start:Signed by the designated regional official. Signed by the appropriate regional official (date should be 10 years after LTRA began).

Complete:Written approval by the designated regional official.

t. Cleanup Goals Achieved (NPL & Superfund Alternative)

Definition:This measure is used to indicate when cleanup goals are achieved for ground water and surface water restoration remedies, including monitored natural attenuation. It tracks achievement of cleanup goals for these remedies because they were not achieved at Remedial Action completion.

Definition of Accomplishment:Cleanup goals are achieved when valid monitoring data are obtained that clearly demonstrate restoration goals have been achieved (e.g., routine O&M report).

Changes in Definition:Minor edits made in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The revised guidance no longer distinguishes between Interim and Final RA Reports; therefore a Final RA Report is not needed to document achievement of restoration goals.

Special Planning/Reporting Requirements:Cleanup Goals Achieved is planned on a site-specific basis (Action Name = LTRA or PRP LR or Operations & Maintenance and SubAction Name = Cleanup Goals Achieved) in CERCLIS. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.





Date Requirements

Action Name = LTRA (LR) or PRP LR (ME) or O&M (OM)SubAction = Cleanup Goals Achieved (OQ)

F Report containing valid monitoring data that demonstrate cleanup goals achieved

Signed by the appropriate regional official.

u. Ground Water Monitoring (NPL & Superfund Alternative)

Definition:This measure addresses ground water monitoring at non-NPL, NPL, or Superfund Alternative sites that is specifically intended to ensure that assumptions that form the basis of a No Action ROD for ground water are correct. If the ROD specifies that ground water monitoring is the only activity that will be implemented, then it is a No action or No Further Action ROD. For this type of activity, regions should enter a ground water monitoring activity (Action Name = Grndwtr Monitor (Post-ROD)) into CERCLIS.

This measure is not intended to track routine ground water monitoring activities that occur during site characterization or to verify performance of a ground water remedy (e.g., extraction and treatment to restore an aquifer). Nor should this action be used to track monitoring activities associated with monitored natural attenuation or monitored natural recovery remedies.

Definition of Accomplishment:Credit is given for the start (Actual Start) of a Ground Water Monitoring (Post-ROD) activity (Action Name = Grndwtr Monitor (Post-ROD)) when:

- Fund-financed (Including F-, TR-, and S- lead actions) - Fund-financed ground water monitoring starts on the date of a memo to the file documenting the first sample was taken or a new well was installed.

- PRP-financed from a Special Account (Including Special Account Financed Action performed by EPA (SA-lead), the State (SS-lead), or Tribal Government (ST-lead) actions) - PRP-financed from a Special Account ground water monitoring starts on the date of a memo to the file documenting the first sample was taken or a new well was installed.

- PRP-financed under federal enforcement (Including MR- and RP- lead actions) - PRP-financed ground water monitoring under federal enforcement starts on the date of a memo to the file documenting the first sample was taken or a new well was installed.

- PRP-financed under state enforcement (PS-lead actions) - PRP-financed ground water monitoring under state enforcement starts when a state order or comparable state enforcement document is signed by the last state official.



The completion date (Actual Completion) of the Ground Water Monitoring (Post-ROD) Action (Action Name = Grndwtr Monitor (Post-ROD)), as defined below, is entered into CERCLIS to record the complete accomplishment.

- A Ground Water Monitoring (Post-ROD) completion under all leads is the date EPA determines, through a Final Close-Out Report (FCOR), Five-Year Review report, or memorandum signed by the appropriate regional official, that ground water monitoring is no longer necessary. A Remedial Action Report is not appropriate because this activity only occurs in situations where no remedial action is necessary.

Changes in Definition: None.

Special Planning and Reporting Requirements Ground water monitoring and oversight of ground water monitoring is covered under the pipeline operations Site Allowance. This is an internal program measure.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)


Requirements

Action name =Grndwtr Monitor (Post-ROD) (GM)

F, TR, S, SA, ST, SS MR, RP

StartMemo to file.

StartThe date of memo to file documenting first sample or new well. Memo to site file.

Action Name =Grndwtr Monitor (Post-ROD) (GM)

PSStartState order or comparable state enforcement document.

StartSigned by last state official.

Action name =Grndwtr Monitor (Post-ROD) (GM)

F, TR, S, MR, RP, PS

CompleteFinal Superfund Close-Out Report, Five Year Review report, or memorandum.

CompleteSigned by the Regional Administrator, with HQ concurrence; Not Specified; Signed by appropriate regional official.

v. NPL Site Completions

Definition:An NPL site must meet all of the following criteria to be eligible for site completion:



- All remedial decision documents have been completed and the selected remedy is consistent with EPA policy and guidance;

- All response actions have been completed and documented; and- All institutional controls are in place.- .

There is only one NPL Site Completion per NPL site, and the site must be final on the NPL. For more detailed information, see Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Definition of Accomplishment:A NPL Site Completion occurs when the Final Close-out Report (FCOR) has been signed by the Regional Administrator and concurred with by HQ. The region must enter the completion date (Actual Complete) of the Final Close-Out Report (Action Name = Close-Out Report) into CERCLIS. EPA is responsible for documenting site completion; therefore all FCOR actions are given a Fund-financed lead code.


Special Planning/Reporting Requirements:Regions may receive credit under this measure and the NPL Site Construction Completion measure as a result of the same Final Closeout Report. This is an internalprogram measure.


SPIM Action/Activity SPIM Lead



Action name = Close-Out Report (CQ) F Final Close-out Report

(FCOR). Signed by the Regional Administrator with HQ concurrence.

w. Five Year Reviews

Definition:A Five Year Review is a review of remedial action(s) selected under CERCLA 121(c)that leaves waste in place above levels that allow for unlimited use and unrestrictedexposure. The purpose of the Five Year Review is to determine whether the remedy at a site is/remains protective of human health and the environment and to evaluate the implementation and performance of the selected remedy. Where remedial actions are stillunder construction, a Five Year Review determines whether immediate threats have been



addressed and whether EPA continues to expect the remedy to be protective when all remedial actions are complete. EPA conducts statutory reviews of any site at which apost-Superfund Amendments and Reauthorization Act of 1986 (SARA) remedy, upon attainment of cleanup levels specified in the ROD, will not allow for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites where remedial actions will attain cleanup levels that, upon completion, will allow for unlimited use and unrestricted exposure but will take longer than five years to complete, at sites with pre-SARA remedies at which the cleanup levels do not allow for unlimited use and unrestrictedexposure, and at NPL removal only sites where cleanup levels do not allow unlimited use and unrestricted exposure. EPA may also conduct Five Year Reviews at their discretion for other sites. Five Year Reviews should not be entered for Formerly Used Defense Sites (FUDS) and non-NPL Federal Facilities because they are not conducted under the purview of EPA’s oversight. Additional information on requirements and procedures for conducting Five Year Reviews can be found in the Comprehensive Five-Year Review Guidance (OSWER 9355.7-03B-P, June 2001).


Five Year Review Starts:- Fund-financed (Including F-, TR-, S- or EP-lead actions) - EPA or the state

begins any of the tasks discussed in the 2001 Five Year Review Guidance. This action may be documented by a memo to the file or EPA approval of a work planfor the Five Year Review. Note: EP-lead Five Year Reviews should have no associated funding.

- PRP-financed (Including RP- or PS-lead actions) - EPA approves the Five Year Review work plan submitted by the PRPs under the terms of an enforcement instrument. These lead codes indicate who finances and may perform some of the work. The Five Year Review is still required to be approved and signed by EPA.

- PRP-financed from a Special Account (Special Account Financed Action performed by EPA (SA lead) - A PRP-financed Five Year Review from a Special Account is started when EPA approves the Five Year Review work plan.

The actual start date (Actual Start) for the Five Year Review (Action Name = Five Year Review) is not required to be entered into CERCLIS.

Five Year Review Completions:

Planned Completion Date: The Five Year Review planned completion date and the Report Due (SubAction Name =FYR Report Due) date are system generated based on Five Year Review type entered at the time of ROD completion or when the Five Year Review action is entered through the project schedule. The triggers for the first Five Year Review at a site are described below for each type of review. For private sites, CERCLIS generates a planned completion date for subsequent FYRs (i.e., second, third and beyond) that is five years from the actual completion date of the previous review (see Chapter VIII, titled Federal Facility Program, for additional information on triggers for FYRs at Federal Facility sites).



Statutory Reviews:The Five Year Review and FYR Report Due planned completion date fields are typically populated five years from the earliest RA On-Site Construction Start SubAction planned completion date among the OUs included in the FYR action. RA On-Site Construction Start SubAction is the standard trigger for a statutory FYR. For remedies where On-SiteConstruction Start may not occur, a non-standard triggering date will need to be entered in its place. This date will typically be the first monitoring event following ROD signature or the ROD signature itself.

Both the Five Year Review planned completion date and the FYR Report Due planned completion date will be updated by the system based on the changes to the planned or actual completion dates for the triggering RA On-Site Construction Start SubAction (or, if applicable, the non-standard trigger action). The Five Year Review planned completion date will be editable. The FYR Report Due planned completion date will be grayed out and uneditable and will be locked once the actual completion date for the RA On-Site Construction Start SubAction (or, if applicable, the non-standard trigger action) is entered.

Policy Reviews:The Five Year Review and FYR Report Due planned completion dates are populated for five years after the PCOR or FCOR planned completion date. Both the Five Year Review planned completion date and the FYR Report Due planned completion date will be updated by the system based on changes to the planned or actual completion dates for the triggering PCOR or FCOR. The Five Year Review planned completion date will be editable. The FYR Report Due planned completion date will be grayed out and uneditable and will be locked once the actual completion date of the PCOR or FCOR is entered.

Discretionary Reviews:The Five Year Review planned completion date is based on the date set by the user at the time of entry of Five Year Review type.

No Review: No Five Year Review action will be generated.

Actual Completion Date: The Five Year Review is complete on the date the designated regional official signs the Five Year Review report, approving the content of the report (including the protectiveness determination). The actual completion date (Actual Complete) for the Five Year Review (Action Name = Five Year Review) must be entered into CERCLIS.

Five Year Review Addendum Completion SubAction

Planned Completion Date: A Five Year Review Addendum (SubAction name = FYR Addendum) planned completion date is system generated based on the date entered into the Five Year Review Protectiveness determination tab in the "Planned Date of Addendum" text box for sites



that have a "Protectiveness Deferred" OU-specific or sitewide determination. The FYR Addendum Planned Completion date will be editable.

Actual Completion Date: A Five Year Review Addendum is complete on the date the designated regional official signs the Five Year Review addendum stating a new protectiveness determination of all remedies that have deferred protectiveness determinations in the parent FYR report. The actual completion date (Actual Complete) for the Five Year Review Addendum SubAction must be entered into CERCLIS.


Special Planning/Reporting Requirements:The following information is captured in the CERCLIS Five Year Review module:

- A Five Year Review addendum SubAction for completed reviews with protectiveness deferred statements;

- The ability to update a trigger on a planned Five Year Review; - The ability to modify the Five Year Review type on a planned review only if

changing from a discretionary review to a policy or statutory review or changing from a policy review to a statutory review;

- The ability to associate issues/recommendations with the correct OU and response actions;

- The ability to enter/track more than one Five Year Review with multiple OUs for each site;

- A Missing Data Tab available on the FYR screen informs the user of all missing information and includes the OU that it affects; and

- The ability to update milestone dates and track the current status of implementation for Five Year Review Issues and Recommendations.

In order to receive credit for a Five Year Review completion the region must enter the following data into CERCLIS through the SCAP screens:

- applicable OUs- associated issue for each OU (if there is no issue, enter the relevant OU(s) with

the "No Issue" category) - recommendations or follow-up actions (a party responsible, oversight agency, and

milestone date must be identified for each recommendation or follow-up action) - protectiveness determination for each remedy/OU (if a determination is deferred,

enter a date for when a protectiveness determination will be made) - protectiveness statement as it appears in the Five Year Review



If the Construction Completion flag has been checked for the site, the user must enter the following information:

- site protectiveness determination - site-wide protectiveness statement as it appears in the Five Year Review

In order to receive credit for the FYR addendum SubAction completion, the user must enter the following information:

- The new protectiveness determination for those OUs that were deferred; - Protectiveness statement as it appears in the parent Five Year Review; and - If new issues/recommendations are referenced in the Five Year Review

Addendum, enter them into the Five Year Review screens through the FYR parent action for the addendum SubAction.

All Sites must have the following information:

- If future Five Year Reviews are not necessary at the site, indicate that this is the final Five Year Review at the site by selecting the “no” radio button under the heading asking whether future FYRs are necessary. If future FYRs are necessary, select the “yes” radio button and a future Five year Review action will be generated on the project schedule.

Five Year Review completes must be planned and reported site-specifically (Action Name = Five Year Review) in CERCLIS. Funds are allocated in the Remedial Action Site Allowance. This is an internal program target and measure.

Data Entry Timeliness Requirement:Data regarding Five Year Reviews should be entered within five working days, but no later than 10 working days.


Action name = Five Year Review F, TR, S, EP

Start: Memo; or Work plan

Complete: Five Year Review report

Date of memo to file documenting tasks; EPA approval

Signed by regional official.

Action name = Five Year Review

MR, RP, PS, SA

Start: Five Year Review work plan

Complete: Five Year Review report

EPA approval

Signed by regional official.



x. Sitewide Ready for Anticipated Use (NPL & Superfund Alternative)

Definition:The Sitewide Ready for Anticipated Use (SWRAU) measure reports sites documented as ready for reuse where, for the entire construction complete final or deleted NPL site or PRP-lead Superfund Alternative site:

- All cleanup goals in the Record(s) of Decision or other remedy decision document(s) have been achieved for media that may affect current and reasonably anticipated future land uses of the site, so that there are no unacceptable risks; and

- All institutional or other controls required in the Record(s) of Decision or other remedy decision document(s) have been put in place.

In addition, construction complete PRP-lead Superfund Alternative sites can now be designated as SWRAU once they meet the above criteria. Superfund Alternative sites donot count toward meeting annual SWRAU targets.

For more information about this measure, please refer to Guidance for Documenting and Reporting the Superfund Sitewide Ready-for-Reuse Performance Measure (OSWER 9365.0-36) and Guidance for Documenting and Reporting Performance in Achieving Land Revitalization (OSWER 9200.1-74).

Definition of AccomplishmentA site meets SWRAU when a hard copy checklist has been completed, signed by a regional approving official, submitted to HQ, the entire site meets the criteria establishedin the guidance, and HQ has approved the action in CERCLIS. All acres that are part of the Superfund site universe must be documented as SWRAU within CERCLIS prior to the region's submission of a property reuse evaluation checklist. The SWRAU date entered into CERCLIS should be the signature date on the Checklist of the regional reviewing official.

This measure is based on current site conditions. Therefore, instances do occasionally occur when a site which is already SWRAU no longer meet the criteria. In these instances, the regions are required to complete a SWRAU retraction form, have it signed by a regional approving official, submit it to HQ, and enter the retraction date into CERCLIS. HQ will then approve this action in CERCLIS.

Change in Definition:None.

Special Planning/Reporting Requirements:This is a key program target and measure; the program reports accomplishments to external parties. The SWRAU designation is for construction complete Superfund final and deleted NPL sites and PRP-lead sites with Superfund Alternative Agreements only. Regions will submit completed Checklists for the SWRAU designation to HQ for approval before the reported site may be designated as SWRAU. Only construction



complete final and deleted NPL sites may be counted to meet the annual net Government Performance and Results Act (GPRA) target for the SWRAU measure.

The SWRAU completion date that is entered into CERCLIS should be the exact date that the regional approving official signs the hard-copy SWRAU Checklist form. Thedetermination that a site is SWRAU is based on the information available at the time the determination is made. That determination may revert if site conditions change, or if new or additional information is discovered regarding the contamination at the site. If the SWRAU determination does revert, a retraction form should be sent to HQ. These forms can be obtained from HQ. The site can be re-designated as SWRAU only when the requirements are once again met. If, at the time of determination or at any other time, EPA becomes aware of other environmental problems that pose unacceptable risk relevant to site use or reuse, including risks addressed under other cleanup or public health authorities, the site should not be reported as SWRAU. Sites with Superfund Alternative Agreements that no longer meet the SWRAU designation will not be counted against SWRAU annual net GPRA targets.

A site’s CPRM data will only be counted in Superfund totals if the site has the Special Initiative flag of “CPRM Universe” associated to it at the site level. This flag places the site in the Superfund universe, therefore ensuring that its CPRM data are being captured.

Data Entry Timeliness RequirementsIt is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

SPIM Action/Activity Action Lead Documentation Required Documentation Approval/Date

Requirements

Action Name = PFP/RAU Evaluation Checklist (XC) EP Property Reuse Evaluation Signed by regional division

director or designee.

y. Partial NPL Deletion

Definition:EPA will consider partial deletion for portions of sites when no further response is appropriate for that portion of the site. Such portion may be a defined geographic unit of the site, perhaps as small as a residential unit, or may be a specific medium at the site (e.g., ground water), depending on the nature or extent of the release(s). The criteria for partial deletion are the same as for final deletion. EPA must consider, in consultation with the state, whether the following criteria have been met for that portion of the site:

- Responsible or other parties have implemented all appropriate response actions required;



- All appropriate Fund-financed response under CERCLA has been implemented, and no further cleanup by responsible parties is appropriate; or

- The remedial investigation has shown that the release poses no significant threat to public health, or the environment and, therefore, no remedial measures are necessary.

Definition of Accomplishment:The partial NPL deletion process begins when a Notice of Intent to Partially Delete (Action Name = Notice of Intent to Partially Delete) is published in the Federal Registerfor the specified portion of a site on the NPL. Notice of Intent to Partially Delete is completed (Actual Complete) the day the Federal Register is published. If the Direct Final Process for Partial Deletions is used, the process begins when the Direct Final Action Notice is published in the Federal Register (Action Name = Notice of Intent to Partially Delete).

The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete (Actual Complete) when the Notice of Partial Deletion is published in the Federal Register for the specified portion of a site on the NPL. If the Direct Final Process for Partial Deletions is used and the comment period has ended with no adverse comments, the actual completion (Actual Complete) is the effective date of deletion specified in the Direct Final Action Notice.

Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or the Partial NPL Deletion actions. HQ will enter the Actual Complete dates for the Partial NPL Deletion Action and the Notice of Intent to Partially Delete Action into CERCLISupon publication of the notices in the Federal Register.

For more detailed information, see Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).


Special Planning/Reporting Requirements:Partial NPL deletions are tracked separately from final NPL deletions. Partial site NPL deletions will be entered by HQ if a portion or portions of the release remain listed on the NPL following completion of the partial deletion. Partial deletions will only be coded at specific OUs) when a single OU is subject to the partial deletion and the particular OU is specified in the Notice of Intent to Partially Delete in the Federal Register.

Partial deletion actions that address multiple OUs or areas that do not directly correspond to a specific OU will be coded at OU00 (sitewide).

A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion activity addresses the remaining release listed on the NPL (either as a one-time deletion activity for the entire site as originally listed, or as the last deletion activity associated with a site subject to previous partial deletions). This is an internal program measure.



Data Entry Timeliness Requirement:Data regarding Partial Deletions should be entered within five working days, but no later than 10 working days.


Date Requirements

Action name = Notice of Intent to Partially Delete (TV) Completion F Notice of Intent to Partially Delete

or Direct Final Action Notice. Published in the Federal Register.

Action name = Partial NPL Deletion (GR) Completion F Notice of Partial Deletion or Direct

Final Action Notice. Published in the Federal Register.

z. Final NPL Deletion

Definition:With state concurrence, EPA may delete sites from the NPL when it determines that no further response is appropriate under CERCLA. In making that determination, EPA considers:

- Responsible or other parties have implemented all appropriate response actions required;

- All appropriate Fund-financed response under CERCLA has been implemented, and no further cleanup by responsible parties is appropriate; or

- The remedial investigation has shown that the release poses no significant threat to public health or the environment and, therefore, no remedial measures are necessary.

Definition of Accomplishment:The deletion process for the entire site begins when a Notice of Intent to Delete (Action Name = Notice of Intent to Delete) is published in the Federal Register. If the Direct Final Process for Deletions is used, the process begins when the Direct Final Action Notice is published in the Federal Register (Action Name = Notice of Intent to Delete).

The deletion process for the entire site (Action Name = Deletion from the NPL) is complete (Actual Complete) when the Notice of Deletion is published in the Federal Register. If the Direct Final Process for Deletions is used and the comment period has ended with no adverse comments, the actual completion (Actual Complete) is the effective date of deletion specified in the Direct Final Action Notice.

Start dates are not required for either the Notice of Intent to Delete (NOID) or the Deletion from the NPL actions. The completion of the NOID action signifies the start of the deletion action.

HQ will enter the Actual Complete dates for the Deletion from the NPL Action and the Notice of Intent to Delete Action into CERCLIS upon publication of the notices in the Federal Register. For more detailed information, see Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).




Special Planning/Reporting Requirements:The Action, Final Deletion from the NPL, will be used whether deletion is accomplished through the Notice of Deletion or the Direct Final Action Notice. When the Notice of Deletion is published or the date of deletion is effective, HQ will change the NPL Status in CERCLIS to "Deleted from Final NPL." This is an internal program target and measure.

Data Entry Timeliness Requirement:Data regarding NPL Deletions should be entered within five working days, but no later than 10 working days.


Date Requirements

Action name = Notice of Intent to Delete (TU) Completion F Notice of Intent to Delete or Direct

Final Action Notice. Published in the Federal Register.

Action name = Deletion from the NPL (ND) Completion F Notice of Deletion or Direct Final

Action Notice. Published in the Federal Register.

PPAARRTT IIVV.. CCRROOSSSS PPRROOGGRRAAMM RREEVVIITTAALLIIZZAATTIIOONN MMEEAASSUURREESS ((CCPPRRMM))

The CPRM indicators and performance measures establish a similar, consistent set of measures that can be applied across all OSWER cleanup programs. OSRTI and Federal Facilities Restoration and Reuse Office (FFRRO) implemented the following three indicators and two performance measures established in the March 2007 CPRM Guidance. The two performance measures are: Protective for People Under Current Conditions (PFP) and Ready for Anticipated Use (RAU). The three indicators are: Universe indicator (required to meet the performance measures), Status of Use (optional), and Type of Use (optional). The CPRM indicators and performance measures are pulled quarterly.

Specific guidelines for the indicators and performance measures are provided below. For additional information, visit:http://www.epa.gov/superfund/programs/recycle/pdf/cprm_guidance.pdf.

aa. Protective for People Under Current Conditions (PFP)

Definition:This measure is based on the Human Exposure Under Control Environmental Indicator and reports sites and land area (as measured in acres) that are protective for people under current conditions.

The PFP performance measure reports the number of sites and acres at which there is no complete pathway for human exposures to unacceptable levels of contamination, based



on current site conditions. Reporting on a particular site for this measure should be based on an understanding of current conditions, presence and toxicity of contamination, routes of contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g., dermal, inhalation, ingestion).

Achieving the PFP measure means, at a minimum, that all identified human exposure pathways from contamination at the site are under control or possible exposures are below health-based levels for current land use conditions. "Under control" means that adequately protective controls are in place to prevent any unacceptable human exposure under current land use conditions. Achieving the PFP measure does not involve consideration of future use conditions or ecological receptors. The PFP measure can be achieved through temporary solutions based on current conditions and associated exposures at a given point in time, and does not necessarily require that all cleanup goals be met at a site or OU.

For the purposes of this measure, the entire site or individual OUs at a site can be counted so long as the criteria are met for those areas.

For the purposes of this measure, a site or OU will achieve the PFP performance measure when it can be determined that the entire area comprising the site or OU meets any one of the three possible designations for the current Human Exposures Under Control Environmental Indicator. The three designations in the existing Site-Wide Human Exposure Environmental Indicator that ensure acres meet PFP include:

- Current Human Exposures Under Control; - Current Human Exposures Under Control and Protective Remedy or Remedies in

Place; or - Current Human Exposures Under Control and Long-Term Human Health

Protection Achieved.

Note that an OU or entire site may meet PFP if the ground water is contaminated yet no human exposure pathways exist, and the soil above the plume has been investigated to ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may have several OUs with different designations, some of which have met PFP criteria, some of which have also met RAU criteria, and some of which do not meet either performance measure (i.e., are not protective).

The total number of sites with one or more OUs meeting the PFP measure will be determined from information recorded in CERCLIS and routinely reported for management and communication purposes.

Definition of Accomplishment:Acres can be claimed as Protective for People Under Current Conditions when all identified human exposure pathways from contamination at the site or individual OUs/parcels are under control or possible exposures are below health-based levels for current land use conditions.



The Protective for People designation is achieved when EPA completes (Actual Completion Date) and saves the data on the PFP/RAU Checklist form, or a user revises a completed form (Action Name = PRP/RAU Evaluation Checklist).


Special Planning/Reporting Requirements:In 2007, a Land Reuse module was added to CERCLIS to track these measures. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.


SPIM Action/Activity Action Lead



Action Name = PFP/RAU Evaluation Checklist (XC) EP Checklist Form Signed by regional division director

or designee.

bb. Ready for Anticipated Use (RAU)

Definition:The RAU performance measure captures the acreage within sites or OUs that are PFP and meet the following two additional criteria:

- All cleanup goals have been achieved for media that may affect current and reasonably anticipated future land uses (or decision documents confirm uncontaminated acres) for the site or OU such that there is no unacceptable risk, and

- All institutional or other controls identified as part of the response action to help ensure long-term protection have been put in place.

The definition of this measure as it applies to an entire site is consistent with the Sitewide RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure will also count toward the RAU measure. In addition, the RAU measure described here may also include individual OUs and a broader universe of sites (i.e., Superfund Alternative (SA), non-time critical removal action (NTCRA), certain non-NPL Federal Facilities, FUDS, etc.) than those included in the Sitewide RAU measure.

The determination that an OU achieves the RAU measure can occur at any particular point in time and the OUs reported status should be revised if the site's conditions change or if new or additional information is discovered regarding the contamination or



conditions at the site (e.g., contaminant occurrence, migration, toxicity levels for specific contaminants, and exposures). If at the time of the determination, or at any other time, EPA becomes aware of other environmental problems that pose unacceptable risk relevant to the site or reuse, including risks addressed under other cleanup or public health authorities, the site should not be reported under the RAU measure. Documentation that OUs achieve the RAU measure should be changed accordingly if, or when, information becomes available that would bring into question whether the OUscontinue to meet the RAU definition. Those specific acres associated with the OU in question should only be re-recorded as meeting the RAU measure if and when acres once again meet the RAU definition.

The total number of sites with one or more OUs meeting the RAU measure will be determined from information recorded in CERCLIS and routinely reported for management and communication purposes.

For more information about this measure, please refer to the Guidance for Documenting and Reporting Performance in Achieving Land Revitalization (OSWER 9200.1-74).

Definition of Accomplishment:The RAU performance measure captures the acreage within sites or OUs that are PFP and meet the following two additional criteria: 1) all cleanup goals have been achieved for media that may affect current and reasonably anticipated future land uses (or decision documents confirm uncontaminated acres) for the site or OU such that there is no unacceptable risk, and 2) all institutional or other controls identified as part of the response action to help ensure long-term protection have been put in place.

The Total RAU designation at a site or OU is achieved when EPA completes (Actual Completion Date) and saves the data on the PFP/RAU Checklist form, or the date a user revises a completed form (Action Name = PRP/RAU Checklist).


Special Planning/Reporting Requirements:This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.




SPIM Action/Activity Action Lead



Action Name = PFP/RAU Evaluation Checklist (XC) EP Checklist Form Signed by regional division director

or designee.

cc. Cross-Program Revitalization Measures (CPRM) Indicators

Universe Indicator (Mandatory): Seeks to count the total number of acres and sites that have been investigated at all sites since program inception. In order to be included in the Universe Indicator, the site should be eligible for investigation under CERCLA, or as the result of EPA's involvement at Base Realignment and Closure (BRAC) facilities. For sites that are proposed for, listed on, or deleted from the NPL, or for Superfund Alternative sites, acres included in the Universe Indicator should be investigated in a manner consistent with the Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA. Similarly, NTCRA sites should be investigated in a manner consistent with Guidance on Conducting Non-Time-Critical Removal Actions Under CERCLA. Both remedial and NTCRA sites and acres where initial investigations indicate that no unacceptable risks exist, and therefore no further action is required, should be included in the Universe Indicator.

The Universe includes those non-NPL Federal Facilities (such as BRAC or formerly Used Sites Remediation Action Program (FUSRAP) sites) and FUDS where EPA has signed/concurred on a response action (at a minimum, completed a Remedial Investigation/Feasibility Study (RI/FS), removal action, or other major cleanup decision document) or a property transfer.

The Universe Indicator and performance measures apply to the following contaminated or potentially contaminated media - land, wetlands, surface water, and/or sediments -provided that media is subject to Superfund and Federal Facilities remedial investigation, oversight, and/or response action. However, the acres captured under the Universe Indicator do not include land areas overlying a ground water plume where those land areas are not intended to be assessed consistent with applicable EPA guidance. For example, if a plume extends under a land area and EPA has no intention of investigating these acres of land for contamination unrelated to the plume, then those land acres would not be included in the acreage reported by the Universe measure. By extension, a site with only ground water contamination would not be captured by the Universe Indicator. Note that there may also be exceptions in which sites with areas of surface water, sediments, and/or tidal basins will not automatically be included due to site-specific circumstances. These types of sites will be dealt with on a case-by-case basis.

Status of Use Indicator (Optional): Refers to how the acres of the sites and OUsincluded in the Universe Indicator are being used at the point in time when the determination is made for the PFP and RAU performance measures. The Status of Use Indicator has the following sub-indicators:



Continued Use: Refers to areas that are being used in the same general manner as they were when the site became subject to the Superfund or Federal Facilities Programs.

Reused: Refers to a site or OU where a new use, or uses, are occurring such that there has been a change in the type of use (e.g., industrial to commercial), or the property was unused and now supports a specific use. This means that the developed site or OU is actually used for its intended purpose by customers, visitors, employees, residents, or fauna, in the case of ecological reuse.

Planned Reuse: Includes sites or OUs where a plan for a reuse is in place, but reuse has not yet begun. This could include conceptual plans, a contract with a developer, secured financing, approval by the local government, or the initiation of site redevelopment.

Unused: Includes sites or OUs not being used in any identifiable manner. This could be, for example, because site investigation and cleanup are ongoing, operations have ceased, the owner is in bankruptcy, or cleanup is complete, but the site remains vacant.

Undetermined: Acres at a site or OU that cannot be currently identified as one of the four Statuses of Use.

The Status of Use Indicator is independent of the status of response action because it recognizes that sites or OUs could be in various stages of use at various stages of cleanup and because use and reuse can change.

Type of Use Indicator (Optional): The Type of Use Indicator describes how acres at sites or OUs included in the Universe Indicator are used at the point in time when the PFP or RAU determination is made. Information on the type of use at a site or OU should be classified under one of the following 10 primary categories:

Commercial Use: Refers to use for retail shops, grocery stores, offices, restaurants, and other businesses.

Public Service Use: Refers to use by a local or state government agency or a non-profit group to serve citizens’ needs. This can include transportation services such as rail lines and bus depots, libraries and schools, government offices, public infrastructure such as roads, bridges, utilities, or other services for the general public.

Agricultural Use: Refers to use for agricultural purposes, such as farmland for growing crops and pasture for livestock. Agricultural use also can encompass other activities, such as orchards, agricultural research and development, and irrigating existing farmland.

Recreational Use: Refers to use for recreational activities, such as sports facilities, golf courses, ball fields, open space for hiking/picnicking, and other opportunities for indoor or outdoor leisure activities.

Ecological Use: Refers to areas where proactive measures, including a conservation easement, have been implemented to create, restore, protect, or enhance a habitat for



terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries, nature preserves, meadows, and wetlands.

Industrial Use: Refers to traditional light and heavy industrial uses, such as processing and manufacturing products from raw materials, as well as fabrication, assembly, treatment, and packaging of finished products. Examples of industrial uses include factories, power plants, warehouses, waste disposal sites, landfill operations, and salvage yards.

Military Use: Refers to use for training, operations, research and development, weapons testing, range activities, logistical support, and/or provision of services to support military or national security purposes.

Other Federal Use: Refers to use to support the federal government in federal agency operations, training, research, and/or provision of services for purposes other than national security or military.

Mixed Use: Refers to areas at which uses cannot be differentiated on the basis of acres. For example, a condominium with retail shops on the ground floor and residential use on the upper floors would fall into this category. When selecting Mixed Use, the individual types of uses should be identified, if possible.

Residential Use: Refers to use for residential purposes, including single-family homes, town homes, apartment complexes and condominiums, and child/elder care facilities.

Undetermined: Refers to acres at a site or OU that cannot be identified as one of the six Types of Use.


PPAARRTT VV.. EENNVVIIRROONNMMEENNTTAALL IINNDDIICCAATTOORRSS

dd. Human Exposure Under ControlThe Human Exposure Under Control Environmental Indicator documents the progress achieved towards providing long-term human health protection by measuring the incremental progress achieved in controlling unacceptable human exposures at a site. The indicator applies to proposed, final, and deleted NPL sites and SAA settlement sites, but only final and deleted NPL sites count toward annual GPRA targets. . In general, sites may be brought Under Control by the following methods:

- Reducing the level of contamination. For purposes of this policy, "contamination" generally refers to media containing contaminants in concentrations above



appropriate protective risk-based levels associated with complete exposure pathways to the point where the exposure is no longer "unacceptable;" and/or

- Preventing human receptors from contacting contaminants in-place; and/or - Controlling human receptor activity patterns (e.g., by reducing the potential

frequency or duration of exposure).

Five categories have been created to describe the level of human health protection achieved at a site:

- Insufficient data to determine human exposure control status; - Current human exposures not under control; - Current human exposures under control; - Current human exposures under control and protective remedy or remedies in

place; and - Current human exposures under control, and long-term human health protection

achieved.

The criteria for determining the Site-Wide Human Exposure status at a site are found in the Environmental Indicators Guidance Manual, the Long-Term Human Health Protection Data Quality Objectives document, and on the Superfund Environmental Indicators Website.

The indicator name has changed from Long-Term Human Health Protection indicator to Site-Wide Human Exposure Environmental Indicator. As of FY 2008, the Site-Wide Human Exposure Indicator is required for NPL Proposed and Superfund Alternative sites in addition to Final and Deleted NPL sites, though only Final and Deleted NPL sites will count toward annual program targets.

The Human Exposure (HE) evaluation reflects current, site-wide conditions. For sites that have been categorized as current human exposures under control and long-term human health protection achieved, it also reflects reasonably anticipated future, site-wide conditions. As data collection and analysis or response actions occur or environmental conditions change, it is expected that regions will update HE evaluations and update CERCLIS to reflect changes in status. This should generally occur within 10 days of a known change. It is expected that regions will review the status of all HE evaluations at a minimum annually and confirm that each site has an updated and accurate HE evaluation.If there is no change in the status of the site, update the "Last Review Date" in CERCLIS on the HE tab in the Environmental Indicators module within 10 days of the review.

Entering Human Exposure Data on the Exposure Pathway Description Tab of the HE CERCLIS ModuleEPA has committed to providing current human exposure evaluations to the public via its Superfund Site Profiles available on the internet. As part of this effort, the Agency will provide descriptions of situations where a site is categorized as "Insufficient Data" or "Not Under Control." This information will be derived from CERCLIS. Consequently, it is critical that regions maintain the quality of the Exposure Pathway Descriptions in CERCLIS.



When making a Human Exposure Not Under Control or Insufficient Data evaluation in CERCLIS, regions must record exposure descriptions on the Exposure Pathway Description tab in order to save the evaluation as draft. The purpose of this approach is to provide the public with a succinct and clear description of why a site is so listed, along with information about the steps EPA plans to take to address the exposures. Upon OSRTI review and approval of the text, the human exposure evaluation will be saved in CERCLIS as final.

To help standardize the descriptions entered into CERCLIS, and to assure that similar exposure scenarios are described consistently across regions, the templates below should be used when populating the Exposure Pathway Description tab. The information entered on this tab will appear on the publicly available Superfund Site Progress Profiles Webpage, so it should be accurate, updated when necessary, and contain the information outlined below.

Current Human Exposure Not Under ControlThe (insert site name) Superfund site is considered "Current Human Exposure Not Under Control" because (insert a detailed description of the current completed human exposure pathway(s) not under control; include the contaminants of concern and media).

The planned activities to address this pathway are (_____).

(As appropriate, add: In addition, EPA (or state, or PRP or federal agency as appropriate) is currently (insert summary descriptions of actions underway to address human exposures. (Include any temporary controls that have been put in place to address this exposure scenario e.g., fish advisory, fencing, signs))

Example Justification:The Site X Superfund site is considered "Current Human Exposure Not Under Control" because residents and recreational users of the creek can be exposed through direct contact to arsenic and lead contaminated soils and sediments.

The planned activities to address this pathway are continuation of ongoing removal of arsenic and lead contaminated soils.

EPA has already begun cleaning up the contaminated soil. Removal actions started in April 2007. Temporary fences to prevent access to the site were installed in May 2007. Warning signs identifying the area as a Superfund site were posted in June 2007.

Insufficient Data to Determine Human Exposure Control StatusThere is insufficient information to determine the site-wide Human Exposure Control status at (insert site name) Superfund Site. (Provide general context for why there areinsufficient data at the site.) An example:

(Insert site name) was (proposed/finalized) for the NPL on MM/DD/YY, and there has been no evaluation of the human health exposure indication yet. This does not necessarily mean that unacceptable exposures are occurring.)



The planned activities to collect sufficient information to make a human exposure evaluation are (_____).

(As appropriate add the following: In addition, EPA (or state, or PRP or federal agency as appropriate) is currently (insert descriptions of actions underway to address human exposures. (Include any temporary controls that have been put in place to address this exposure scenario e.g., fish advisory, fencing, signs))

Example Justification:There is not sufficient information available to determine the site-wide Human Exposure Control status at X Superfund Site because of a newly identified potential exposure pathway and/or contaminant(s) (insert a detailed description of the human exposure pathway of concern, include the contaminants of concern and media).

The activities planned to make the HE evaluation include (___) (list whatever activity is necessary to make the evaluation: e.g., data needed, conduct sampling, monitor basements for vapor intrusion, complete risk assessment, and conduct well surveys).

(As appropriate, add the following: In addition, EPA (or state, or PRP or federal agency as appropriate) is currently (insert summary of actions underway to address human exposures. (Include any temporary controls that have been put in place to address this exposure scenario e.g., fish advisory, fencing, signs))

Special Planning/Reporting Requirements: The status of each site in the Human Exposure universe must be reviewed at least annually, regardless of whether the site should change HE categories. The exposure justification paragraphs for NUC and ID sites must be reviewed and updated to reflect current site progress at least annually, or whenever conditions change. If there is a known change in the HE status of a site, CERCLIS should be updated within 10 days (Program Management/Environmental Indicators), and should be reviewed and approved by the regional division director or his/her designee. This is a key program target and measure; the program reports accomplishments to external parties and makes available to the public real-time changes to the exposure justification paragraphs.1

SPIM Action/Activity Documentation Required Documentation Approval/Date Requirements

Human Exposure Evaluation Flowchart

Checklist Form in CERCLIS Human Exposure Environmental Indicator Module

Approved by regional division director or designee.

1 For detailed information regarding HE determinations, see Chapter 4 of the Superfund Environmental Indicators Guidance: Human Exposure Revisions, March 2008.http://www.epa.gov/superfund/accomp/ei/pdfs/final_ei_guidance_march_2008.pdf



EXHIBIT VII.2. HUMAN EXPOSURE EVALUATION FLOWCHART

No

..

I. Is there sufficient known and rel iable in fonnation to No Insufficient Data to make an evaluat ion on human exposure at this site? .. Determine Human . Exposure Control Status

Response: (HEl D}

Yes 11

2. Have al l long-term human exposure-related cleanup Current Human

Yes Exposures Under Control goals been met for the entire site? and Long-Tenn Human

Response: Health Protection Achieved (HHPA)

No

11

3. Are there complete human exposure pathways Resulting Current Human Expos between contaminated ground water, soil, surface

water, sediment or air media and human receptors Evaluation: such that exposure can be reasonably expected under current conditions?

Response:

Yes

1,

4. Are the actual or reasonable expected human exposures associated w ith the complete pathways No Current Human identified in Step 3 within acceptable limits under current conditions? - Exposures Not Under

Control ( HENC)

Response:

Yes Current Human ... Exposures Under Control If one or (HEUC)

I more criteria from

5. Is the site Construction Complete, is the remedy Step 5 arc operat ing as intended, and are engineering and not met institutional controls ( if required), in place and effective?

I f all Current Human

Response: criteria Exposures Under Control

from Step 5 and Protective Remedies are met in Place ( HEPR)

6. Are there continuing exposures at the site? Answer " Yes" only if EPA (or a state or PRP) has exhausted all response actions and legal authorities to prevent unacceptable human exposures, yet exposures continue due to a refusal by the property owner(s) to pa11icipate in the remedy (e.g., re fusa l to accept a municipal water supply hookup) AND the region wishes to exercise its discretion to c lassify this site as Human Exposure U nder Control, consistent with the requirements laid out in the Superfund Environmental Indicators Guidance (OSWER 9285.02, March 2008, pages 4-10 and 4-1 1).

Response: ______ _

ure



Data Entry Timeliness Requirement:As data collection and analysis or response actions occur or environmental conditions change, it is expected that the region will review the status of all HE evaluations and update CERCLIS to reflect the change in status. This should generally occur within 10days. It is expected that regions will review the status of all HE evaluations at a minimum annually, and confirm that each site has an updated and accurate HE evaluation. HE evaluations should be made (and entered) or reviewed at all Proposed, Final, and Deleted NPL sites and Superfund Alternative sites prior to the end of the fiscal year, September 30. In cases where this is not possible the region should contact the data sponsor for these measures. HE changes entered during the first seven working days of the new fiscal year will be counted as accomplishments for the prior fiscal year. This practice may differ from that required for other measures; special notice should be taken. Site condition changes may be documented in RODs, ROD Amendments, Removal Action Memoranda, Pollution Reports, Close Out Reports, and Five Year Reviews.

Accuracy Requirement:The Site-Wide Human Exposure Environmental Indicator is designed to allow RPMs to make first-hand determinations based on their knowledge of current conditions at a site as well as actions undertaken at a site. Complete certainty regarding the above factors is not a necessary condition to make a Site-Wide Human Exposure evaluation at a site. In characterizing a site as "current human exposures not under control", a region is making a determination that: 1) there are currently completed human exposure pathways and 2) that those exposure pathways pose an unacceptable risk to humans based on the magnitude, frequency, duration and route(s) of exposure relative to the exposure concentrations and chemical intakes. Where a region lacks sufficient information to make such a determination on whether there are completed pathways or whether a completed pathway poses an unacceptable risk, a site should be classified as "insufficient data to determine human exposure control status". A site is placed in one of the three "under control" categories when a region has determined that there are not currently completed human exposure pathways or that exposure(s) that may be occurring do not pose an unacceptable risk to humans based on the magnitude, frequency, duration and route(s) of exposure relative to the exposure concentrations and chemical intakes. Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and Close Out Reports are typically consulted by RPMs to assist completion of the HE worksheet. To support the response for each worksheet question, the RPMs should provide the SDMS number in the SDMS document field for every document referred to in answering each question. Further, the RPM should provide the complete citation of each referenced document in the Reference section of the worksheet and also provide a complete copy of each referenced document.

ee. Migration of Contaminated Ground Water Under Control

Definition: The Migration of Contaminated Ground Water Under Control indicator assesses only whether ground water contamination is below protective, risk-based levels or, if not, whether the migration of contaminated ground water is stabilized and there is not



unacceptable discharge to surface water and monitoring will be conducted to confirm that affected ground water remains in the original area of contamination. This indicator is limited to sites with known past and/or present ground water contamination. The indicator applies to for proposed, final, and deleted NPL sites and SAA settlement sites, but only final and deleted NPL sites count toward annual GPRA targets.

Definition of Accomplishment: The criteria for determining if ground water migration is controlled are found in Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit VII.3), the Environmental Indicators Guidance Manual, the Long-Term Human Health Protection Data Quality Objectives document, and on the Superfund Environmental Indicators Website.


Special Planning/Reporting Requirements: The Migration of Contaminated Ground Water Environmental Indicator worksheet must be completed in CERCLIS and/or reviewed before the end of the fiscal year. If there is a known change in GM status, CERCLIS should be updated within 10 days (Program Management/Environmental Indicators). This is a key program target and measure; the program reports accomplishments to external parties.

Data Entry Timeliness Requirement: As data collection and analysis or response actions occur or environmental conditions change, it is expected that the region will review the status of all GM evaluations and update CERCLIS to reflect the change in status. This should generally occur within 10days. 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 GMevaluation. GM evaluations must be made (and entered) or reviewed at all Proposed, Final, and Deleted NPL sites and Superfund Alternative sites prior to the end of the fiscal year in order to be included in the SCAP end of year report pull. In cases where this is not possible the region should contact the data sponsor for these measures. GM changesentered during the first seven working days of the new fiscal year will be counted as accomplishments for the prior fiscal year. This practice may differ from that required for other measures; special notice should be taken. Site condition changes may bedocumented in RODs, ROD Amendments, Removal Action Memoranda, Pollution Reports, Close Out Reports, and Five Year Reviews.



EXHIBIT VII.3. SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER CONTROL WORKSHEET

Definition: Is the migration of contaminated ground water being controlled through engineered or natural processes?

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?

f Yes

Insufficient 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

Data/No been considered in this evaluation?

List Reference Document(s):

f Yes

Step 2. Is ground water known or reasonably suspected to be "contaminated" above

Insufficient appropriately protective risk-based "levels" (applicable promulgated standards, as

Data well as other appropriate standards, guidelines, or criteria) as a resu lt of a release from the site?


f Yes

Step 3. Is the migration of contaminated ground water stabilized (such that

Insufficient contaminated ground water is expected to remain within "existing area of

Data contaminated ground water") as defined by the monitoring locations designated at the time of this evaluation?


Insufficient f Yes

Data Step4. Does "contaminated" ground water discharge into surface water bodies?


f Yes

Step 5. Can the discharge of "contaminated" ground water into surface water be Insufficient shown to be "currently acceptable" as defined (i.e., not cause unacceptable impacts

Data to surface water, sediments, or ecosystems that should not be allowed to continue until a final remedy decision can be made and implemented)?


f Yes

Insufficient Step 6. Will ground water monitoring/measurement data (and surface water/ Data sediment/ecological data as necessary) be collected in the future to verify that

contaminated ground water has remained within the horizontal (or vertica l, as necessary) dimensions of the "existing area" of contaminated ground water?


+ Yes

Insufficient Data to Determine

Contaminated Ground Water Migration

Under Control Status

Contaminated Ground Water

Migration Under Control

No

No

f----+-

No

No I--

r.-No

Stop, you do not eed to plete the

n com

GM EI

Conta minated d Water n Under

ntrol

Groun Mig ratio

Co

No

Contaminated Ground Water Migration Not Under Control



Accuracy Requirement: The Ground Water Migration approach was designed to allow RPMs to make first-hand determinations based on their knowledge of current conditions at a site as well as actions undertaken at a site. These determinations must be made with reasonable certainty using all available documentation on media contamination for current land and ground water use. Documents such as RI/FS reports, RODs, Action Memoranda, Pollution Reports, and Close Out Reports are typically consulted by RPMs to assist completion of the surveys. To support the response for each worksheet question, the RPMs should provide the SDMS number in the SDMS document field for every document referred to in answering each question. Further, the RPM should provide the complete citation of each referenced document in the Reference section of the worksheet and also provide a complete copy of each referenced document.

ff. Populations Protected

Definition:This measure tracks the environmental progress achieved at NPL, Superfund Alternative and non-NPL sites through the protection of human receptors from immediate threats of exposure to contaminated media. The following information will be reported under this measure:

- The number of human receptors protected during removals and remedial actions that result in:

Relocation of affected populations; orProvision of an alternate water supply.

Definition of Accomplishment:Population Protected data are required upon a removal or remedial action start where a population has been either relocated and/or provided an alternative drinking water supply in association with the following actions: Removal; PRP Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.

The following information must be entered into CERCLIS for each action resulting in a population being relocated or provided an alternative source of drinking water:

- Action: action associated with the population relocation or the provision of alternative drinking water;

- Affected Date: date the population was relocated or provided alternative drinking water;

- Protection Level: level (permanently, temporarily, or returned/reinstated) at which the population was relocated and or provided alternative drinking water; and

- Number Affected: number of people relocated or provided alternative drinking water.



The Populations Protected screen can be accessed through the Program Management/Environmental Indicators screen, or the EI icon can be used on the Removal or Remedial schedule when one of the following actions is selected: Removal; PRP Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.


Special Planning/Reporting Requirements:Population Protected data are required to be updated once per year. Data documenting relocation or provision of alternative drinking water can typically be found in RODs,Action Memoranda, Pollution Reports, Remedial Actions Reports and Close Out Reports. An SDMS source document and tracking number should be entered in CERCLIS for this measure. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.

gg. Cleanup Volume

Definition:This measure tracks the amount of contaminated media that has been treated, stabilized, contained, or removed through the use of risk management technologies, engineering techniques, or institutional controls.

Definition of Accomplishment:Cleanup Volume data are required in association with a removal action (Removal, PRP Removal, FF Removal) start or complete as defined in the Removal Start and Removal Completion measures, or a remedial action (Remedial Action, PRP RA, FF RA) start or complete as defined in the Remedial Action Start and Remedial Action Completion measures.

The following information must be entered into CERCLIS for each medium addressed by the completed response action:

- Cleanup Date: date contaminated media was addressed - Media Name: media name as documented in the Add/Edit Media screen and

media type- Original Amount: amount of contaminated media addressed - Original Unit: volumetric unit of contaminated media

The Cleanup Volumes screen can be accessed through the Program Management/Environmental Indicators screen, or the EI icon can be used on the Removal or Remedial schedule when one of the following actions is selected: Removal; PRP Removal; FF Removal; Remedial Action; PRP RA; FF RA; PRP Emergency Removal; or Initial Remedial Measure.




Special Planning and Reporting Requirements:Cleanup Volume data are required to be updated once per year. Data documenting volumes of contaminated media addressed can typically be found in RODs, Action Memoranda, Pollution Reports, Remedial Actions Reports and Close Out Reports. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.

PPAARRTT VVII.. SSUUPPPPOORRTT AACCTTIIVVIITTIIEESS

hh. Support Agency Assistance

Definition:Support Agency Assistance refers to the activities performed by another entity to supportan EPA response action. The support agency furnishes necessary data to EPA, reviews response data and documents, and provides other assistance to EPA. EPA may provide states, political subdivisions, and Indian tribes with funding to carry out a variety of management responsibilities via a support agency Cooperative Agreement to ensure meaningful and substantial involvement in response activities.

Unless otherwise specified in the Cooperative Agreement, all support agency costs, with the exception of RA support agency costs, may be planned under a single Superfund account number designated specifically for support agency activities. RA support agency activities must be planned site-specifically and require cost share provisions.

Definition of Accomplishment:The start of support agency assistance (Action Name = State Support Agency Cooperative Agreement) is the signature of the Cooperative Agreement by the Regional Administrator or his designee. The completion of support agency assistance is the expiration or termination of the assistance agreement.


Special Planning/Reporting Requirements:Funds for support agency assistance are contained in the pipeline operations, enforcement, or Federal Facility Site Allowance. Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned or obligated site or non-site and OU specifically; however, they must be outlayed site-specifically. This activity may be tracked at the regional level but it is not a program target or measure.






Date Requirements

Action name = State Support Agency Cooperative Agreement(MA)

F

Start:Cooperative Agreement. Complete:Expiration or termination of the assistance agreement.

Start:Signed by Regional Administrator or his designee Complete: Expiration or termination of the assistance agreement.

ii. Technical Assistance

Definition:Technical assistance is support provided by a third party to EPA regions to conduct response activities. Third parties that may provide assistance include USACE, U. S. EPA laboratories, U.S. Fish and Wildlife Service, Superfund Technical Assistance and Response Team (START), and RAC contractors.

Definition of Accomplishment:The start of technical assistance (Action Name = Technical Assistance) is the obligation of funds for technical assistance. The completion is defined as the completion of the response activities for the stage at which technical assistance was requested.


Special Planning/Reporting Requirements:Technical assistance is paid for by the response program and is contained in the pipeline operations Site Allowance. Planned and actual start and completion dates are not required in CERCLIS. Funds may be planned or obligated site- or non-site and OU specifically; however, they must be outlayed site-specifically. This activity may be tracked at the regional level but it is not a program target or measure.





Action name = Technical Assistance (TA)

EP, F, S, TR, RP, PS, MR

Start: Obligation of funds. Completion: Completion of response activities.

Not specified




CChhaapptteerr VVIIIIII:: FFeeddeerraall FFaacciilliittyy PPrrooggrraamm





FY 12 SPIM VIII-i March 20, 2012

CCHHAAPPTTEERR VVIIIIII:: FFeeddeerraall FFaacciilliittyy PPrrooggrraamm

Table of Contents

VIII.A Federal Facilities Goals and Priorities VIII-3 VIII.A.1 Overview ..............................................................................................................VIII-3 VIII.A.2 Superfund Federal Facility Goals.........................................................................VIII-3

a. Strategic Federal Facility Goals................................................................... VIII-3 b. Cross-Program Revitalization Measure Implementation.............................. VIII-5 c. Cross-Program Revitalization Measures (CPRM) Indicators ...................... VIII-5

VIII.A.3 EPA's Federal Facility Superfund Cleanup Principles .........................................VIII-8 VIII.A.4 Federal Facility Docket and Site Discovery/Site Assessment............................VIII-11

a. Overview...................................................................................................... VIII-11 b. Federal Facility Docket Process and the Federal Facilities Site Discovery

Process ........................................................................................................ VIII-11 c. Federal Facility Site Assessment Process and Time Frames...................... VIII-13 d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580 VIII-13 e. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation

..................................................................................................................... VIII-14 f. Tracking of Federal Facility Sites in CERCLIS.......................................... VIII-15

VIII.A.5 BRAC Budget and Financial Guidance..............................................................VIII-16 a. Resources and Tracking Mechanisms ......................................................... VIII-16 b. Accountability for Resources ...................................................................... VIII-16

VIII.A.6 Cleanup Privatization at BRAC NPL Sites ........................................................VIII-18 VIII.A.7 Military Munitions Response Program ..............................................................VIII-18 VIII.A.8 Stakeholder Involvement....................................................................................VIII-19

VIII.B Federal Facilities Targets and Measures VIII-20 VIII.B.1 Overview of Federal Facilities Targets and Measures .......................................VIII-20 VIII.B.2 Federal Facilities Site Discovery/Site Assessment Definitions..........................VIII-23

a. Site Discovery.............................................................................................. VIII-23 b. Federal Facility Preliminary Assessment Reviews ..................................... VIII-24 c. Federal Facility SI Reviews ........................................................................ VIII-26 d. Federal Facility Expanded Site Inspection (ESI) Reviews.......................... VIII-28

VIII.B.3 Federal Facilities Accomplishment Definitions .................................................VIII-29 a. Base Closure Decisions: Start and Completions ........................................ VIII-29 b. Non-BRAC Property Actions....................................................................... VIII-31 c. Federal Facility Agreement (FFA)/Interagency Agreement (IA)................ VIII-32 d. Federal Facility Dispute Resolution ........................................................... VIII-33 e. Use of Supplemental Environmental Projects (SEPs)................................. VIII-33 f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation

(RFI) Starts.................................................................................................. VIII-34 g. Timespan from Final NPL Listing To RI/FS ............................................... VIII-35 h. Decision Documents.................................................................................... VIII-35 i. Final Remedy Selected ................................................................................ VIII-36 j. ROD Amendments ....................................................................................... VIII-37 k. Explanation of Significant Differences (ESD)............................................. VIII-38 l. Remedial Design (RD) or RCRA Corrective Measure Design (CMD) ....... VIII-39


March 20, 2012 VIII-ii FY 12 SPIM

m. Duration of ROD to IA Negotiation Completion......................................... VIII-40 n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI)

Starts ........................................................................................................... VIII-40 o. Timespan from ROD Signature to RA Start ................................................ VIII-41 p. RA or CMI Completions.............................................................................. VIII-41 q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and Completions

..................................................................................................................... VIII-43 r. Migration of Contaminated Ground Water Under Control ........................ VIII-44 s. Human Exposure Under Control Indicator................................................. VIII-47 t. Operation and Maintenance (O&M)........................................................... VIII-50 u. Cleanup Goals Achieved ............................................................................. VIII-50 v. NPL Site Construction Completions............................................................ VIII-51 w. Federal Facility Partial NPL Deletion ....................................................... VIII-52 x. Federal Facility Final NPL Deletion .......................................................... VIII-54 y. Federal Facility Five-Year Reviews............................................................ VIII-55

VIII.B.4 Community Involvement Definitions.................................................................VIII-59 a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)VIII-

59 b. Technical Assistance Grants (TAGs) .......................................................... VIII-60

VIII.B.5 Cross Program Revitalization Measures (CPRM)..............................................VIII-61 a. Sitewide Ready for Anticipated Use ............................................................ VIII-61 b. Protective for People Under Current Conditions (PFP) ............................ VIII-62 c. Ready for Anticipated Use (RAU) ............................................................... VIII-64

VIII.B.6 Cleanup Privatization at BRAC NPL Sites ........................................................VIII-66

List of Exhibits

Exhibit VIII.1a. Federal Facilities NPL Sites.................................................................................VIII-21

Exhibit VIII.1b. Federal Facilities BRAC Sites .............................................................................VIII-22

Exhibit VIII.1c. Federal Facilities Non-NPL Sites.........................................................................VIII-23

Exhibit VIII.2. Remedial Pipeline Flow Charts .............................................................................VIII-43

Exhibit VIII.3. Superfund Migration of Contaminated Ground Water Under Control Worksheet VIII-46

Exhibit VIII.4. Superfund Long-Term Human Health Protection Worksheet ...............................VIII-49


FY 12 SPIM VIII-3 March 20, 2012

CHAPTER VIII: FEDERAL FACILITY PROGRAM

VIII.A FEDERAL FACILITIES GOALS AND PRIORITIES

VIII.A.1 OverviewTo manage the Superfund Federal Facilities program, the Federal Facilities Enforcement

Office (FFEO) and the Federal Facilities Restoration and Reuse Office (FFRRO) use the Federal Facilities Leadership Council (FFLC) to help identify and resolve issues unique to the management of EPA's Superfund Federal Facility Response Program. The FFLC is comprised of Superfund and/or the Resource Conservation and Recovery Act (RCRA) program and enforcement/counsel representatives from all regions, as well as representatives from the Federal Facilities Headquarters (HQ) offices and other HQ offices that handle Federal Facility issues.

VIII.A.2 Superfund Federal Facility Goals

a. Strategic Federal Facility GoalsSuperfund Federal Facility activities have high visibility because of the significant threats posed by military sites, the impact of military base closings, the resources needed to implement Department of Defense (DoD)/Department of Energy (DOE) cleanup efforts at facilities listed on the National Priorities List (NPL) and other non-NPL facilities, and heightened state, tribal, local governments and other stakeholder interests. Federal Facility program goals are based on a number of related factors, including overallSuperfund program goals, anticipated resource constraints, and statutory requirements. Program activities and resources should be planned to achieve the following goals of the Federal Facility program:

- Construction Completions - Regional efforts should be focused on getting to completion of construction at Federal Facilities. In addition, once the remedies are in place, regional effort is focused on ensuring they remain protective.

- Expediting Property Transfer and Reuse - Revitalization is one of the Office of Solid Waste and Emergency Response’s (OSWER) highest priorities. The number of acres EPA has found suitable for transfer or lease are currently being tracked by EPA in Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS). One way of facilitating property reuse occurs when DoD installations are slated for closure or realignment, or have been identified as excess property through other means. At these Base Realignment and Closure (BRAC) installations, environmental restoration activities continue with the same cleanup objective as those of active installations -- protect human health and the environment. At the time of closure or realignment, specific BRAC property, and its possible future use, is identified. The closed or realigned property will eventually be transferred to another Service Component, federal agency or a non-federal entity, such as a state or local government or private entity. Along with achieving cleanup objectives, BRAC installations focus on efficient property transfer and providing beneficial and protective reuse of the property by the local community.


March 20, 2012 VIII-4 FY 12 SPIM

- Environmental Indicators - There are two environmental indicators (EI) currently reported under the Government Performance and Results Act (GPRA) framework for the Superfund program: Human Exposures Under Control and Groundwater Migration Under Control. These two measures provide current site information regarding risk reduction at all NPL sites.

- Sitewide Ready for Anticipated Use - This GPRA performance measure documents the number of final and deleted construction complete NPL sites where, for the entire site or facility:

All cleanup goals in the Record(s) of Decision (ROD) or other remedy decision document(s) have been achieved for media that may affect Current and reasonably anticipated future land uses of the site, so that there are no unacceptable risks; and All institutional or other controls required in the Record(s) of Decision or other remedy decision document(s) have been put in place. The introduction of this measure reflects the Agency's commitment to land revitalization. The Agency's policies have increasingly addressed the issue of making Superfund NPL sites protective for current and future uses. In particular, one of EPA's key responsibilities under Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) is to ensure that contaminated property owned by the federal government is environmentally suitable for transfer or lease.

- Involving Citizens, Local Governments, and Tribes in Environmental Decision Making - The publication of the Final Report of the Federal Facilities Environmental Restoration Dialogue Committee (FFERDC) in April 1996 was a watershed event for public involvement in Federal Facility cleanups. As a result of the Report, federal agencies have established Restoration Advisory Boards (RABs) at DoD installations and Site Specific Advisory Boards (SSABs) at DOE facilities. Other federal agencies are also starting to form advisory boards. Regional staff and management are expected to be especially sensitive to the requests at NPL facilities and at the BRAC facilities. Because of resource constraints, EPA regional participation and support for non NPL facilities is minimal. Regions need to work closely with state agencies and their federal counterparts to ensure that the President's Executive Order on Environmental Justice is successfully carried out (E.O. 12898).

- Enforcing the Laws - The public needs to know that it will be protected from environmental hazards through vigorous enforcement by the EPA and the statesfor violations of environmental laws and situations that put people and natural resources at risk. EPA intends to use its enforcement authorities not only to compel compliance, but also to promote long term policy objectives such as greater citizen involvement, pollution prevention, technology development, and natural resource management.

Regions should continue to strive to place these priorities and project milestones in enforceable Federal Facility Agreements (FFAs)/Interagency Agreements (IAs) at NPLsites. FFAs and IAs should be viewed as living, dynamic documents reflecting not only



the best judgments by all parties of cleanup priorities and milestones at the time of agreement, but also the changing circumstances of environmental cleanup.

b. Cross-Program Revitalization Measure ImplementationFederal Facilities and Remedial Programs continue to implement the OSWER-wide Cross-Program Revitalization Measures effort by tracking the number of actually or potentially contaminated, or previously contaminated, sites and surface acres that are "Protective for People Under Current Conditions" (PFP) and "Ready for Anticipated Use" (RAU).

Sites and surface acres tracked by these measures include investigated land, wetlands, surface water, and/or sediments for which these programs have a documented oversight role for any necessary assessment, remedial action, and/or property transfer. The Federal Facilities and Superfund Programs are using the current Human Exposure Under Control Environmental Indicator as basis for determining whether sites and acres are PFP; the PFP measure captures the number of acres at a site for which there are no complete pathways for human exposure to unacceptable levels of contamination based on current site conditions.

In order to meet the RAU measure, sites and acres must: 1) have all cleanup goals achieved for media that may affect current and reasonably anticipated future land uses such that there is no unacceptable risk, and 2) have all institutional or other controls identified as part of the response action as necessary for the site's long-term protection be properly in place and effective. The Program is also tracking two optional indicators, Status of Use and Type of Use. These indicators describe how the acres are being used when the determination is made for the PFP and RAU performance measures.

Acres and sites that meet Cross-Program Revitalization Measures (CPRM) PFP and/or RAU criteria as well as Status and Type of Use information are documented via a checklist in CERCLIS. Acres are measured on an operable unit (OU) or property transfer parcel basis.

c. Cross-Program Revitalization Measures (CPRM) IndicatorsDefinition:The CPRM indicators and performance measures establish a similar, consistent set of measures that can be applied across all OSWER cleanup programs. The Office of Superfund Remediation and Technology Innovation (OSRTI) and FFRRO implemented the following three indicators and two performance measures established in the March 2007 CPRM Guidance:

Universe Indicator (Mandatory): Seeks to count the total number of acres and sites that have been investigated at all sites since program inception. In order to be included in the Universe Indicator, the site should be eligible for investigation under CERCLA, or as the result of EPA's involvement at BRAC facilities. For sites that are proposed for, listed on, or deleted from the NPL, or for Superfund Alternative sites, acres included in the Universe Indicator should be investigated in a manner consistent with the Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA. Similarly,



Non-Time Critical Removal Action (NTCRA) sites should be investigated in a manner consistent with Guidance on Conducting Non-Time-Critical Removal Actions Under CERCLA. Both remedial and NTCRA sites and acres where initial investigations indicate that no unacceptable risks exist, and therefore no further action is required, should be included in the Universe Indicator.

The Universe includes those non-NPL Federal Facilities (such as BRAC or formerly Used Sites Remediation Action Program (FUSRAP) sites) and Formerly Used Defense Sites (FUDS) where EPA has signed/concurred on a response action (at a minimum, completed a Remedial Investigation/Feasibility Study (RI/FS), removal action, or other major cleanup decision document) or a property transfer.

The Universe Indicator and performance measures apply to the following contaminated or potentially contaminated media - land, wetlands, surface water, and/or sediments -provided that media is subject to Superfund and Federal Facilities remedial investigation, oversight, and/or response action. However, the acres captured under the Universe Indicator do not include land areas overlying a ground water plume where those land areas are not intended to be assessed consistent with applicable EPA guidance. For example, if a plume extends under a land area and EPA has no intention of investigating these acres of land for contamination unrelated to the plume, then those land acres would not be included in the acreage reported by the Universe measure. By extension, a site with only ground water contamination would not be captured by the Universe Indicator. Note that there may also be exceptions in which sites with areas of surface water, sediments, and/or tidal basins will not automatically be included due to site-specific circumstances. These types of sites will be dealt with on a case-by-case basis.

Status of Use Optional Indicator: Refers to how the acres of the sites and OUs included in the Universe Indicator are being used at the point in time when the determination is made for the PFP and RAU performance measures. The Status of Use Indicator has the following sub-indicators:

- Continued Use: Acres in continued use refers to areas that are being used in the same general manner as they were when the site became subject to the Superfund or Federal Facilities Programs.

- Reused: Acres at a site identified as in reuse refers to a site or OU where a new use, or uses, are occurring such that there has been a change in the type of use (e.g., industrial to commercial), or the property was unused and now supports a specific use. This means that the developed site or OU is actually used for its intended purpose by customers, visitors, employees, residents, or fauna, in the case of ecological reuse.

- Planned Reuse: Acres in planned reuse include sites or OUs where a plan for a reuse is in place, but reuse has not yet begun. This could include conceptual plans, a contract with a developer, secured financing, approval by the local government, or the initiation of site redevelopment.

- Unused: Acres identified as unused include sites or OUs not being used in any identifiable manner. This could be, for example, because site investigation and



cleanup are ongoing, operations have ceased, the owner is in bankruptcy, or cleanup is complete, but the site remains vacant.

- Undetermined: Acres at a site or OU that cannot be currently identified as one of the four Statuses of Use.

The Status of Use Indicator is independent of the status of response action because it recognizes that sites or OUs could be in various stages of use at various stages of cleanup and because use and reuse can change.

Type of Use Optional Indicator: The Type of Use Indicator describes how acres at sites or OUs included in the Universe Indicator are used at the point in time when the PFP or RAU determination is made. Information on the type of use at a site or OU should be classified under one of the following six primary categories:

Commercial- Commercial Use: Commercial use refers to use for retail shops, grocery stores,

offices, restaurants, and other businesses.

Public Service- Public Service Use: Public service use refers to use by a local or state government

agency or a non-profit group to serve citizens' needs. This can include transportation services such as rail lines and bus depots, libraries and schools, government offices, public infrastructure such as roads, bridges, utilities, or other services for the general public.

Agricultural Use:- Agricultural Use: Agricultural use refers to use for agricultural purposes, such as

farmland for growing crops and pasture for livestock. Agricultural use also can encompass other activities, such as orchards, agricultural research and development, and irrigating existing farmland.

Recreational Use:- Recreational Use: Recreational use refers to use for recreational activities, such as

sports facilities, golf courses, ball fields, open space for hiking/picnicking, and other opportunities for indoor or outdoor leisure activities.

Ecological Use:- Ecological Use: Ecological use refers to areas where proactive measures,

including a conservation easement, have been implemented to create, restore, protect, or enhance a habitat for terrestrial and/or aquatic plants and animals, such as wildlife sanctuaries, nature preserves, meadows, and wetlands.

Industrial- Industrial Use: Industrial use refers to traditional light and heavy industrial uses,

such as processing and manufacturing products from raw materials, as well as fabrication, assembly, treatment, and packaging of finished products. Examples of industrial uses include factories, power plants, warehouses, waste disposal sites, landfill operations, and salvage yards.



Military- Military Use: Military use refers to use for training, operations, research and

development, weapons testing, range activities, logistical support, and/or provision of services to support military or national security purposes.

Other Federal- Other Federal Use: Other federal use refers to use to support the federal

government in federal agency operations, training, research, and/or provision of services for purposes other than national security or military.

Mixed- Mixed Use: Mixed use refers to areas at which uses cannot be differentiated on

the basis of acres. For example, a condominium with retail shops on the ground floor and residential use on the upper floors would fall into this category. When selecting Mixed Use, the individual types of uses should be identified, if possible.

Residential- Residential Use: Residential use refers to use for residential purposes, including

single-family homes, town homes, apartment complexes and condominiums, and child/elder care facilities.

Undetermined- Undetermined: Undetermined refers to acres at a site or OU that cannot be

identified as one of the six Types of Use.

Data Entry Timeliness RequirementIt is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs at close of business (COB) on the fifth business day following the end of fiscal year (FY) quarter (Q)1, FYQ2 and FYQ3, and at COB on the 10th business day following the end of FYQ4.)

VIII.A.3 EPA's Federal Facility Superfund Cleanup PrinciplesConsideration of Human Health and Environmental Risk and Other Factors in Federal

Facility Environmental Cleanup Decision Making: Protection of Human Health and the Environment and meeting state applicable or relevant and appropriate requirements (ARARs) are threshold criteria at all Superfund sites, including Federal Facilities. Addressing the greatest risk sites will generally be a driving factor, but not the only factor in determining environmental cleanup priorities and milestones. In setting priorities and milestones, regions should consider:

Human Health and Environmental Risk: Risk assessments and other analytical tools used to evaluate risks to human health (including non-cancer as well as cancer health effects) and the environment all have scientific limitations and require assumptions in their development. As decision-aiding tools, risk assessments should only be used in a manner that recognizes those limitations and assumptions. In addition to criteria



established by statute, regulation or guidance, as noted below there are other factors that affect whether and to what extent cleanups are to occur.

Emerging pollutants, contaminants and hazardous substances of concern: As analytical detection methods improve and health risk data are better defined, EPA and the federal community are detecting chemicals, like perchlorate and TCE, at lower levels of concern and at a greater number of sites. Thus, we may need to expand the scope of investigations and cleanup actions, and take other actions to adequately address these chemicals.

Other Factors: In addition to human health and environmental risk, other factors that warrant consideration in setting environmental cleanup priorities and milestones include, but are not limited to: - cultural, social, and economic factors, including environmental justice

considerations - short-term and long-term ecological effects and environmental impacts in general,

including damage to natural resources and lost use - making land available for other uses - acceptability of the action to regulators, tribes, and public stakeholders - statutory requirements and legal agreements - life cycle costs - permanence and reliability of remedy - pragmatic considerations, such as the ability to execute cleanup projects in a

given year, and the feasibility of carrying out the activity in relation to other activities at the facility

- overall cost and effectiveness of a proposed activity

Green Remediation: The practice of considering all environmental effects of remedy implementation and incorporating options to minimize the environmental footprints of cleanup actions. EPA strives for remedies that use natural resources and energy efficiently, reduce negative impacts on the environment, minimize or eliminate pollution at its source and reduce waste to the greatest extent possible. Therefore green remediation reduces the demand placed on the environment during cleanup actions. EPA's Office of Solid Waste and Emergency Response issued the Principles for Greener Cleanups (Principles) in August 2009. The Principles document defines the five core elements that may be considered when evaluating and implementing a green cleanup: Total Energy Use and Renewable Energy Use, Air Pollutants and Greenhouse Gas Emissions, Water Use and Impacts to Water Resources, Materials Management and Waste Reduction and Land Management and Ecosystems Protection. Green Remediation practices fit within existing cleanup programs and comply with existing statutes and regulations. Green Remediation can be applied throughout all phases of cleanup, including site investigation, design, construction, operation, and monitoring. For more information visit: http://www.epa.gov/superfund/greenremediation/



Collaboration: The Federal Facilities Response program will continue to work in a collaborative fashion with other federal agencies, other regulators, tribal governments, local governments and communities. In many situations, EPA's statutory responsibilities will place the Agency in a leadership role that requires convening the relevant parties and facilitating interaction. In other situations, EPA will simply act as one of the many interested parties in a collaborative problem-solving effort convened by another federal agency, tribe, state, local government or a private entity. However, it is important to recall that collaboration cannot replace the core functions of a regulatory agency nor compromise EPA decision-making and enforcement responsibilities.

Typically, EPA looks to all affected stakeholders for ideas and innovative solutions and, where appropriate, incorporates stakeholder recommendations into policy and practice.

Innovation: Federal Facilities should continue to serve as a test bed for new cleanup technologies and new cleanup processes. We should continue efforts, working with others, to promote more effective and efficient cleanups that support redevelopment and reuse of contaminated properties, especially those that support the mission of the responsible agency. Efforts to improve and streamline the cleanup process should continue to focus on reducing paperwork and developing more collaborative relationships among all parties.

Consistency of Treatment between Federal Facilities and Private Sites: Federal Facilities, especially NPL sites, are generally large complex sites. CERCLA requires that Federal Facilities be treated the same as other entities.

Environmental Justice: As Federal Facilities affect many diverse communities and communities of low income, the federal Government has an obligation to make special efforts to reduce the adverse effects of environmental contamination related to Federal Facility activities on affected communities that have historically lacked economic and political power, adequate health services, and other resources. This needs to continue to be a focus for the Program.

Stakeholder Involvement: Despite a very impressive record of success, involvement by the public continues to be an area where improvements can be made. Federal Facility cleanup decisions and priorities should reflect a broad spectrum of stakeholder input from affected communities including indigenous peoples, low-income communities, and minority groups. Stakeholder involvement has, in many instances, resulted in significant cleanup cost reductions. It should therefore not only be considered as a cost of doing business but as a potential means of efficiently determining and achieving acceptable cleanup goals.

The Role of Negotiated Cleanup Agreements: Enforceable cleanup agreements play a critical role both in overseeing priorities at a site and providing a means to define and balance the respected interdependent roles and responsibilities in Federal Facilities cleanup decision making. EPA must continue to hold federal agencies accountable for meeting the terms of these agreements to ensure timely and protective cleanup.



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 Facilitycleanups, along with their state and local governing bodies and affected tribes, should be given a significant role in determining reasonably anticipated future use of federal property that is expected to be transferred, and in how future use determinations will be used in making cleanup decisions.

The Importance of Characterizing Sites Correctly: The identification and characterization of contamination and the evaluation of health impacts on human populations and ecological effects are essential parts of the cleanup process. If a quality characterization is done, money and time can be saved during the response phase. Characterization must also include proper quality assurance/quality control processes to ensure that data are used to make decisions of known and reliable quality.

VIII.A.4 Federal Facility Docket and Site Discovery/Site Assessment

a. OverviewThe U.S. EPA Federal Agency Hazardous Waste Compliance Docket (Docket) Process and Federal Facility Site Discovery/Site Assessment Process are different from the non-Federal Facility Site Assessment Process; and are governed by a specific set of statutes and guidance in the CERCLA, 1980, as amended by the Superfund Amendments andReauthorization Action (SARA), 1986, and in the National Contingency Plan (NCP). The Federal Facilities process is different in at least four ways:

1. Federal Facility Docket Process and Federal Facilities Discovery Process: The process for Federal Facilities involves listing Federal Facility sites on the Docket (CERCLA/SARA section 120(c)) prior to any listing of the Site Discovery in CERCLIS.

2. Federal Facilities Site Assessment and Time Frames: The time frame, for completion of Federal Facilities site assessment activities following Site Discovery; is that of "a reasonable time schedule" (CERCLA/SARA section120(d)) as Amended in 1997; and for completion of Hazard Ranking System (HRS) evaluations the time frame is within four years from Site Discovery.

3. Authority for Conducting Federal Facility Site Assessments - Executive Order 12580: The authority for conducting Federal Facility site assessments has been delegated to the federal agencies under Executive Order 12580 (E.O. 12580), and CERCLA 120(h).

4. Federal Facility Site Assessment Reports & EPA Review and HRS Evaluation:EPA is required to review Federal Facility site assessment reports and evaluate such facilities in accordance with the HRS criteria (authority retained by EPA).

b. Federal Facility Docket Process and the Federal Facilities Site Discovery ProcessEPA 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, pollutants, or contaminants have been or may be released. The Docket was established by EPA OSWER in 1988.

The Docket is used to identify Federal Facilities that should be evaluated to determine if they pose a threat to public health or welfare and the environment; and to provide a mechanism to make this information available to the public. As new facilities are reported to EPA by federal agencies, EPA publishes a list of these facilities in the Federal Register.

The Docket contains information submitted by federal agencies under the following authorities:

- Section 103 of CERCLA requires owners or operators of vessels or facilities to notify the National Response Center of a release of a reportable quantity of a hazardous substance (notification of a release or potential release);

- Section 3005 of the RCRA provides EPA authority to establish a permitting system for hazardous waste treatment, storage, and disposal (TSD) facilities, which in turn requires them to submit certain information as part of the permit application (interim status/permitting authority). The hazardous waste permittingprogram is generally implemented by authorized states;

- Section 3010 of RCRA requires hazardous waste generators, transporters, and TSD facility owners/operators to notify EPA of their hazardous waste activities (notification of hazardous waste activity);

- Section 3016 of RCRA requires Federal Facilities to submit an inventory of hazardous waste sites they own or operate, or have owned and operated in the past (biennial inventory of hazardous waste activities);

- "Other" has been added as a reporting mechanism to indicate those Federal Facilities that otherwise have been identified to have releases or threat of releases of hazardous substances. EPA's National Contingency Plan (NCP), (40 CFR 300.405) further addresses the discovery or notification and outlines what constitutes discovery of a hazardous substance release, and states that a release may be discovered in several ways.

Any potential Federal Facility site is generally first added to the Docket1. Following publication of the site's addition to the Docket in the Federal Register, the site is then entered in CERCLIS as a Site Discovery. The Site Discovery Date is that of the publication in the Federal Register. For additional information see the EPA Docket Reference Manual, Federal Agency Hazardous Waste Compliance Docket, Interim Final, March 9, 2007; website: http://www.epa.gov/fedfac/documents/docket.htm

1 There may be instances when a facility included in the docket may not be listed in the CERCLIS database. (Source: Change 5, FY 04/05 SPIM, D-5, January 10, 2005, OSWER Directive 9200.3-14-1G-Q).



c. Federal Facility Site Assessment Process and Time FramesCERCLA/SARA, as amended, section 120(d) (1) requires that EPA take steps to assure that a PA be completed and that evaluation and listing of sites be completed within a reasonable time frame (CERCLA/SARA, as amended, section 120(d) (3)) for each Federal Facility included on the published list of Federal Facilities reported pursuant to section 120(c) of CERCLA/SARA (the "Federal Facilities docket"). The PA is designed to provide information for EPA to consider when evaluating the site for potential listingon the NPL. E.O. 12580 delegated the authority to conduct Federal Facility PAs and, when warranted, Federal Facility Site Inspections (SIs) to the federal agencies.

EPA believes the most reasonable schedule for assessing Federal Facility sites listed on the Docket would be one consistent with the schedule for assessing non-Federal Facilitysites which are tracked in Superfund's CERCLIS hazardous waste site database. Potential budgeting issues of a Federal Facility may also be a factor in conducting a PA. Under Superfund policy (OSWER directive 9200.3-14-1E), EPA attempts to complete a non-Federal Facility PA within one year of that site's discovery (inclusion in CERCLIS). However, the need of federal agencies to wait for the next budget cycle to obtain funding may make the one year time frame problematic in some cases. Further, past experience using the 18 month time frame has shown it to be a reasonable period of time for completion of the Federal Facility PA. As a result, it is appropriate to expect Federal Facilities to strive to submit completed Federal Facility PA Reports within 18 months from inclusion on the Docket. Of course, in cases where a PA petition is submitted pursuant to CERCLA section 105(d), a PA may need to be completed within 12 months.

It is worth noting that under section 116(b) of SARA, a facility should be evaluated within four years of CERCLIS listing. EPA believes this is a reasonable time frame for making listing decisions at Federal Facility sites as well. On receipt and following evaluation of a Federal Facility PA and, if warranted, a Federal Facility SI, EPA would make a determination either of NFRAP under EPA's Superfund Program (CERCLA/SARA); or of potential NPL candidate. However, if further EPA involvement is warranted for an HRS evaluation and proposal of the site to the NPL, then all these steps, from Discovery to NPL proposal, have to be completed within a four year time frame. Historically, it was sometimes difficult for EPA and the federal agencies to complete these tasks within the 30 months originally provided under section 120(d), and EPA believes 48 months is a more appropriate and reasonable time frame for both the Federal Facility and EPA.

EPA and the individual agencies should work together to ensure these time frames are met.

d. Authority for Conducting Federal Facility Site Assessments - E.O. 12580Sections 104(b) and (e) of CERCLA grant to the President broad investigative authority to conduct a PA and/or a Site Inspection (SI). The President has delegated this authority through E.O.12580 to the heads of the respective federal executive departments and agencies with jurisdiction, custody, or control over their facilities. The NCP provides for the lead federal agency to perform a PA and, as appropriate, an SI, on all sites on the Docket and in CERCLIS (see CERCLA/SARA 120(d) and 40 CFR Part 300.420(b)(1)



and (c) (1)). Section 300.5 of the NCP defines "lead agency" generally as that federalexecutive 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 federalagency 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 federalagency, can differ from the federal agency ownership party. The Federal Agency Owner field of the Docket is the federal department or agency that owns the facility at the time of Docket listing, deletion, and/or correction whereas the Responsible Federal Agency is the lead agency responsible for the oversight.

EPA must take steps to ensure that a PA is completed for facilities on the Federal Facilities docket where the respective federal agencies are delegated the authority to conduct a PA or SI, and thus the respective federal agencies are the "lead agency" for conducting such investigations.

Federal Facilities that conduct a PA may satisfy some of the PA reporting requirements through work already conducted pursuant to the RCRA corrective action program or state cleanup programs. For example, a facility at which a RCRA Facility Assessment (RFA) has been conducted may base its PA on the RFA report. When work conducted under such non-CERCLA authorities is the basis for satisfying PA requirements, the facility should demonstrate that all information required for the CERCLA PA is provided. In some instances, it may be appropriate to provide supplemental information to ensure that all hazardous substances, pollutants, or contaminants at the facility are addressed. Similarly, at a Federal Facility sites when under CERCLA 120(h) ownership Federal Real Property is being transferred, where there have been observed releases, the Federal Facilities may satisfy some of the PA reporting requirements through work already conducted for General Services Administration (GSA) Environmental Phase II Reports or other environmental investigations done by DoE/DoD. Again, as in the foregoing RCRA Facility Assessment discussion, the Federal Facilities should demonstrate that all information required for the CERCLA PA is provided, and as appropriate, provide similar supplemental information as mentioned above.

For additional information see the Federal Facilities Remedial Preliminary Assessment and the Federal Facilities Remedial Site Investigation Summary Guides, 2005:http://www.epa.gov/fedfac/documents/docket.htm

e. Federal Facility Site Assessment Reports & EPA Review and HRS EvaluationFor Federal Facilities, the site assessment process under CERCLA/SARA begins when the Federal Facility site has been listed on the Docket. When a Federal Facility submits aFederal Facility PA report (also see CERCLA 104(h)), and if warranted a Federal FacilitySI 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.

2 Hazard Ranking System; Final Rule, 40 CFR Part 300, Appendix A, Federal Register, Vol. 55, No. 241, December 14, 1990.



If EPA determines that the site does not pose a threat to human health and the environment based on the data provided in the PA or SI reports, then EPA will designate a decision of NFRAP under Superfund. A decision not to take further response/remedial action under the Superfund program is based on a finding that the facility/situation does not meet the minimum CERCLA eligibility requirements or that there is insufficient risk to human health or welfare, or the environment to be included or proposed, at this time on the NPL by the EPA. This decision does not preclude any further action at the facility by other EPA Programs, by the states or other federal agencies. If there is a clear non-compliance with other environmental programs, EPA will make a deferral to the appropriate alternate authorities. Should EPA receive new information and/or issue new rule making that warrants further EPA involvement, EPA will reactivate the site.

If the results of a Federal Facility SI indicate that the Federal Facility site warrants further investigation based on the HRS evaluation, EPA will prepare an HRS scoring package to propose placing the site on the NPL. To make such an NPL decision, EPA may collect further data to complete the HRS package.

f. Tracking of Federal Facility Sites in CERCLISFederal Facility sites can be tracked through the Federal Facility docket screen in CERCLIS, EPA's official CERCLA/SARA sites database tracking system. It allows authorized EPA CERCLIS users to enter new Federal Facility Docket sites. CERCLIS users can access that and other screens to select and track Federal Facility sites in the CERCLIS universe, and to manage site assessment activities (i.e., Federal FacilityPreliminary Assessment Review and Federal Facility Site Inspection Review actions) at these sites.

CERCLIS tracks site assessment activities that are being or have been conducted for all Federal Facilities listed on the Docket pursuant to CERCLA section 120 et al.

For more in depth understanding of the site assessment process for Federal Facilities, see

- EPA Federal Facilities Preliminary Assessment Summary Guide, July 21, 2005; (http://www.epa.gov/fedfac/pdf/ff_pa_guide.pdf);

- EPA Federal Facilities Remedial Site Inspection Summary Guide, July 21, 2005; (http://www.epa.gov/fedfac/pdf/ff_si_guide.pdf);

- Appendix A to the above: Federal Facilities Remedial Preliminary Assessment and Remedial Site Inspection Summary Guide (Information Supplement), July 21, 2005, for Law/Regulations: Summary of Appropriate Legislation/Regulation; Definition of Site; and Site Assessment Process for Federal Facilities;

- EPA Guidance for Performing Preliminary Assessments Under CERCLA (1991);- EPA Guidance for Performing Site Inspections Under CERCLA (1992).



VIII.A.5 BRAC Budget and Financial Guidance

a. Resources and Tracking MechanismsPursuant to Congressional mandate, over 800 Department of Defense (DoD) military bases have undergone realignment or complete closure since 1988. Base realignments and closures (BRAC) occurred in five different rounds: 1988 (BRAC I), 1991 (BRAC II), 1993 (BRAC III), 1995 (BRAC IV), and 2005 (BRAC V). The primary mission of the BRAC program is to ensure that the hazardous waste sites owned or operated by the Military Components are addressed, cleaned up and in some cases made available for transfer and/or lease as quickly as possible.

BRAC I - IV Under the first four rounds of BRAC (BRAC I - IV), the Military Components identified 107 installations for an accelerated cleanup effort (formerly known as fast track sites). Thirty-four of these installations were listed on the NPL. In 1994, EPA and DoD signed the first BRAC Memorandum of Understanding (MOU) establishing responsibilities and funding for EPA's assistance in accelerating cleanup at 107 realigning and closing installations. DoD continues to provide resources for EPA's assistance in assessingBRAC properties and determining their suitability for transfer and/or lease, accelerating cleanup actions wherever possible, and ensuring that remedies selected reflect the views of the affected communities surrounding the sites and the proposed future reuse. In expediting the BRAC cleanup and supporting property transfer, reuse and economic development, the Federal Facilities program works with its federal partners, tribal, state and local governments, and private parties. The majority of EPA's BRAC resources are directed to the regions for technical, regulatory and property transfer oversight at BRAC installations. BRAC funding is also used for EPA personnel to participate on BRAC Base Cleanup Teams (BCT) as either the EPA designated team member or as technical experts. EPA reports to DoD on the issues and progress at individual sites through semi-annual reports, as required under the Memorandum of Understanding.

BRAC - VEPA continues to fulfill its statutory obligations at the 72 NPL installations which were affected by the fifth round of BRAC, and at certain non-NPL bases where EPA has a regulatory role. In addition, EPA regions may be requested to perform activities by states, tribes, local governments, the military components or others at certain facilities where EPA has no formal regulatory role. Given EPA's resource constraints, each region has to examine those requests individually and determine whether it can positively respond. EPA's annual budget request does not include additional support for BRAC-related services to DoD at BRAC V facilities. If EPA services are required at levels above its base for non-NPL BRAC V related installations, EPA would seek reimbursement from DoD. See the interim BRAC guidance for more information: http://nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=900Z0H00.txt.

b. Accountability for ResourcesRegions are allocated full time employee (FTE) and administrative dollars (payroll and site travel) based on installation-specific negotiations between EPA and DoD. BRAC



resources received from DoD are to be used and allocated according to the Base Realignment and Closure Memorandum of Understanding (MOU) between EPA and DoD signed in February 2008, and the official funding letter which provides the annual budget and installation-specific FTE levels. BRAC reimbursable FTE and funding must be used only for EPA related Base Closure activities, and changes affecting the FTE level for any installation require prior approval by FFRRO. Military Base Closure activities are activities related to cleanup of specific installations identified by OSWER (in consultation with DoD). These activities include: accelerating the identification of clean parcels under the Community Environmental Response Facilitation Act (CERFA); developing BRAC Cleanup Plans (BCP); promoting community involvement in cleanup decision making; preparing and reviewing site documents (e.g., BCP, Environmental Baseline Survey, RI/FS, RODs, RD, and RAs) and RCRA documents (e.g., RFI Starts, CMD Starts, and ISM Starts and Completions); studying and sampling field data; National Environmental Protection Act (NEPA) review and analysis; assisting DoD or states with BRAC site issues; and activities supporting EPA personnel participation in the BRAC program. These activities are outlined in the EPA/DoD BRAC MOU, and subsequent memorandums and guidance related to EPA BRAC resources.

As the signatory and executing agent for the reimbursable agreement with DoD, the Assistant Administrator for OSWER will rely on Regional Administrators and, as the primary focus of the EPA BRAC resources, the regional RCRA/Superfund National Program Managers to ensure reimbursable costs are accurate and appropriate. Each region has identified an individual in the appropriate division that is responsible for coordinating the regional BRAC program and resources, and acts as a day to day liaison with OSWER and DoD. FFRRO, within OSWER, provides the Assistant Administrator (AA) OSWER with periodic programmatic and financial updates on the program. Reprogramming of funds request submitted to the Office of Budget require notification of FFRRO for their approval. Around late August, the Superfund and Waste Division Directors are asked to provide a response to FFRRO validating the individuals charging to BRAC are actually doing BRAC work, and the hours reflected on the Compass Data Warehouse report are correct. HQ and regional personnel utilizing BRAC resources should receive authorization from their appropriate regional senior managers and use the funds as outlined in the BRAC MOU. The EPA Remedial Project Manager (RPM) and the support team are empowered to make decisions locally to the maximum extent possible. EPA has delegated certain authorities to the Regional Administrators (e.g., CERFA and Covenant Deferral Request (CDR) concurrence), who have in turn delegated the authorities to others within their organizations. Regional personnel should be familiar with their internal delegation of authorities. Should the need arise, the RPM and support team will have the ability to raise issues immediately to senior EPA officials for resolution.

FFRRO and the Cincinnati Finance Office use Compass, Business Objects and Compass Data Warehouse for monitoring BRAC resources. The Cincinnati Finance Office provides quarterly BRAC billing statements (by installation and funds received, expended and remaining balance) to DoD. HQ receives semi-annual program activity reports from the regional offices on the progress of work at existing BRAC I-IV installations. These reports are generated by the EPA regional BRAC Cleanup Team



personnel and provide HQ and DoD with pertinent program information related to cleanup and reuse. During early fourth quarter, FFRRO works with Cincinnati Finance in determining a projected carryover balance for the program. The estimate which is provided to DoD is used to offset the BRAC budget transfer to EPA for the upcoming fiscal year. Since we no longer have the liberty of using carryover to cover additional charges, the regions must be mindful of their BRAC spending.

The program has gone from a high of 143 FTE ($13M) being funded by DoD in 1998, to a level of 36 FTE ($5M) in 2010. As DoD resources for the BRAC program continue to dwindle, the regions are asked to keep a current ramp-down plan in place to ensure the protection of their BRAC personnel.

VIII.A.6 Cleanup Privatization at BRAC NPL SitesEPA recognizes that the privatization of the cleanup at BRAC sites can present an

opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provides another option to federal and state agencies and local communities to help maximize the impact of cleanup and redevelopment resources to help move properties back into productive reuse more quickly.

Privatization refers to a site where: 1) a non-federal party will take title to BRAC property; 2) the property will be transferred using CERCLA 120(h)(3)(C) early transfer, covenant deferral authority; and 3) the transferee, rather than the military, will conduct the cleanup using funding provided by the DoD. The DoD funding to the transferee is provided through an Environmental Services Cooperative Agreement (ESCA). Other documents that are typically required for such transfers include an amendment to the existing Federal FacilityAgreement. The amendment provides: that in the event the transferee defaults on the cleanup of the property or fails to meet the cleanup standards, the military is obligated to return and complete the cleanup; negotiation of an Administrative Order on Consent (AOC) with the non-federal entity who is to be responsible for the cleanup; and the issuance of a Finding of Suitability for Early Transfer (FOSET). Importantly, the AOC provides for continuing EPA and state oversight and the reimbursement of such oversight costs. (See the April 27, 2006, Interim Guidance for EPA's Base Realignment and Closure (BRAC) Program, at pages 18-21.) Early transfer covenant deferral requests seek deferral of the CERCLA 120(h)(3)(A)(ii)(I) deed covenant that all remedial action has been taken.

VIII.A.7 Military Munitions Response ProgramMillions of acres of former munitions use or manufacturing areas have been transferred

from DoD control to non-federal entities or other federal agencies to be used for other purposes (a large percentage of these properties now are identified as FUDS). DoD has an online inventory of munitions response sites (MRS) and associated acreage that are potentially contaminated. Furthermore, active military installations and installations affected by the BRAC program may have locations other than operational ranges contaminated with Munitions and Explosives of Concern (MEC) and Munitions Constituents (MC). While some MRS are fairly small (e.g., small arms ranges, burial pits and trenches), others may be dozens or even hundreds of square miles in area (e.g., former bombing ranges). In addition to MEC, these MRS may have soil, ground water, and surface water contamination from MC or other sources (including explosives and heavy metals, depleted uranium, and at a small number of sites, chemical warfare



agents (CWA) or chemical warfare materiel (CWM). The MC may derive from a number of sources. Such sources include: live-fire training or testing, low order detonations of munitions used in training or testing, open burning and open detonation (OB/OD) treatment/destruction activities, or munitions burial. Explosives safety (e.g., the potential for the detonation of MEC) is usually the principal concern during munitions response actions involving MEC.

The National Defense Authorization Act for FY 2002 (P.L. 107-107) directed DoD to develop and maintain an inventory of defense sites that are known or suspected to contain unexploded ordnance, discarded munitions or munitions constituents. The inventory published in the 2009 Defense Environmental Programs Annual Report to Congress contained 4,482 MRS at the end of FY 2010. The Handbook on the Management of Munitions Response Actions (May 2005, currently being updated) is designed to facilitate a common understanding of the state of the art of MEC detection and munitions response, and to present EPA guidance on the management of munitions response actions. The EPA Munitions Response Guidelines (July 2010) were developed to provide guidance to project managers overseeing munitions response actions at locations other than operational ranges where MEC/MC are suspected to be or have been encountered. Types of response actions include, but are not limited to, assessments, investigations and cleanups under the authorities of CERCLA, RCRA, and, where appropriate, response actions under other federal environmental authorities, such as the Safe Drinking Water Act (SDWA). The Guidelines may be useful in situations involving enforcement, permitting, and emergency or time critical actions where MEC/MC are involved. There are several ongoing collaborative efforts with DoD, states and others to address MRS issues. These include multi-agency munitions response policy workgroups, training programs, quality assurance/quality control requirements, and technology evaluations.

EPA FFRRO issued a memo to the regions on April 7, 2010 to clarify issues with the DoD Military Munitions Response Program (MMRP). In some situations, an MRS that is within the boundaries of an NPL site may not be currently included in the list of areas of concern, facility inventory, or other description of sites to be addressed under a FFA or other document providing for regulatory oversight (e.g., RCRA 7003 order). The MRS should be added to the FFA (or other oversight document) as soon as practicable together with an enforceable schedule of milestones, including primary and secondary documents. To resolve any disagreements that arise over adding the MRS, EPA regions should use the tools provided by the applicable FFA, including the Dispute Resolution process. Neither Congress' enactment of Defense Environmental Restoration Program (DERP) providing funds to address munitions, nor DoD's administrative creation of its MMRP to spend that money, exempts DoD from or alters CERCLA section 120 requirements. That includes the requirement for an FFA for any cleanup at a Federal Facility on the NPL.

VIII.A.8 Stakeholder InvolvementBy Executive Order, Federal Facilities have lead responsibilities for cleanup activities

under CERCLA. This means that they are responsible for implementing the full suite of community involvement activities that Superfund performs for private sites. Federal Facilities are required to staff this function with personnel who are knowledgeable about all aspects of public participation and who are authorized to encourage and support the public in becoming involved in the cleanup decision-making process through early and meaningful community involvement activities. In its regulatory role, Superfund provides oversight of this activity,



principally through its Community Involvement Coordinators (CIC). In the absence of an assigned CIC, the Superfund Remedial Project Manager is responsible to ensure early and meaningful public participation through all cleanup stages. In particular, Superfund staff will ensure that public participation documents, like the Proposed Plan, are of the highest quality in terms of clarity, completeness, ease of use and plain language. For DoD sites, Superfund staff will participate in Restoration Advisory Boards (RAB), offer Technical Assistance Grants at least yearly, remind the DoD facility to offer their Technical Assistance for Public Participation (TAPP) program to RAB members, assure that the facility updates its mailing list and provides frequent community update fact sheets, and approximately every two years, review the Community Involvement Plan (CIP) to determine the need for an update. For Department of Energy sites, the above applies, except that the stakeholder groups are called Site-specific Advisory Boards (SSAB).

VIII.B FEDERAL FACILITIES TARGETS AND MEASURES

VIII.B.1 Overview of Federal Facilities Targets and Measures

The following pages contain, in pipeline order, the definitions of Federal Facilities targets and measures. Exhibit VIII.1 displays the internal and external reporting hierarchy for the full list of Federal Facilities activities defined in this chapter.

Regions are responsible for entering data into CERCLIS for Non NPL Federal Facilitysites, especially BRAC Sites where regions are involved. This data includes, where appropriate, FUDS, PA, SI, removals, decision documents, acres transferred, etc.



EXHIBIT VIII.1A. FEDERAL FACILITIES NPL SITES

ACTIVITY External Program

Reporting


Federal Facility Agreement (FFA)/Interagency Agreement (IA) Measure

Remedial Site Assessment Completions

Annual Commitment

System (ACS), Strategic Plan

RI/FS or RCRA Facility Investigation (RFI) Starts Target

Decision Documents (RODs, ROD Amendments, ESDs, Action Memos) Target

Final Remedy Selected Target

Remedial Design (RD) or RCRA Corrective Measure Design (CMD) Starts Measure

Remedial Design or RCRA Corrective Measure Design (CMD) Completions Measure

RA or Corrective Measure Implementation (CMI) Starts Target

RA or Corrective Measure Implementation (CMI) Completions Target

Removal or RCRA Interim/Stabilization Measure (ISM) Starts Measure

Removal or RCRA Interim/Stabilization Measure (ISM) Completions Measure

Remedial Action Project Completions ACS

Migration of Contaminated Groundwater Under Control (EI) ACS

Human Exposure Under Control (EI) ACS,

Strategic Plan

Operation and Maintenance (O&M) Starts Measure

NPL Construction Completions (CC) ACS

Federal Facility Partial NPL Deletion (EI) Measure

Federal Facility Final NPL Deletion Measure

Federal Facility Five-Year Reviews (FYR) Target

Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) Measure

Technical Assistance Grants Measure

Site-wide Ready for Anticipated Use (SWRAU) ACS,

Strategic Plan

Protective for People Acres Measure

Ready for Anticipated Use Acres MeasureFor measures in italics: this edition of the SPIM includes a change in definition.

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in Agency’s Strategic Plan.Target = Superfund Comprehensive Accomplishment Plan (SCAP) target and reporting measure.Measure = SCAP reporting measure, but target not required.



EXHIBIT VIII.1B. FEDERAL FACILITIES BRAC SITES

ACTIVITYExternal Program

Reporting

Internal Program

Reporting


Federal Facility Dispute Resolution Measure

Use of Supplemental Environmental Projects (SEPs) Measure

RI/FS or RCRA Facility Investigation (RFI) Starts Measure

Decision Documents Measure

Final Remedy Selected Measure

ROD Amendment Measure

Explanation of Significant Difference (ESD) Measure

Remedial Design or RCRA Corrective Measure Design (CMD) Starts Measure

Remedial Design or RCRA Corrective Measure Design (CMD) Completion Measure

RA or Corrective Measure Implementation (CMI) Starts Measure

RA or Corrective Measure Implementation (CMI) Completion Measure



BRAC Construction Completions Measure


Federal Facility Five-Year Reviews Measure

Active Restoration Advisory Boards (RABs) Measure

Technical Assistance Grants (TAGs) Measure

Operating Properly and Successfully (TAGs) Measure

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in Agency FY11-FY15 Strategic Plan.Target = SCAP target and reporting measure.Measure = SCAP reporting measure, but target not required.



EXHIBIT VIII.1C. FEDERAL FACILITIES NON-NPL SITES

ACTIVITY External Program

Reporting

Internal Program

Reporting


RI/FS or RCRA Facility Investigation (RFI) Starts Measure

Decision Documents Measure

ROD Amendment Measure

Explanation of Significant Difference (ESD) Measure

Remedial Design or RCRA Corrective Measure Design (CMD) Starts Measure

Remedial Design or RCRA Corrective Measure Design (CMD) Completion Measure

RA or Corrective Measure Implementation (CMI) Starts Measure

RA or Corrective Measure Implementation (CMI) Completion Measure




Active Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) Measure

Technical Assistance Grants (TAGs) Measure

Key to Reporting HierarchyACS = Regional targets are established in Annual Commitment System.Strategic Plan = National target is publicly reported in Agency FY11-FY15 Strategic Plan.Target = SCAP target and reporting measure.Measure = SCAP reporting measure, but target not required.

VIII.B.2 Federal Facilities Site Discovery/Site Assessment Definitions

a. Site DiscoveryDefinition:Site discovery is the process by which a potential hazardous waste site is entered into the CERCLIS inventory for NPL assessment activities. The process typically starts when the facility has been listed on the Federal Agency Hazardous Waste Compliance Docket. NOTE: There may be instances when a facility included in the docket may not be listed in the CERCLIS database.

All sites moving through the NPL assessment process must have a Discovery action and actual completion date documented in CERCLIS. Entry of the site discovery date initiates the NPL assessment process and places the site on the FF Preliminary Assessment Review backlog.



Definition of Accomplishment:After the region determines the Federal Facility is a valid CERCLA site, the site discovery date for Federal Facilities is the date the site is formally added to the Federal Agency Hazardous Waste Compliance Docket. The Site Name and Discovery Date must be entered into CERCLIS for sites. Valid leads for site discovery actions include: Fund-Financed (F); EPA-In House (EP); State (S), Tribal (TR); and Federal Facility (FF).


Special Planning/Reporting Requirements:Actual start and planning dates are not required for the Discovery action. The Discovery date is entered through the Add Site screen. The Discovery date will automatically populate the actual completion date for the Discovery action. Regions are now required to enter information on site type at the time of discovery on the Add Site or Site Discovery/Initiation screen. Multiple discovery actions are not allowed. Site discovery is an internal program measure.

Note: There is a separate field in CERCLIS which records site initiation dates for removal-only sites. Sites that are subject only to removal interest generally do not require a discovery date. An exception is where a large scale removal action has been completed and the region seeks credit for a non-NPL site completion. Non-NPL site completions require site assessment review indicating the site has no further remedial actions planned. The discovery date for sites referred from removal to assessment should be the date the referral decision is made.



b. Federal Facility Preliminary Assessment ReviewsDefinition:Federal Facility Preliminary Assessment (PA) Review is a quality assurance review of a PA or PA-equivalent report submitted by another federal agency. EPA's role at Federal Facilities is to review PA reports developed and submitted by the federal agencies responsible for a given Federal Facility. EPA may also approve the review done by a state in lieu of its review. Upon reviewing the PA or PA-equivalent report for accuracy, completeness, and working with the other federal agency to address any deficiencies, EPA then determines what next steps are appropriate with respect to additional response



action. Guidance can be found on the Federal Facilities website (http://www.epa.gov/fedfac/) entitled "Federal Facilities Remedial Preliminary Assessment Summary Guide (July 21, 2005)."

There are instances when an Abbreviated Preliminary Assessment (APA) can be performed in lieu of a standard Preliminary Assessment (PA). The October, 1999 Abbreviated Preliminary Assessment fact sheet (OSWER 9375.2-09FS) provides information on conducting APAs and includes a checklist to help site assessors determine whether an APA report is appropriate for a given site. The checklist or an equivalent document can serve as documentation that the APA was completed. The APA checklist or equivalent report must address the requirements set forth in the NCP for conducting remedial preliminary assessments.

Once a Federal Facility site has been entered into the CERCLIS site inventory for remedial assessment, an APA may be performed if the site/release:

- is regulated under a statutory exclusion (e.g., petroleum); - is subject to certain limitations based on definitions in CERCLA (e.g., naturally

occurring substance in its unaltered form); - can be addressed as part of another site already in CERCLIS; - will be deferred to another program (e.g., RCRA, Nuclear Regulatory

Commission (NRC), EPA removal) based on existing policy considerations (follow-up confirmation of the deferral is required);

- requires no further remedial assessment; or - will require a Superfund site inspection.

Backlogs: The Federal Facility PA Review backlog consists of Federal Facility sites with a Non-NPL Status of FF-PA review needed or FF-PA review ongoing.

Definition of Accomplishment:Federal Facility PA Review Starts - A Federal Facility PA Review (Action Name =Federal Facility Preliminary Assessment Review) is started when the EPA starts an in-house review of the Federal Facility PA or PA-equivalent report, or sends a letter, form, or memo to the EPA contractor requesting review of the Federal Facility PA or PA-equivalent report, and CERCLIS contains the actual PA start date (Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).

Federal Facility PA Review Completions - A Federal Facility PA Review (Action Name= Federal Facility Preliminary Assessment Review) is completed when:

- The appropriate regional official signs a letter, form, or memo approving the PA report. The Federal Facility Preliminary Assessment Review actual completion date is the date the Federal Facility PA report is approved;

- CERCLIS contains the actual Federal Facility Preliminary Assessment Review completion date (Actual Complete) a lead and a decision on whether further activities are necessary in the Qualifier field; and




A valid decision must be recorded in CERCLIS upon completion of a Federal Facility PA Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this action and a description of each qualifier.

APA Completions - An Abbreviated Preliminary Assessment report at a Federal Facilityis tracked in CERCLIS by entering a Federal Facility PA Review action and selecting APA as a critical indicator on the Federal Facility PA Review action SCAP Information screen.


Special Planning/Reporting Requirements:Regions should attempt to complete PA reviews at Federal Facility sites listed in the CERCLIS inventory within a reasonable schedule upon receipt of a sufficient PA. PA review starts and completions are reported site-specifically in CERCLIS. Federal FacilityPreliminary Assessment Review starts and completions are internal program measures. If the Federal Facility PA report does not provide sufficient information to complete the PA, the report should be referred back to the Federal Facility (SubAction Name =Referred back to Fed Fac). The date the report is referred back to the Federal Facility is entered into CERCLIS as the actual completion date (Actual Complete) of the SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the Federal Facility Preliminary Assessment Review should not be entered until all the report deficiencies have been addressed.


APA reports are tracked in CERCLIS by entering a Federal Facility PA Review action and selecting APA as a critical indicator on the Federal Facility PA Review action SCAP Information screen.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on 10th business day following the end of FYQ4.)

c. Federal Facility SI ReviewsDefinition:Federal Facility Site Inspection Review is a quality assurance review of an SI or SI-equivalent report submitted by another federal agency. EPA=s role at Federal Facilities is



to review SI reports developed and submitted by the federal agencies responsible for a given Federal Facility response. Upon reviewing the SI or SI-equivalent report for accuracy, completeness, and working with the other federal agency to address any deficiencies, EPA then determines what next steps are appropriate. Guidance can be found on the Federal Facilities website (http://www.epa.gov/fedfac/) entitled "Federal Facilities Remedial Site Inspection Summary Guide (July 21, 2005)."

Backlogs: The Federal Facility SI Review backlog consists of sites with a Non-NPL Status of FF-SI review needed or FF-SI review ongoing.

Definition of Accomplishment:Federal Facility SI Review Starts - A Federal Facility SI Review (Action Name = Federal Facility Site Inspection Review) is started when the EPA starts an in-house review of the Federal Facility SI or SI-equivalent, and CERCLIS contains the actual SI start date (Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).

Federal Facility SI Review Completions - A Federal Facility SI Review (Action Name =Federal Facility Site Inspection Review) is completed when:

- The appropriate regional official signs a letter, form, or memo approving the SI report. The Federal Facility Site Inspection Review actual completion date is the date the Federal Facility SI report is approved;

- CERCLIS contains the actual Federal Facility Site Inspection Review completion date (Actual Complete) a lead and a decision on whether further activities are necessary in the Qualifier field; and


A valid decision must be recorded in CERCLIS upon completion of a Federal Facility SI Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this action and a description of each qualifier.


Special Planning/Reporting Requirements:Regions should attempt to complete SI reviews at Federal Facility sites listed in the CERCLIS inventory within a reasonable schedule upon receipt of a sufficient SI. SI review starts and completions are reported site-specifically in CERCLIS. Federal FacilitySite Inspection Review starts and completions are internal program measures.

If the Federal Facility SI report does not provide sufficient information to complete the SI, the report should be referred back to the Federal Facility (SubAction Name =Referred back to Fed Fac). The date the report is referred back to the Federal Facility is entered into CERCLIS as the actual completion date (Actual Complete) of the SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the



Federal Facility Site Inspection Review should not be entered until all the report deficiencies have been addressed.


Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10thbusiness day following the end of FYQ4.)

d. Federal Facility Expanded Site Inspection (ESI) ReviewsDefinition: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.

BacklogsThe Federal Facility ESI Review backlog consists of sites with a Non-NPL Status of FF-ESI review needed or FF-ESI review ongoing.

Definition of Accomplishment:Federal Facility ESI Review Starts - A Federal Facility ESI Review (Action Name =Federal Facility ESI Review) is started when the EPA starts an in-house review of the Federal Facility ESI or ESI-equivalent, and CERCLIS contains the actual ESI start date (Actual Start) and a valid action lead of Fund-Financed (F) or EPA-In House (EP).

Federal Facility ESI Review Completions - A Federal Facility ESI Review (Action Name= Federal Facility ESI Review) is completed when:

- The appropriate regional official signs a letter, form, or memo approving the ESI report. The Federal Facility Expanded Site Inspection Review actual completion date is the date the Federal Facility ESI report is approved;

- CERCLIS contains the actual Federal Facility Expanded Site Inspection Review completion date (Actual Complete) a lead and a decision on whether further activities are necessary in the Qualifier field; and




A valid decision must be recorded in CERCLIS upon completion of a Federal FacilityESI Review. Please refer to Exhibit V.3 in Chapter V for a list of valid qualifiers for this action and a description of each qualifier.


Special Planning/Reporting Requirements:Regions should attempt to complete ESI reviews at Federal Facility sites listed in the CERCLIS inventory within a reasonable schedule upon receipt of a sufficient ESI. ESI review starts and completions are reported site-specifically in CERCLIS. Federal FacilityExpanded Site Inspection Review starts and completions are internal program measures.

If the Federal Facility ESI report does not provide sufficient information to complete the ESI, the report should be referred back to the Federal Facility (SubAction Name =Referred back to Fed Fac). The date the report is referred back to the Federal Facility is entered into CERCLIS as the actual completion date (Actual Complete) of the SubAction, Referred back to Fed Fac. The actual completion date and qualifier for the Federal Facility Expanded Site Inspection Review should not be entered until all the report deficiencies have been addressed.



VIII.B.3 Federal Facilities Accomplishment Definitions

a. Base Closure Decisions: Start and CompletionsDefinition:A base closure action occurs when EPA is involved in either a CERCLA section120(h)(4) uncontaminated parcel CERFA determination, a Finding of Suitability to Transfer (FOST), a Finding of Suitability to Lease (FOSL), or a determination is made by EPA that an approved remedy is Operating Properly and Successfully (OPS) at BRAC locations pursuant to CERCLA section 120(h)(3). Under CERCLA section 120(h)(4), the military service must designate, and EPA/state is required to concur, on property that is uncontaminated. A FOST documents the conclusion that real property made available through the BRAC process is environmentally suitable for transfer by deed under the CERFA amendment to CERCLA. A FOSL documents that property at a BRAC location is environmentally suitable for lease, i.e., that the reuse does not impede the environmental response at the location and that the use of the property is limited to a



manner which will protect human health and the environment. Under CERCLA section120(h)(3), before property can be transferred by deed, the military service must demonstrate to EPA that the approved remedy is operating properly and successfully.

The phrase "operating properly and successfully" involves two separate concepts: operating "properly" is used if the remedy is operating as designed; operating "successfully" is used if the operation of the remedy will achieve the cleanup levels or performance goals for the particular contaminant delineated in the decision document. Where more than one remedial action is required for a parcel, all such actions must operate properly and successfully. Therefore, EPA interprets the term "operating properly and successfully" to mean that the remedial action was engineered and implemented and is functioning in such a manner that it is expected to achieve cleanup goals and adequately protect human health and the environment.

Definition of Accomplishment:Base Closure Decision Start Date: Date that a document is received by EPA that identifies a facility or a parcel as a candidate to be transferred by deed or lease (e.g., Environmental Baseline Study (EBS) submitted); or a clean parcel determination is received by EPA for concurrence as required by CERFA; or the date of the written request submitted by the other federal agency for concurrence on suitability to transfer or lease; or the date on which a written request for EPA concurrence is received that a 120(h)(3) remedy is operating properly and successfully.

Base Closure Decision Completion Date: The date the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review and provided comments or concurrence on the FOST or FOSL; or the date the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review of the demonstration that a remedy is operating properly and successfully for purposes of CERCLA section 120(h)(3); or the date the appropriate regional official signs a letter concurring on a clean parcel identified under CERFA. In addition to entering the date of completion, also enter the acreage covered by the Base Closure Decision Document.


Special Planning/Reporting Requirements:Regions may enter acreage information through the FOST or FOSL screens in CERCLIS.




b. Non-BRAC Property ActionsDefinition:A non-BRAC property transfer action occurs when EPA has reviewed and concurred on:

- The transfer of non-BRAC property from the federal government under CERCLA 120(h)(3)(A): A federal agency may request that EPA review and comment/concur on transfers under this section, however, EPA does not statutorily have to provide concurrence or comment for the transfer to occur, other than in instances where an OPS determination is required to be made prior to the transfer of deed.

- An early transfer under CERCLA 120(h)(3)(C): For facilities listed on the NPL, EPA is required to approve the deferral of the covenant found in CERCLA 120(h)(3)(A)(ii)(I) that all remedial action necessary to protect human health and the environment has been taken before the date of transfer. The EPA Early Transfer Guidance should be used to approve such requests.

- Provided an OPS determination pursuant to CERCLA 120(h)(3): Under CERCLA section 120(h)(3), before property can be transferred by deed, the federal department or agency must demonstrate to EPA that the approved remedy is operating properly and successfully.

- Provided a concurrence to DOE for the lease of property on the NPL under the Hall Amendment: Leasing of real property at DOE weapons production facilities that are either being closed or reconfigured is subject to the requirements of the Hall Amendment under the following conditions: 1) the Hall Amendment is the authority invoked for a lease, and 2) the real property to be leased is on the NPL. In these cases, DOE must request the concurrence of the EPA Regional Administrator for the proposed lease. DOE may lease if EPA concurs within 60 days or EPA fails to respond to DOE's concurrence request after 60 days. The Joint DOE/EPA Interim Policy Statement on Leasing Under the Hall Amendment (1998) governs these leases.

- Made a CERCLA 120(h)(4) uncontaminated parcel determination: Under the CERFA amendment to CERCLA section 120(h)(4), the federal department or agency must designate, and EPA is required to concur, on property that is a part of a facility listed on the NPL that is uncontaminated. For property not closed or realigned pursuant to a base closure law, the identification and concurrence is required to be made at least six months before the termination of operations on the facility.

Definition of Accomplishment:Non-BRAC Property Action Start Date: Date of a written request submitted by the other federal agency for EPA concurrence on suitability to transfer, including early transfers, or lease; or a clean parcel determination is received by EPA for concurrence as required by CERFA; or, the date on which a written request for EPA concurrence is received that a 120(h)(3) remedy is operating properly and successfully.

Non-BRAC Property Action Completion Date: The date the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review and



provided comments or concurrence on the transfer or leasing document(s); or the date the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review of the demonstration that a remedy is operating properly and successfully for purposes of CERCLA section 120(h)(3); or the date the appropriate regional official signs a letter concurring on a clean parcel identified under CERFA. In addition to entering the date of completion, also enter the acreage covered by the property action.


c. Federal Facility Agreement (FFA)/Interagency Agreement (IA)Definition:FFAs/IAs are legal agreements between federal agencies responsible for cleanup, EPA, and the states. A state elects whether to participate in FFA/IA negotiations. FFA/IAs set forth detailed requirements for performance of site response activities as well as penalties for non-compliance with the FFA/IA. The FFA/IA requirement is set forth in section120(e) of CERCLA. Such agreements are required at NPL facilities no later than sixmonths after the first ROD is signed at the facility.

Definition of Accomplishment:FFA/IA Start Date: Date notice letter is sent by EPA to the Federal Facility, reported inCERCLIS as the actual start date (Actual Start) of FFA/IA negotiations (Action Name =IAG Negotiation).

FFA/IA Completion Date: The date that the federal agency, EPA, and/or state sign the FFA/IA. This date must be reported in CERCLIS as the actual completion date (Actual Complete) of the FFA/IA (Action Name = Federal Interagency Agreements).


Special Planning/Reporting Requirements:FFA/IA starts will be tracked as IA negotiations (Action Name = IAG Negotiation). FFA/IA completions will be tracked as the completion (Actual Complete) of the FFA/IA (Action Name = Federal Interagency Agreement). For those FFAs/IAs that are elevated for dispute resolution, record the date elevated as the actual completion date of the SubAction 'IAG Dispute Admin Referral' and not as the FFA/IA completion date. Regions do not receive credit for FFA/IA completion when the FFA/IA is elevated to HQfor dispute resolution. This is an internal program measure.





d. Federal Facility Dispute ResolutionDefinition:When the federal agency, state, and/or EPA make an effort to formally resolve a FFA/IA dispute after the FFA/IA is signed.

Definition of Accomplishment:Dispute Resolution Start Date: Date that any party to the FFA/IA sends a letter to the other parties notifying them as to the issue in dispute. This is reported in CERCLIS as the actual start date (Actual Start) of dispute resolution (Action Name = Alternative Dispute Resolution).

Dispute Resolution Completion Date: Date the document resolving the issue is signed (e.g., letter of agreement, agreement document). This is reported in CERCLIS as the actual completion date (Actual complete) of dispute resolution (Action Name =Alternative Dispute Resolution).


Special Planning/Reporting Requirements:Federal Facility Dispute Resolution is reported in CERCLIS as Alternative Dispute Resolution (Action Name = Alternative Dispute Resolution) with a Federal Facility (FF)lead. This is an internal program measure.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for thequarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

e. Use of Supplemental Environmental Projects (SEPs)Definition:SEPs are environmentally beneficial projects which a federal agency agrees to undertake to mitigate a monetary penalty, but which the violator is not otherwise legally required to perform. Consistent with EPA's SEP Policies, the SEP could be for public health, pollution prevention, pollution reduction, environmental restoration and protection, assessments and audits, environmental compliance promotion, emergency planning and preparedness, or other program-specific projects.



Definition of Accomplishment:The date of agreement between EPA and a federal agency to implement a SEP is reported in CERCLIS as the SubAction 'Supplemental Envir Projects.' Actions a SEP can be associated with include AOCs, Consent Decrees, and RCRA CMDs. The estimated dollarvalue of the SEP must also be entered.


Special Planning/Reporting Requirements:This is an internal program measure. Both the number of SEPs and their estimated value will be tracked. The estimated value of the SEP is reported on the Penalty/SEP screen in the Federal Facilities module in CERCLIS.


f. Remedial Investigation/Feasibility Study (RI/FS) or RCRA Facility Investigation (RFI) Starts

Definition:The RI/FS is a CERCLA investigation designed to characterize the site, assess the nature and extent of contamination, evaluate potential risks to human health and the environment, and develop and evaluate potential remedial alternatives. A RFI is a RCRA investigation designed to evaluate thoroughly the nature and extent of the release of hazardous wastes and hazardous constituents and to gather necessary data to support the Corrective Measure Study (CMS) and/or Interim/Stabilization Measure (ISM).

Definition of Accomplishment:The RI/FS (Action Name = FF RI/FS or FF RI) or RFI (Action Name = RCRA Facility Investigation) start is defined as follows:

- Sites where there has been no RI/FS or RFI work started prior to the effective date of the FFA/IA, the actual start date (Actual Start) is the EPA or state receipt of a draft work plan for the RI/FS or RFI; or

- Sites where RI/FS or RFI work has been started prior to the FFA/IA effective date and there has been substantial EPA or state involvement (EPA or the state has reviewed and commented, approved/concurred, or accepted the work plan), the actual start date (Actual Start) is also the date of receipt of a draft RI/FS or RFI work plan (Note: this date will be prior to IA completion date); or

- Sites where RI/FS or RFI work starts prior to the FFA/IA effective date and there has been limited EPA or state involvement, the date of the RI/FS or RFI actual



start date (Actual Start) is the latter date that EPA or the state and the other agency sign the FFA/IA.


Special Planning/Reporting Requirements:This is an internal program target and measure.


g. Timespan from Final NPL Listing To RI/FSDefinition:SARA section 120(e) states, "not later than six months after the inclusion of any facility on the NPL, the department, agency, or instrumentality shall commence an RI/FS for such facility." This measure calculates the days and the time frame from final NPL Listing to the first RI/FS start. Sites with time frames greater than 180 days will bedeemed not to have met this requirement.

Definition of Accomplishment:This measure will calculate, by site, the interval between final NPL listing (publication of final listing in the Federal Register) and the actual date for the first RI/FS start. The timespan will be calculated based on the RI/FS start definition outlined above and the final NPL listing (Action Name = Final Listing on NPL) actual completion date (Actual Complete).


Special Planning/Reporting Requirements:This is a Management reporting tool. Data in CERCLIS will be used to calculate the timespan on an annual basis. HQ will perform the analysis at the end of the fiscal year.

h. Decision DocumentsDefinition:Upon completion of a Federal Facility RI/FS, CMS, or Engineering Evaluation/Cost Analysis (EE/CA), the federal agency selects a remedy that is presented in a cleanup decision document (e.g., ROD, RCRA Statement of Basis/Response to Comments, Action Memo, Removal Action Decision Document, ROD Amendment or Explanation of Significant Differences (ESD)). EPA may either approve or concur on the remedy



selection or, in the case of a dispute, EPA may select the remedy. For EPA, this authority has been delegated to the Regional Administrator or her/his delegate.

Definition of Accomplishment:Date (Actual Complete) the ROD (Action Name = Record of Decision), the appropriate RCRA Statement of Basis/Response to Comments (Action Name = RCRA SB/RTC), Action Memo (Action Name = Record of Decision and SubAction Name = Approval of Action Memo), Removal Action Decision Document (Action Name = Removal Action Decision Doc), ROD Amendment (Action Name = Record of Decision and SubAction Name = ROD Amendment) or Explanation of Significant Differences (Action Name =Record of Decision and SubAction Name = Explanation of Significant Diff) or is signed by the Regional Administrator or delegate, or the date of EPA concurrence/approval on the clean-up decision document pursuant to FFA/IA or other enforceable decision document, or the date of EPA’s letter of concurrence.


Special Planning/Reporting Requirements:This is an internal program target and measure. One ROD document equals one ROD target completion, even if the ROD covers multiple OUs. All RODs, regardless of remedial actions chosen, are entered into CERCLIS as a normal ROD action. HQ's ROD data entry contractors will enter in the associated ROD action information.

For "No Action RODs", the regions should not enter a Remedial Design (RD) followinga "No Action ROD". Furthermore, the region should not enter a Remedial Action following a "No Action ROD". For RODs which choose limited actions (i.e. institutional controls only), the regions should not enter a Remedial Design for these RODs. However, the regions should enter a Remedial Action on the project schedule with the Critical Indicator of "Limited Action".


i. Final Remedy SelectedDefinition:This measure will track the Final Remedy Selected at NPL Sites. A Final Remedy Selected occurs when a final decision has taken place at a site (i.e. the final remedy has been selected at the last OU of a site). This can include the signature of the Final ROD, ROD Amendment or Removal Action at a site. In general, an Explanation of Significant Differences (ESD) will not constitute a Final Remedy Selected since ESD’s document a non-fundamental change to a remedy. Also, a partial deletion from the NPL does not



constitute a Final Remedy Selected since it does not constitute a final decision for the entire site.

Definition of Accomplishment:Credit under CERCLA for a Final Remedy Selected is received when:

- A site has a Final ROD or ROD Amendment and no existing planned ROD, ROD Amendment, Removal Action Memorandum, RI/FS or EE/CA. The date the designated regional official or the AA OSWER signs the ROD at a site for each RA is reported in CERCLIS as the ROD (Action Name = Record of Decision) completion date (Actual Complete); or

- Site has a Removal Action Memorandum and no existing planned ROD, RI/FS, EE/CA or planned action memorandum.

- Site is Construction Complete as documented by the actual completion date (Actual Complete) of the Preliminary Close-Out Report (Action Name = Prelim Close-Out (PCOR) Rep Prepared), or the actual completion date (Actual Complete) of the Final Close-Out Report (Action Name = Close-Out Report) and HQ has entered the Construction Completion indicator in CERCLIS and no future ROD, ROD Amendment, Action Memorandum, RI/FS or EE/CA is planned. (The Final Remedy Selected designation may only be applied to the PCOR if there is no previous ROD, ROD Amendment, or Action Memorandum that constitutes the final decision.)

- Site has been deleted from the NPL (Action Name = Final Deletion from NPL), which is documented when the Notice of Deletion is published in the Federal Register and no future ROD, ROD Amendment, Action Memorandum, RI/SF or EE/CA is planned. (The Final Remedy Selected designation may be applied to the Final Notice of Deletion if there is no PCOR and if there is no previous ROD, ROD Amendment or Action Memorandum that constitutes the final decision.)




j. ROD AmendmentsDefinition: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.

Definition of Accomplishment:ROD Amendment: the date (Actual Complete) the ROD Amendment (Action Name =Record of Decision and SubAction Name = ROD Amendment) is signed by the Regional Administrator or delegate, or the date of EPA concurrence/approval on the cleanup decision document pursuant to FFA/IA or other enforceable decision document, or the date of EPA's letter of concurrence.


Special Planning/Reporting Requirements:ROD Amendments count towards the Program Target for Decision Documents.


k. Explanation of Significant Differences (ESD)Definition:An Explanation of Significant Differences (ESD) documents significant changes to a Record of Decision (ROD). Significant changes generally involve a change to a component of a remedy that does not fundamentally alter the overall cleanup approach.

Definition of Accomplishment:Explanation of Significant Differences: the Date (Actual Complete) the ESD (Action Name = Record of Decision and SubAction Name = Explanation of Significant Diff) is signed by the Regional Administrator or delegate, or the date of EPA concurrence/approval on the clean-up decision document pursuant to FFA/IA or other enforceable decision document, or the date of EPA's letter of concurrence.


Special Planning/Reporting Requirements:ESD’s count towards the Program Target for Decision Documents.




business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of FYQ4.)

l. Remedial Design (RD) or RCRA Corrective Measure Design (CMD)Definition:The RD is a CERCLA design that establishes the general size, scope, and character of a project, and details and addresses the technical requirements of the RA selected in the ROD. The RD may include, but is not limited to, drawings, specification documentation, and statement of bidability and constructability. The CMD is a RCRA design that establishes the general size, scope, and character of a project, and details and addresses the technical requirements of the CMD selected in the RCRA Corrective Measure decision document. The CMD may include, but is not limited to, drawings, specification documentation, and statement of bidability and constructability. A RD or CMD is complete when the plans and specifications for the selected remedy are developed and approved.

Definition of Accomplishment:RD Start - If post-ROD, the RD (Action Name = FF RD) or CMD (Action Name =Corrective Measure Design) start date (Actual Start) is the date of submission of the RD or CMD work plan or other appropriate documents or statement of work. If work begins prior to the ROD, the RD or CMD actual start date (Actual Start) will be the ROD signature date or submission date of RD or CMD work plan or any other major deliverable (e.g., 30% design complete).

RD Completion – RDs and CMDs are considered complete the date a letter is signed by the appropriate regional official approving the entire final RD or CMD package. If EPA does not approve the final RD or CMD package, the RD or CMD is considered complete the date of the Commerce Business Daily (CBD) or other appropriate publication requesting bids on the final RD or CMD package. This date is reported in CERCLIS as the actual completion date (Actual Complete) of the RD (Action Name = FF RD) or CMD (Action Name = Corrective Measure Design).


Special Planning/Reporting Requirements:This is an internal program measure.




m. Duration of ROD to IA Negotiation CompletionDefinition:The objective of this measure is to focus attention on the statutory requirement for an IA to be entered into within 180 days after signature of the ROD. SARA section 120(e) (2) states that "within 180 days (after signature of the ROD), the head of the department, agency, or instrumentality concerned shall enter into a IA with the administrator for the expeditious completion by such department, agency, or instrumentality of all necessary remedial action at such facility." This measure tracks compliance against the CERCLA section 120 statutory requirements.

Definition of Accomplishment:The duration of ROD to IA will be calculated based on the actual completion date of the ROD (Action name = Record of Decision) and the latter of the dates that the federal agency, EPA, and/or state sign the IA, or the date the Letter of Intent to sign an IA is signed by all parties, as reported in CERCLIS as the actual completion (Actual Completion) of FFA/IA negotiations (Action Name = IAG Negotiation).


Special Planning/Reporting Requirements:This is a Management reporting tool. Data in CERCLIS will be used to calculate the timespan.


n. Remedial Action (RA) or RCRA Corrective Measure Implementation (CMI) Starts

Definition:A RA or CMI is the implementation of the remedy selected in the ROD or appropriate RCRA corrective measure decision document at NPL sites to ensure protection of human health and the environment.

Definition of Accomplishment:Date on which substantial, continuous, physical, on site, remedial actions begin (pursuant to SARA section 120(e)) as documented by a memo or letter to EPA. This date is reported in CERCLIS as the actual RA (Action Name = FF RA) or CMI (Action Name =Corrective Measure Implementation) start date (Actual Start).






o. Timespan from ROD Signature to RA StartDefinition:The objective of this measure is to focus attention on the statutory requirement for an RA start within 15 months of the ROD signature.

SARA section 120(e) states that "substantial, physical, on site remedial action shall be commenced at each Federal Facility no later than 15 months after completion of the investigation and study." This measure tracks compliance against the CERCLA section120 statutory requirements.

Definition of Accomplishment:This measure will look at federal agency performance by comparing the average timespan from ROD signature to RA start for all sites where a RA actually started in FY 08/09. Sites exceeding the 15 month requirement will be identified. Comparisons will be made to previous Agency performance to determine trends.

The durations will be calculated using the actual ROD (Action Name = Record of Decision) completion date (Actual Complete) and the actual RA (Action Name = FF RA) start date (Actual Start) in CERCLIS. The ROD signature and RA start definition contained in Decision Documents and RA or Corrective Measure Construction Starts, respectively, will be used in the analysis.


Special Planning/Reporting Requirements:This is a Management reporting tool. Data in CERCLIS will be used to calculate the timespan from ROD signature to RA or CMI completions.

p. RA or CMI CompletionsDefinition: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.



Definition of Accomplishment:The RA or CMI is complete the date that the designated regional official (Branch Chief or above, as determined by the EPA region) approves in writing the RA Report or signs the report or appropriate CMI reporting vehicle for the RA or CMI that documents the completion of construction activities. In lieu of a report from the contractor’sconstruction manager, the region must prepare a report to document the completion. The approval can be provided with an appropriate signature on the RA Report cover sheet or by letter to the originator of the RA Report. The appropriate date must be recorded in CERCLIS as the actual completion date (Actual Complete) of the RA (Action Name =FF RA) or CMI (Action Name = Corrective Measure Implementation).

Examples of Remedial Action completions and criteria for EPA approval of an RA Report may be found in Chapter 2 of the Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Changes in Definition:Minor edits made in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The revised guidance no longer distinguishes between Interim and Final RA Reports.

Special Planning/Reporting Requirements:This is a program target. RA or CMI (Action Name = FF RA or Corrective Measure Implementation) completions are reported site specifically in CERCLIS. Beginning in FY 2011, the Superfund program began reporting “Remedial Action Project Completions” as a key program measure with an annual target. The measure includes Fund, Potentially Responsible Party (PRP) (including Special Account-funded) and Federal Facility RA completions at final and deleted NPL sites. The new measure is intended to augment the existing site-wide Construction Completion measure and reflect the large amount of work being done at Superfund sites. Reporting on the new measure will provide valuable information to communities by demonstrating incremental progress in reducing risk to human health and the environment at sites.




EXHIBIT VIII.2. REMEDIAL PIPELINE FLOW CHARTS

q. Removal or RCRA Interim/Stabilization Measure (ISM) Starts and CompletionsDefinition: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.



Definition of Accomplishment:Removal/ISM Start Date: Date the federal agency begins actual on site removal work, or the date of Action Memorandum signature, or the date the lead federal agency provides notice to EPA, or other decision document signature/approval. The date must be reported in CERCLIS as the actual start date (Actual Start) of the removal (Action Name = FF Removal) or ISM (Action Name = RCRA Interim/Stabilization Measure).

Removal/ISM Completion Date: Actual date the federal agency has demobilized and notified EPA, completing the scope of work delineated in the Action Memorandum or other decision document. The date must be reported in CERCLIS as the actual completion date (Actual Complete) of the removal (Action Name = FF Removal), or ISM (Action Name = RCRA Interim/Stabilization Measure).




r. Migration of Contaminated Ground Water Under ControlDefinition:The Migration of Contaminated Ground Water Under Control indicator assesses whether ground water contamination is below protective, risk-based levels or, if not, whether the migration of contaminated ground water is stabilized and there is not unacceptable discharge to surface water and monitoring will be conducted to confirm that affected ground water remains in the original area of contamination. This indicator is limited to sites with known past and/or present ground water contamination.

The Summary of Key Existing EPA CERCLA Policies for Groundwater Restoration(OSWER 9283.1-33, June 26, 2009) provides a compilation of some key existing EPA groundwater policies to assist EPA regions in making groundwater restoration decisions pursuant to CERCLA and the NCP. In addition, by providing this information in a single document, it may serve to enhance the transparency and understanding, by the public, state regulators and others, of EPA's clean up decisions related to groundwater. This memorandum brings together and highlights some of the basic principles related to groundwater restoration that are articulated in multiple existing Agency guidance documents, including those related more generally to cleanup actions.



Definition of Accomplishment:The criteria for determining if ground water migration is controlled are found in Migration of Contaminated Ground Water Under Control Survey (refer to Exhibit VIII.3), the Environmental Indicators Guidance Manual, the Long-Term Human Health Protection Data Quality Objectives document, and on the Superfund Environmental Indicators Website.


Special Planning/Reporting Requirements:The Migration of Contaminated Ground Water Environmental Indicator worksheet must be completed in CERCLIS and/or reviewed by October 7th of each year to reflect the status at each site as of the end of the prior fiscal year (Program Management/Environmental Indicators). If there is a known change in Ground Water Management (GM) status, CERCLIS should be updated within 10 days. This is a key program target and measure; the program reports accomplishments to external parties.




EXHIBIT VIII.3. SUPERFUND MIGRATION OF CONTAMINATED GROUND WATER UNDER CONTROL WORKSHEET

Definition : Is the migration of contaminated ground water being controlled through engineered or natural processes?

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?

y Yes

Insufficient 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

Data/No been considered in this evaluation?


+ Yes

Step 2. Is ground water known or reasonably suspected to be "contaminated" above

Insufficient appropriately protective risk-based "levels" (applicable promulgated standards, as

Data well as other appropriate standards, guidelines, or criteria) as a result of a release from the site?


+ Yes

Step 3. Is the migration of contaminated ground water stabilized (such that

Insufficient contaminated ground water is expected to remain within "existing area of

Data contaminated ground water") as defined by the monitoring locations designated at the time of this evaluation?


Insufficient + Yes

Data Step 4. Does "contaminated" ground water discharge into surface water bodies?


+ Yes

Step 5. Can the discharge of "contaminated" ground water into surface water be Insufficient shown to be "currently acceptable" as defined (i.e. , not cause unacceptable impacts

Data to surface water, sediments, or ecosystems that should not be allowed to continue until a final remedy decision can be made and implemented)?


+ Yes

Insufficient Step 6. Will ground water monitoring/measurement data (and surface water/ Data 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?


+ Yes

Insufficient Data to Determine

Contaminated Ground Water Migration

Under Control Status

Contaminated Ground Water

Migration Under Control

No

No _____..

No

No -

..___ No

Stop, n

you do not eed to plete the com

GM El

Conta Groun

minated d Water n Under

ntrol Mig ratio

Co

No

Contaminated Ground Water Migration Not Under Control



s. Human Exposure Under Control IndicatorDefinition:The Human Exposure Under Control Environmental Indicator documents the progress achieved towards providing long-term human health protection by measuring the incremental progress achieved in controlling unacceptable human exposures at a site. In general, sites may be brought Under Control by the following methods:

- Reducing the level of contamination. For purposes of this policy, "contamination" generally refers to media containing contaminants in concentrations above appropriate protective risk-based levels associated with complete exposure pathways to the point where the exposure is no longer "unacceptable;" and/or

- Preventing human receptors from contacting contaminants in-place; and/or - Controlling human receptor activity patterns (e.g., by reducing the potential

frequency or duration of exposure).

Five categories have been created to describe the level of human health protection achieved at a site:

- Insufficient data to determine human exposure control status; - Current human exposures not under control; - Current human exposures under control; - Current human exposures under control and protective remedy or remedies in

place; and - Current human exposures under control, and long-term human health protection

achieved.

The Human Exposure (HE) evaluation reflects current, site-wide conditions. For sites that have been categorized as current human exposures under control and long-term human health protection achieved, it also reflects reasonably anticipated future, site-wide conditions. As data collection and analysis or response actions occur or environmental conditions change, it is expected that regions will update HE evaluations and update CERCLIS to reflect changes in status.


The criteria for determining the status of long-term human health protection at a site are found in the Superfund Environmental Indicators Guidance Human Exposures Revisions March 2008, http://www.epa.gov/superfund/accomp/ei/pdfs/final_ei_guidance_march_2008.pdfthe Long-Term Human Health Protection Data Quality Objectives document, and on the Superfund Environmental Indicators Website.




Special Planning/Reporting Requirements:The Long-Term Human Health Protection worksheet must be completed in CERCLIS and/or reviewed by October 7th of each year to reflect the status at each site as of the end of the prior fiscal year (Program Management/Environmental Indicators). If there is known change in the status of the site, update the "Last Review Date" in CERCLIS on the HE tab in the Environmental Indicators module within 10 days of the review. This is a key program target and measure; the program reports accomplishments to external parties.




EXHIBIT VIII.4. SUPERFUND LONG-TERM HUMAN HEALTH PROTECTION WORKSHEET

No

..

I . Is there sufficient known and reliable infom1ation to No Insufficient Data to make an evaluation on human exposure at this s ite? .. Determine Human - Exposure Control Status

Response: (HElD)

Yes r

2. Have all long-term human exposure-related cleanup Current Human

Yes Exposures Under Contro l goals been met for the enti re site? .. and Long-Term Human

Response: Health Protection Achieved (HHPA)

No

3. Are there complete human exposure pathways Resulting Current Human Expos between contaminated ground water, so il , surface

water, sediment or air media and human receptors Evaluation: such that exposure can be reasonably expected under current conditions?

Response:

Yes

r

4. Are the actua l or reasonable expected human exposures assoc iated with the complete pathways No Current Human ident ified in Step 3 within acceptable limits under .. Exposures Not Under curTent conditions? - Control (HEN C)

Response:

Yes Current Human ... Exposures Under Contro l If one or

. (HEUC)

r more criteria from

5. Is the site Construction Complete, is the remedy Step 5 are operating as intended, and are engineering and not met inst itutional controls (if required), in place and effective?

I fall Current Human

Response: criteria ... Exposures Under Contro l from Step 5 . and Protect ive Remedies

are met in Place (HEPR)

6. Are there continuing exposures at the s ite? Answer "Yes" only if EPA (or a state or PRP) has exhausted all response act ions and legal authorities to prevent unacceptable human exposures, yet exposures continue due to a refusal by the property owner(s) to partic ipate in the remedy (e.g., refusal to accept a municipal water supply hookup) AND the region wishes to exercise its discretion to c lassify this s ite as Human Exposure Under Control, consistent with the requirements laid out in the Superfund Environmental Indicators Guidance (OSWER 9285.02, March 2008, pages 4-10 and 4- 11).

Response: ______ _

ure



t. Operation and Maintenance (O&M)Definition:O&M are the activities required to maintain the effectiveness or integrity of the remedy including institutional controls. Except in the case of groundwater or surface restoration remedies, including monitored natural attenuation, O&M measures are initiated after cleanup goals are achieved, and the remedy is operating as intended. In the case of groundwater or surface water restoration remedies, including monitored natural attenuation, O&M measures are initiated when the remedy is operating as intended.

O&M (Action Name = Operations and Maintenance) starts when the designated EPA regional official (Branch Chief or above, as determined by the EPA region) approves in writing the Remedial Action Report.

Where appropriate, the completion of O&M is defined as the date (actual complete) specified in the FFA/IA. If O&M must be conducted indefinitely, regions should not enter as actual completion date.




u. Cleanup Goals AchievedDefinition:This measure is used to indicate when cleanup objectives are achieved for groundwater and surface water restoration, including monitored natural attenuation. It tracks achievement of cleanup objectives for these remedies because they have not yet achieved cleanup objectives at Remedial Action completions.




Cleanup goals are achieved when valid monitoring data are obtained that clearly demonstrates restoration goals have been achieved (e.g., routine O&M report).

Changes in Definition:

Minor edits made in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011). The revised guidance no longer distinguishes between Interim and Final RA Reports; therefore a Final RA Report is not needed to document achievement of restoration goals.

Special Planning/Reporting Requirements:Cleanup Objectives Achieved is planned on an action specific basis (Action Name =Operations & Maintenance and SubAction Name = Cleanup Goals Achieved) in CERCLIS. This activity may be tracked by HQ for program management purposes, but it is not a program target or measure.


v. NPL Site Construction CompletionsDefinition:Construction at a NPL site is considered complete when physical construction iscomplete for the entire site as a result of one or several removal or remedial actions; and a Preliminary or Final Close Out Report (PCOR or FCOR) has been signed by the designated regional official and concurred with by HQ. The report must address construction activities for the entire site. There is only one NPL site construction completion per NPL site, and the site must be final on the NPL. For more detailed information, see Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Definition of Accomplishment:The Construction Completion designation requires that the remedy is documented in a final ROD, physical construction of the remedy is complete, a pre-final inspection has been conducted and only minor punch list items remain, and the designated regional official has signed the PCOR.

Construction Completion is achieved when the region enters the signature date (Actual Complete) of the PCOR into CERCLIS (Action Name = Prelim Close-Out Rep Prepared) and HQ selects the appropriate special initiative indicator in CERCLIS (Indicator Name =Construction Completion). This action constitutes HQ concurrence with the construction completion documentation. EPA is responsible for documenting Construction Completion; therefore all PCOR actions are given a Fund-financed lead code.



If a site meets both the Construction Completion and Site Completion criteria simultaneously, then a PCOR is not needed. In this situation, a Final Close Out Report may be prepared in order to satisfy documentation requirements for both milestones. The same CERCLIS rules apply for the signature date (Actual Complete) of the FCOR (Action Name = Close Out Report) and HQ selection of the special initiative indicator.

In some rare instances, NPL sites may be addressed entirely under removal authority. In such instances, the site is likely to achieve CC and site completion at the same time. The RPM (or On-Scene Coordinator (OSC)) should document in the final Pollution Report (POLREP) that the contractor has completed all removal actions and demobilized from the site. The RPM (or OSC) should then prepare an FCOR to document construction completion (and simultaneous site completion).

Changes in Definition:Updated in order to improve consistency with the revised guidance Close Out Procedures for National Priorities List Sites (OSWER 9320.2-22, May 2011).

Special Planning/Reporting Requirements:Regions will not receive credit for an NPL Site Construction Completion until the actual completion date of the Preliminary or Final Close-Out Report is entered into CERCLIS, the necessary documentation is submitted to HQ, and HQ enters the construction completion indicator into CERCLIS. Construction Completion is a key program target and measure; the program reports accomplishments to external parties.


w. Federal Facility Partial NPL DeletionDefinition:To support revitalization and other efforts, EPA will consider partial deletion for portions of sites when no further response is appropriate for that portion of the site. Such portion may be a defined geographic unit of the site, perhaps as small as a residential unit, or maybe a specific medium at the site (e.g., groundwater), depending on the nature or extent of the release(s). The criteria for partial deletion are the same as for final deletion. Given state concurrence, EPA considers:

- Whether responsible federal agencies or other parties have implemented all appropriate and required response actions;

- Whether all appropriate Fund financed responses under CERCLA have been implemented and EPA has determined that no further cleanup by responsible parties is appropriate; or



- Whether the release of hazardous substances poses no significant threat to the public health, welfare or the environment, thereby eliminating the need for remedial action.

The partial deletion action should be used only when the deletion does not address allreleases listed on the NPL. If a deletion does cover the remaining release listed on the NPL, the action should be treated as a Final NPL Deletion (Action Name = Deletion from NPL), discussed below.

Definition of Accomplishment:The partial NPL deletion process begins when a Notice of Intent to Partially Delete (Action Name = Notice of Intent to Partially Delete) is published in the Federal Registerfor the specified portion of a site on the NPL. Notice of Intent to Partially Delete is completed (Actual Complete) the day the Federal Register is published. If the Direct Final Process for Partial Deletions is used, the process begins when the Direct Final Action Notice is published in the Federal Register (Action Name = Notice of Intent to Partially Delete).

The partial NPL deletion process (Action Name = Partial NPL Deletion) is complete (Actual Complete) when the Notice of Partial Deletion is published in the Federal Register for the specified portion of a site on the NPL. If the Direct Final Process for Partial Deletions is used and the comment period has ended with no adverse comments, the actual completion (Actual Complete) is the effective date of deletion specified in the Direct Final Action Notice.

Start dates are not required for either the Notice of Intent to Partially Delete (NOIPD) or the Partial NPL Deletion actions. HQ will enter the Actual Complete dates for the Partial NPL Deletion Action and the Notice of Intent to Partially Delete Action into CERCLIS upon publication of the notices in the Federal Register.

HQ will enter the Partial Deletion and the Notice of Intent to Partially Delete from the NPL actions and the completion dates into CERCLIS.



Special Planning/Reporting Requirements:Partial NPL deletions are tracked separately from final NPL deletions (Action Name =Deletion from NPL). Partial site deletions will be entered by HQ if a portion, or portions, of the release remain listed on the NPL following completion of the partial deletion.

Partial deletions will only be coded at specific Operable Units (OUs) when a single OU is subject to the partial deletion and the particular OU is specified in the Notice of Intent to Partially Delete in the Federal Register. Partial deletion actions that address multiple



OUs or areas that do not directly correspond to a specific OU will be coded at OU00 (sitewide).

A site deletion (Action Name = Deletion from NPL) will be entered by HQ if the deletion activity addresses all remaining releases listed on the NPL (either as a one-time deletion action for the entire site as originally listed, or as the last deletion activity associated with a site subject to previous partial deletions). This is an internal program measure.


x. Federal Facility Final NPL DeletionDefinition:With state concurrence, EPA may delete sites from the NPL when it determines that no further response is appropriate under CERCLA. In making that determination, EPA considers:

- Whether responsible federal agencies or other parties have implemented all appropriate and required response actions;

- Whether all appropriate Fund financed responses under CERCLA have been implemented and EPA has determined that no further cleanup by responsible parties is appropriate; or

- Whether the release of hazardous substances poses no significant threat to the public health, welfare or the environment, thereby eliminating the need for remedial action.

EPA will consider deleting the entire site or portions of sites from NPL, as appropriate. EPA will consider partial deletion for portions of sites when no further response is appropriate for that portion of the site. Such portions may be a defined geological unit of the site, or may be a specific medium at the site. If a decision does cover the remaining release listed on the NPL, the action should be treated as a Final NPL Deletion. stateconcurrence is required for any deletion.

Definition of Accomplishment:The deletion process for the entire site begins when a Notice of Intent to Delete (Action Name = Notice of Intent to Delete) is published in the Federal Register. If the Direct Final Process for Deletions is used, the process begins when the Direct Final Action Notice is published in the Federal Register (Action Name = Notice of Intent to Delete).

The deletion process for the entire site (Action Name = Deletion from the NPL) is complete (Actual Complete) when the Notice of Deletion is published in the Federal Register. If the Direct Final Process for Deletions is used and the comment period has



ended with no adverse comments, the actual completion (Actual Complete) is the effective date of deletion specified in the Direct Final Action Notice.

Start dates are not required for either the Notice of Intent to Delete (NOID) or the Deletion from the NPL actions. The completion of the NOID action signifies the start of the deletion action.

HQ will enter the Actual Complete dates for the Deletion from the NPL Action and the Notice of Intent to Delete Action into CERCLIS upon publication of the notices in the Federal Register.



Special Planning/Reporting Requirements:The Action, Final Deletion from the NPL, will be used whether deletion is accomplished through the Notice of Deletion or the Direct Final Action Notice. When the Notice of Deletion is published or the date of deletion is effective, HQ will change the NPL Status in CERCLIS to "Deleted from Final NPL." This is an internal program target and measure.


y. Federal Facility Five-Year ReviewsDefinition:A Five Year Review is a review of remedial action(s) selected under CERCLA section121(c). The purpose of the Five Year Review is to determine whether the remedy at a site is/remains protective of human health and the environment and to evaluate the implementation and performance of the selected remedy. Where remedial actions are still under construction, a Five Year Review determines whether immediate threats have been addressed and whether EPA continues to expect the remedy to be protective when all remedial actions are complete. EPA conducts statutory reviews of any site at which a post-SARA remedy, upon attainment of cleanup levels specified in the ROD, will not allow for unlimited use and unrestricted exposure. EPA conducts policy reviews at sites where remedial actions will attain cleanup levels that, upon completion will allow for unlimited use and unrestricted exposure but will take longer than five years to complete, at sites with pre-SARA remedies at which cleanup levels do not allow for unlimited use



and unrestricted exposure, and at NPL removal only sites where cleanup levels do not allow unlimited use and unrestricted exposure.

In July 2009, the EPA Office of Inspector General (OIG) investigated Federal Facilityfive-year reviews. The purpose of the review was to determine how issues and recommendations are tracked and implemented; determine whether unimplemented issues and recommendations affect compliance; and what affect do unimplemented issues and recommendations have on the protectiveness of the remedy. In June 2010, the OIG issued its final report with eight recommendations. The OIG recommended that EPA implement improved management controls to monitor the completion of the recommendations; ensure that reviews are submitted every five years, improve the monitoring of non-concurrence, clarify and describe enforcement tools, and improve data quality. OSWER/Office of Enforcement and Compliance Assurance (OECA) responded and agreed with every recommendation. OSWER/OECA will issue a joint policy memorandum to the regions that will implement the recommendations in the OIG report. Also, we will incorporate more discussion about five-year reviews during the mid-year and end-of- the-year work planning meetings.

Definition of Accomplishment:Federal Facility Five-Year Review Starts - Credit is given for a five-year review start when EPA approves the five-year review work plan submitted by the other federal agency, or when the Federal Facility actually starts the review or submits the draft document for review, as outlined in the ROD or IA. The actual start date (Actual Start) for the five-year review (Action Name = FF FYR) must be entered into CERCLIS. There are multiple triggers for five-year reviews. Please reference policy to select the appropriate method for calculating the five-year review date.

Federal Facility Five-Year Review Planned Completions - The FF FYR planned completion date and the report due (SubAction Name = FYR Report Due) date are system generated based on the Five-year review type entered at the time of ROD completion.

Statutory: The FF FYR and FYR Report Due planned completion date fields are populated for five years after the Federal Facility RA action planned start date. Both the FF FYR planned completion date and the FYR Report Due planned completion date will be updated by the system based on changes to the planned or actual start dates for triggering FF RA action. The FF FYR planned completion date will be editable. The FYR Report Due planned completion date will be greyed out and uneditable and will be lockedonce the actual start date for the FF RA is entered.

Policy: The FF FYR and FYR Report Due planned completion dates are populated for five years after the PCOR or FCOR planned completion date. Both the FF FYR planned completion date and the FYR Report Due planned completion date will be updated by the system based on changes to the planned or actual completion dates for the triggering PCOR or FCOR. The FF FYR planned completion date will be editable. The FYR Report Due planned completion date will be greyed out and un-editable and will be locked once the actual completion date of the PCOR or FCOR is entered.



In order to address recommendations from the OIG evaluation of Federal Facility FYRs, OSWER has made a CERCLIS change to generate all future planned completion datesfor FYRs based on the planned completion of the FY2011-FY2015 reports. This will allow FFRRO to monitor the implementation of recommendations made for sites and installations; ensure that reviews are submitted every five years; improve the monitoring of non-concurrence; and improve data quality. This change will also keep late five-year review reports from being rewarded and early reports (after the initial period) from affecting the future due dates.

Federal Facility Five-Year Review Actual Completions - The five-year review is complete on the date the designated regional official either signs the five-year review report stating whether the remedy is, or is not, protective of human health and the environment, or has concurred on the five year review report, or has made their own protectiveness determination. The actual completion date (Actual Complete) for the five-year review (Action Name = FF FYR) must be entered into CERCLIS. Situations do occur where multiple NPL sites are covered under a single five-year review report. In these situations the date of the report will be used to signify the completion of the five-year review for each of the NPL sites.

Five-Year Review Addendum SubAction, Planned Completion Date - The five-year review addendum (SubAction name = FYR Addendum) planned completion date is system generated based on the date entered into the five-year review protectiveness determination tab in the "Planned Date of Addendum" text box for sites that have a "Protectiveness Deferred" OU-specific or sitewide determination. The five-year review addendum planned completion date will be editable.

Five-Year Review Addendum SubAction, Actual Completion Date - The five-year review addendum is complete on the date the designated regional official signs the five-year review addendum stating a new protectiveness determination of all remedies that have deferred protectiveness determinations. The actual completion date (actual completion) for the five-year review addendum SubAction must be entered into CERCLIS.


Special Planning/Reporting Requirements:Five-year Review completion is an internal program target and measure. Five-year review completions must be planned and reported site-specifically (Action Name = FF FYR) in CERCLIS. The trigger for a statutory five-year review is the actual start date of the FF RA Start.

The following information is captured in the CERCLIS Five Year Review module:

- A Five Year Review addendum SubAction for completed reviews with protectiveness deferred statements;

- The ability to update a trigger on a planned Five Year Review;



- The ability to modify the Five Year Review type on a planned review only if changing from a discretionary review to a policy or statutory review or changing from a policy review to a statutory review;

- The ability to associate issues/recommendations with the correct OU and response actions;

- The ability to enter/track more than one Five Year Review with multiple OUs for each site;

- A Missing Data Tab available on the FYR screen informs the user of all missing information and includes the OU that it affects; and

- The ability to update milestone dates and track the current status of implementation for Five Year Review Issues and Recommendations.

In order to receive credit for a Federal Facility Five Year Review completion the region must enter the following data into CERCLIS through the SCAP screens:

- applicable OUs - associated issue for each OU (if there is no issue, enter the relevant OU(s) with

the "No Issue" category) - recommendations or follow-up actions (a party responsible, oversight agency, and

milestone date must be identified for each recommendation or follow-up action) - protectiveness determination for each remedy/OU (if a determination is deferred,

enter a date for when a protectiveness determination will be made) - protectiveness statement as it appears in the Five Year Review

If the Construction Completion flag has been checked for the site, the user must enter the following information:

- site protectiveness determination - site-wide protectiveness statement as it appears in the Five Year Review

In order to receive credit for the FYR addendum SubAction completion, the user must enter the following information:

- The new protectiveness determination for those OUs that were deferred; - Protectiveness statement as it appears in the parent Five Year Review; and - If new issues/recommendations are referenced in the Five Year Review

Addendum, enter them into the Five Year Review screens through the FYR parent action for the addendum SubAction.

All Sites must have the following information:

- If future Five Year Reviews are not necessary at the site, indicate that this is the final Five Year Review at the site by selecting the “no” radio button under theheading asking whether future FYRs are necessary. If future FYRs are necessary,



select the “yes” radio button and a future Five year Review action will be generated on the project schedule.


VIII.B.4 Community Involvement DefinitionsThe following section contains Community Involvement requirements for Federal

Facilities. Community Involvement requirements for non-Federal Facility sites are included in Chapter X.

a. Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)Definition:Site-Specific Advisory Boards (SSABs) are a forum for concerned stakeholders to provide advice and recommendations on DOE's Environmental Management strategic decisions. Restoration Advisory Boards (RABs) provide a forum through which members of nearby communities can provide input to DoD's environmental restoration program. RABs and SSABs complement other community involvement activities, such as public meetings, mailings, and local information repositories.

Definition of Accomplishment:RAB/SSAB Start (Established) Date: The actual start date of the RAB/SSAB is defined as the actual start date (Actual Start) of the initial RAB/SSAB information meeting (SubAction Name = Site-Specific Advisory Board Meeting or SubAction Name =Restoration Advisory Board Meeting).

RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date the RAB is adjourned by DoD (SubAction Name = Restoration Advisory Board).

SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is the date the SSAB is terminated by the Secretary of Energy (SubAction Name = Site-Specific Advisory Board).


Special Planning/Reporting Requirements:This is an internal program measure..




b. Technical Assistance Grants (TAGs)Definition:SARA established the TAG program to provide technical assistance to eligible communities. This technical assistance allows communities to improve the decision making process at their sites.

Definition of Accomplishment:The start of the TAG (Action Name = Technical Assistance Grant) is the date the award document is signed by the regional award official. For Superfund programmatic purposes, the completion of the TAG is the ending date of the budget and project period as documented in the award document; as documented in the one year extension document; as documented in a time period extension document; or as documented in other documents, such as a memo to the file prepared by the TAG coordinator to document these decisions. The planned or actual completion date in CERCLIS (whichever is applicable) must be changed to reflect the date of the most recent source document, e.g., award document, one-year extension document, memo to the file, etc. These definitions may be applied to all historical CERCLIS data, including data prior to FY 89, which is the first fiscal year TAG appeared in the SPIM. In addition, the TAG completion definitions from previous years may also be used for TAGs completed within those years.


Special Planning/Reporting Requirements:TAG is an internal program measure. Planned start and completion dates are required in CERCLIS. Funds may be planned site-or non-site specifically; however, they must be obligated site specifically. Funds for TAGs at Federal Facility sites are contained in the Federal Facility budget and found in the Federal Facility Site Allowance.




VIII.B.5 Cross Program Revitalization Measures (CPRM)

a. Sitewide Ready for Anticipated UseDefinition:The Sitewide RAU measure reports sites documented as ready for anticipated use where, for the entire construction complete final or deleted NPL site:

- All cleanup goals in the Record(s) of Decision or other remedy decision document(s) have been achieved for media that may affect current and reasonably anticipated future land uses of the site, so that there are no unacceptable risks; and

- All institutional or other controls required in the Record(s) of Decision or other remedy decision document(s) have been put in place.

For more information about this measure, please refer to Guidance for Documenting and Reporting the Superfund Sitewide Ready-for-Reuse Performance Measure (OSWER 9365.0-36) and Guidance for Documenting and Reporting Performance in Achieving Land Revitalization (OSWER 9200.1-74).

Definition of Accomplishment:A site meets SWRAU when a hard copy checklist has been completed, signed by a regional approving official, submitted to HQ, the entire site meets the criteria established in the guidance, and HQ has approved the action in CERCLIS. All acres that are part of the Superfund site universe must be documented as RAU within CERCLIS prior to the region's submission of a property reuse evaluation checklist. The SWRAU date entered into CERCLIS should be the signature date on the Checklist of the regional reviewing official.

This measure is based on current site conditions. Therefore, instances do occasionally occur when a site, which is already SWRAU, will no longer meet the criteria. In these instances, the regions are required to complete a SWRAU retraction form, have it signed by a regional approving official, submit it to HQ, and enter the retraction date into CERCLIS. HQ will then approve this action in CERCLIS.


Special Planning/Reporting Requirements:This is a key program target and measure; the program reports accomplishments to external parties. The Sitewide RAU measure is for construction complete Superfund final and deleted NPL sites only. Regions will submit completed Checklists for the Sitewide RAU measure to HQ for approval before the reported site may be counted to meet the GPRA target for this measure. The Sitewide RAU completion date that is entered into CERCLIS should be the exact date that the regional approving official signs the hard-copy Sitewide RAU Checklist form. Regions began reporting Sitewide Ready for Reuse sites in FY 2006. In FY 2007, the name of the measure was changed to Sitewide Ready



for Anticipated Reuse. This is a GPRA annual performance goal. EPA will continue to track the Sitewide RAU measure as a discrete measure with targets.

The determination that a site is Sitewide RAU is based on the information available at the time the determination is made. That determination may revert if site conditions change, or if new or additional information is discovered regarding the contamination at the site. The site can be re-designated as Sitewide RAU only when the requirements are met. If, at the time of determination or at any other time, EPA becomes aware of other environmental problems that pose unacceptable risk relevant to site use or reuse, including risks addressed under other cleanup or public health authorities, the site should not be reported under this measure.

A site's CPRM data will only be counted in Superfund totals if the site has the Special Initiative flag of 'CU' (CPRM Universe) associated to it at the site level. This flag places the site in the Superfund "universe," therefore ensuring that its CPRM data are being captured.


b. Protective for People Under Current Conditions (PFP)Definition:This new measure is based on the existing Human Exposures Under Control Environmental Indicator and reports sites and land area, as measured in acres, which are protective for people under current conditions.

The Protective for People Under Current Conditions (PFP) performance measure reports the number of sites and acres at which there is no complete pathway for human exposures to unacceptable levels of contamination, based on current site conditions. Reporting on a particular site for this measure should be based on an understanding of current conditions, presence and toxicity of contamination, routes of contaminant migration (e.g., vapor intrusion), and routes of exposures to humans (e.g., dermal, inhalation, ingestion).

Achieving the PFP measure means, at a minimum, that all identified human exposure pathways from contamination at the site are under control or possible exposures are below health-based levels for current land use conditions. "Under control" means that adequately protective controls are in place to prevent any unacceptable human exposure under current land use conditions. Achieving the PFP measure does not involve consideration of future use conditions or ecological receptors. The PFP measure can be achieved through temporary solutions based on current conditions and associated exposures at a given point in time, and does not necessarily require that all cleanup goals be met at a site or OU or property transfer parcel.



For the purposes of this measure, the entire site or individual OUs at a site can be counted so long as the criteria are met for those areas. At property transfer sites (e.g., BRAC facilities), EPA may evaluate property transfer parcels, instead of OUs, within a property transfer document, such as a FOSL and FOSET. Such parcels should meet PFP, as often the FOSL and FOSET address immediate, not necessarily long-term, property use. The term "property transfer parcel" is equivalent to the term "OU" when capturing acres for the PFP measure.

For the purposes of this measure, a site or OU will achieve the PFP performance measure when it can be determined that the entire area comprising the site or OU meets any one of the three possible designations for the current Human Exposures Under Control Environmental Indicator, which currently apply to NPL sites only. The current Environmental Indicators Guidance is included in Chapter VII. The three designations in the existing Human Exposures Under Control Environmental Indicator that ensure acres meet PFP include:

- Current Human Exposure Under Control; - Current Human Exposure Controlled and Protective Remedy in Place; or - Long-Term Human Health Protection Achieved.

Note that an OU, parcel, or entire site may meet PFP if the ground water is contaminated yet no human exposure pathways exist, and the soil above the plume has been investigated to ensure it meets PFP, or is safe for human exposure. It should also be noted that a site may have several OUs or parcels with different designations, some of which have met PFP criteria, some of which have also met RAU criteria, and some of which do not meet either performance measure (i.e., are not protective).

The total number of sites with one or more OUs meeting the PFP measure will be determined from information recorded in CERCLIS and routinely reported for management and communication purposes.

Definition of Accomplishment:Acres can be claimed as Protective for People Under Current Conditions when all identified human exposure pathways from contamination at the site or individual OUs/parcels are under control or possible exposures are below health-based levels for current land use conditions.

The Protective for People designation is achieved when one of the following occurs:

1. PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and saves the data on the Checklist form, or the date a user revises a completed form (Action Name = PRP/RAU Evaluation Checklist).

2. FOSET: The date (Actual Completion Date) the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review and provided comments or concurrence on the early transfer document(s) (Action Name =FOSET).



3. FOSL: The date (Actual Completion Date) the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review and provided comments or concurrence on the lease document(s) (Action Name = FOSL).




c. Ready for Anticipated Use (RAU)Definition:RAU Performance Measure: The RAU performance measure captures the acreage within sites or OUs that are PFP and meet the following two additional criteria:

- All cleanup goals have been achieved for media that may affect current and reasonably anticipated future land uses (or decision documents confirm uncontaminated acres) for the site or OU such that there is no unacceptable risk,and

- All institutional or other controls identified as part of the response action to help ensure long-term protection have been put in place.

The definition of this measure as it applies to an entire site is consistent with the Sitewide RAU measure. Therefore, all sites and acres counted toward the Sitewide RAU measure will also count toward the RAU measure. In addition, the RAU measure described here may also include individual OUs and a broader universe of sites (i.e., Superfund Alternative (SA), NTCRA, certain non-NPL Federal Facilities, FUDS, etc.) than those included in the Sitewide RAU measure.

For the purposes of this measure, property transfer parcels (e.g., parcels at some BRAC facilities) will be evaluated instead of OUs at facilities where EPA has a documented role in the property transfer. As such, the term "property transfer parcel" is equivalent to the term "OU" when capturing acres for the RAU measure. The determination that an OU achieves the RAU measure can occur at any particular point in time and the OUs reported status should be revised if the site's conditions change or if new or additional information is discovered regarding the contamination or conditions at the site (e.g., contaminant occurrence, migration, toxicity levels for specific contaminants, and exposures). If at the time of the determination, or at any other time, EPA becomes aware of other environmental problems that pose unacceptable risk relevant to the site or reuse, including risks addressed under other cleanup or public health authorities, the site should



not be reported under the RAU measure. Documentation that OUs achieve the RAU measure should be changed accordingly if, or when, information becomes available that would bring into question whether the OUs continue to meet the RAU definition. Those specific acres associated with the OU in question should only be re-recorded as meeting the RAU measure if and when acres once again meet the RAU definition.

The total number of sites with one or more OUs meeting the RAU measure will be determined from information recorded in CERCLIS and routinely reported for management and communication purposes.

For more information about this measure, please refer to the "Guidance for Documenting and Reporting Performance in Achieving Land Revitalization: The Office of Superfund Remediation and Technology Innovation (OSRTI) and Federal Facilities Restoration and Reuse Office (FFRRO)" (http://www.epa.gov/fedfac/sf_ff_final_cprm_guidance.pdf).

Definition of Accomplishment:The RAU performance measure captures the acreage within sites or OUs that are PFP and meet the following two additional criteria: 1) all cleanup goals have been achieved for media that may affect current and reasonably anticipated future land uses (or decision documents confirm uncontaminated acres) for the site or OU such that there is no unacceptable risk, and 2) all institutional or other controls identified as part of the response action to help ensure long-term protection have been put in place.

The Total RAU designation at a site or OU is achieved when one of the following occurs:

- PFP/RAU Checklist: The date that EPA completes (Actual Completion Date) and saves the data on the Checklist form, or the date a user revises a completed form (Action Name = PRP/RAU Checklist).

- FOST: The date (Actual Completion Date) the appropriate regional official signs a letter, form, or memo stating that EPA has completed its review and provided comments or concurrence on the transfer document(s) (Action Name = FOST). User must also attest that ICs are in place via the FOST screen in CERCLIS.






VIII.B.6 Cleanup Privatization at BRAC NPL SitesDefinition:At Department of Defense (DoD) Base Realignment and Closure (BRAC) sites, EPA recognizes that the privatization of the cleanup, where a developer or other organization rather than the military conducts the cleanup using funds provided by DoD, can present an opportunity to integrate redevelopment planning with cleanup. Such privatized cleanups provides another option to federal and state agencies and local communities to help maximize the impact of cleanup and redevelopment resources to help move properties back into productive reuse more quickly.

Privatization is an early transfer of property. In order to conduct an early transfer of property, DoD must request a deferral of the covenant required by CERCLA section 120(h)(3)(A)(ii)(I) ensuring that all remedial action necessary has been completed prior to transfer by the federal government. For NPL installation, EPA and the Governor of the state must approve such requests.

Regions should follow "EPA Guidance on the Transfer of Federal Property by Deed Before All Necessary Remedial Action Has Been Taken Pursuant to CERCLA section(120(h)(3) (Early Transfer Guidance)” when reviewing covenant deferral requests from other federal agencies. Where institutional controls are or will be required as part of the early transfer, regions should also consult the "Institutional Controls and Transfer of RealProperty under CERCLA section 120(h)(3)(A), (B) or (C) Guidance." DoD often transmits the information used by EPA to review and approve an early transfer through a Finding of Suitability for Early Transfer (FOSET). EPA's guidance discusses the requirements found in CERCLA 120(h)(3)(C) and how they are related to EPA approval of the FOSET and deferral of the covenant.

Definition of Accomplishment:- Action Memo - EPA signs action memo. (SubAction Name = Approval of Action

Memo(Actual Complete), Action Lead = EP) - FF Removal Start (Private Party Lead) - Private Party and their contractor

mobilize at the site to perform the removal action as documented in a Pollution Report (Action Name = FF Removal (Actual Start), Action Lead = PP, CriticalIndicator = TC or NTC).

- FF Removal Complete (Private Party Lead) - Private Party and their contractor have completed actions specified in the action memo and have demobilized from the site as documented in the final Pollution Report.. (Action Name = FF Removal (Actual Complete), Action Lead = PP, Action Qualifier = Cleaned Up or Stabilized).

- EE/CA Start (PP Lead) - EPA approves EE/CA Approval Memo. (Action Name =Engineering Evaluation/cost Analysis (Actual Start), Action Lead = PP)

- EE/CA Complete (Private Party Lead) - EPA approves EE/CA Action Memo. (Action Name = Engineering Evaluation/Cost Analysis, (Actual Complete), Action Lead = PP)



- FF RI Start or RI/FS Start (Private Party Lead) - Receipt of draft work plan for RI or RI/FS from the private party. (Action Name = FF RI or FF RI/FS (Actual Start), Action Lead = PP)

- FF RI/FS Complete (Private Party Lead) - Use date of ROD (Action Name = FF RI or FF RI/FS (Actual Complete), Action Lead = PP)

- Public Comment Period Start (EPA Lead) - Letter transmitting RI/FS reports and the proposed plan to the site repository for public review, signed by the appropriate regional official; OR first page of the approved proposed plan is included in the site file. (Action Name = Public Comment Period (Start Date), Action Lead = EP)

- Record of Decision (EPA Lead) - EPA approves in writing the ROD. (Action Name = Record of Decision (Actual Complete), Action Lead = EP). Enter the same date in the Actual Complete of the FF RI/FS or FF FS.

- FF RD Start (Private Party Lead) - Receipt of draft work plan for RD from the private party. (Action Name = FF RD (Actual Start), Action Lead = PP)

- FF RD Complete (Private Party Lead) - EPA approves RD Report. (Action Name= FF RD (Actual Complete), Action Lead: PP)

- FF RA Start (Private Party Lead) - Receipt of draft work plan for RA from the PP. (Action Name = FF RA (Actual Start), Action Lead = PP)

- FF RA Complete (Private Party Lead) - EPA approves the Interim or Final RA Report. (Action Name = FF RA (Actual Complete), Action Lead = PP, Action Qualifier = Interim RA Report or Final RA Report)


Special Planning and Reporting RequirementsNone.








CChhaapptteerr IIXX:: EEnnffoorrcceemmeenntt





FY 12 SPIM IX-i March 20, 2012

CCHHAAPPTTEERR IIXX:: EEnnffoorrcceemmeenntt

Table of Contents

IX.A FY12 Enforcement ....................................................................................................IX-1 IX.A.1 Promoting the Superfund Enforcement Program ................................................... IX-1 IX.A.2 Current GPRA Measures for Enforcement............................................................. IX-2

a. Volume of Contaminated Media Addressed (VCMA)....................................... IX-2 b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or

Claims in Bankruptcy ....................................................................................... IX-3 c. Pre-Remedial Enforcement Action at Superfund Sites..................................... IX-5

IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative Approach Sites ....................................................................................................... IX-8 a. Potentially Responsible Party (PRP) Search Starts......................................... IX-9 b. Preliminary PRP Search Completions ............................................................. IX-9 c. PRP Search Completions ............................................................................... IX-12 d. Section 104(e) Referrals and Orders Issued .................................................. IX-13 e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for RD/RA

Negotiations ................................................................................................... IX-14 f. Issuance of General Notice Letters (GNLs) ................................................... IX-14 g. Issuance of Special Notice Letters (SNLs) ..................................................... IX-15 h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS)

Negotiation Starts........................................................................................... IX-16 i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL &

Superfund Alternative) ................................................................................... IX-16 j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund

Alternative)..................................................................................................... IX-18 k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and

Other) (NPL & Superfund Alternative) .......................................................... IX-20 l. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility

NPL and Superfund Alternative Sites............................................................. IX-22 m. Total Response Commitments (Including Dollar Value)................................ IX-23 n. Total Active Response Enforcement Instruments in SNC and Not Addressed

through Formal Enforcement......................................................................... IX-25 o. Total Amount of Response Commitments Secured through Financial Assurance

........................................................................................................................ IX-29 p. De Minimis Settlements and Number of Parties............................................. IX-30 q. Cashout Settlements ....................................................................................... IX-32 r. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy) .. IX-

33 s. Issuance of Demand Letter............................................................................. IX-34 t. Total Cost Recovery Settlements (Including Dollar Value) ........................... IX-34 u. Number and Amount of CERCLA Penalties Assessed.................................... IX-36 v. Number of Settlements Where EPA Settled Based on Ability-to-Pay............. IX-37 w. Bona Fide Prospective Purchaser Agreements.............................................. IX-38 x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements

(PLAs) ............................................................................................................ IX-39 y. Issuance of Comfort/Status Letters................................................................. IX-40


March 20, 2012 IX-ii FY 12 SPIM

z. Contiguous Property Owners (CPOs)............................................................ IX-41 aa. Windfall Lien Resolution - Finalized.............................................................. IX-42 bb. Orphan Share - EPA Offer and Compensation .............................................. IX-43 cc. Non-Exempt De Micromis Parties Settlements and Number of Parties......... IX-45 dd. PRP Oversight Administration....................................................................... IX-47 ee. Settlements Designating Funds for Deposit to Special Accounts................... IX-48 ff. Deposits into Special Accounts ...................................................................... IX-49 gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs

........................................................................................................................ IX-50 hh. Disbursements from Special Accounts for Response Actions......................... IX-51 ii. Reclassification of Special Account Funds .................................................... IX-53 jj. Closure of Special Accounts........................................................................... IX-53 kk. Management of Special Accounts................................................................... IX-54

IX.A.4 Institutional Controls and Site Revitalization....................................................... IX-57 a. Institutional Controls ..................................................................................... IX-57 b. Site Revitalization........................................................................................... IX-57

List of Exhibits

Exhibit IX.1. Enforcement Program Performance Measures ............................................................. IX-7

Exhibit IX.2. Summary of CERCLIS Compliance Status Values.................................................... IX-26

Exhibit IX.3. Measure Results Calculations..................................................................................... IX-27


FY 12 SPIM IX-1 March 20, 2012

CHAPTER IX: ENFORCEMENT

IX.A FY12 ENFORCEMENT

IX.A.1 Promoting the Superfund Enforcement ProgramThe Superfund enforcement program Government Performance and Results Act (GPRA)

goals and measures will continue to ensure a fairer, more effective, and more efficient Superfund program. The program goals continue to focus on maximizing PRP participation, addressing past costs, reducing transaction costs, entering into fair settlements, and eliminating barriers to redevelopment. The major areas of emphasis for the Superfund enforcement program include the following:

Maximizing PRP Involvement/Enforcement First: Maximizing PRP participation is critical to achieve the greatest possible number of cleanups, and to conserve Trust Fund resources. Key areas of emphasis are early initiation of PRP searches, completing negotiations in a timely manner, and maximizing PRP-lead cleanup activities. EPA will continue to seek to maximize PRP participation at Superfund sites including National Priorities List (NPL) and Superfund Alternative sites. As a result of the enforcement first strategy, PRPs have undertaken the majority of new cleanup actions over the past years, leveraging Fund resources to maximize total cleanups.

Addressing Past Costs > $200,000: Each year, address all unaddressed costs for Statute of Limitations cases for sites with total past costs equal to or greater than $200,000 via settlements, referrals to the Department of Justice (DOJ), filing a claim in a bankruptcy proceeding, or where appropriate write-off.

Completing Clean-up Negotiations in a Timely Manner: Remedial Design/Remedial Action (RD/RA) negotiations should be completed within 120 days of the issuance of Special Notice Letters (SNLs). SNLs should be issued within 90 days after the signature of the Record of Decision (ROD).

Eliminating Barriers to Redevelopment: Under the Brownfields Amendment, parties who qualify as bona fide prospective purchasers (BFPPs) should no longer need agreements with the federal government to purchase contaminated property. EPA recognizes that, in certain instances, the public interest will be served by entering into agreements with BFPPs who will perform work exceeding reasonable steps at a site of federal interest.

Providing PRP Oversight: EPA will continue to focus on efforts to engage in dialogue with PRPs that have settlements with EPA to promote oversight that ensures the development and implementation of protective cleanups; gives careful consideration to the associated costs being charged to PRPs; and maximizes EPA recovery of oversight. EPA will continue to offer to discuss EPA’s oversight expectations for upcoming activities with settling PRPs who conduct non-time critical removals, Remedial Investigations/Feasibility Studies (RI/FS), Remedial Designs (RD), or Remedial Actions (RA) and issue oversight bills that include appropriate cost documentation.


March 20, 2012 IX-2 FY 12 SPIM

Providing for Responsible Fiscal Management: EPA will place a high priority on sound fiscal management by managing and collecting Superfund accounts receivable. To accomplish this, program focus will be on:- Maximizing site-specific charging (intramural and extramural);- Maintaining prompt, current and accurate oversight billing;- Maximizing collections of monies due the Trust Fund; and- Resolving outstanding collection disputes.

Ensuring Compliance with Orders/Settlements: EPA will continue to monitor compliance of PRP performance and payment obligations under administrative orders, consent decrees, and judgments; ensure compliance; and address substantial noncompliance in a timely manner.

Using Special Accounts for Site Cleanup: EPA will continue to emphasize the use of special accounts for site cleanup. This includes finalizing settlements that provide for deposits to and disbursements from special accounts, approving actual deposits and disbursements, reclassifying special account funds, where appropriate, and closing out such accounts in a timely manner, thus freeing up such funds for future use at other sites, through the general appropriation process.

Issuing Unilateral Administrative Orders (UAOs) Equitably: EPA will issue UAOs to the maximum manageable number of PRPs wherever there is sufficient basis to include them. Issuance of these UAOs will compel those PRPs to participate in, and share the cost of, the specific response actions. The participation of these PRPs, even if only through a financial contribution, will reduce the portion of the cleanup cost that is borne by PRPs who have settled with EPA.

IX.A.2 Current GPRA Measures for Enforcement

a. Volume of Contaminated Media Addressed (VCMA)

The fiscal year (FY) 2011 – FY 2015 EPA Strategic Plan shifts the Superfund Enforcement Program from Goal 3: Cleaning up Communities to Goal 5: Enforcing Environmental Laws (the Strategic plan can be found at: http://epa.gov/planandbudget/strategicplan.html). Within Goal 5, Superfund Enforcement is under Objective 5.1 which states: Pursue vigorous civil and criminal enforcement that targets the most serious water, air, and chemical hazards in communities. Assure strong, consistent, and effective enforcement of federal environmental laws nationwide.

As part of the Goal 5 sub objective, Support Cleaning up Our Communities, the Office of Enforcement and Compliance Assurance (OECA) has added the following new GPRA measure which primarily affects the Superfund Enforcement and Resource Conservation and Recovery Act (RCRA) Corrective Action programs:

By 2015, obtain commitments to clean up 1.5 billion cubic yards of contaminated soil and groundwater media as a result of concluded Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) and RCRA corrective action enforcement actions.



OECA has reported the Volume of Contaminated Media Addressed for contaminated groundwater and for contaminated soil in its Annual Results since FY 2004. The new measure combines the two measures at the GPRA level.

Superfund VCMA data for contaminated soil and/or water should be entered into theIntegrated Compliance Information System (ICIS) for the following actions:

- Superfund remedial actions, at the time an enforcement document is finalized (e.g. issuance of a unilateral order or corrective action order, signing of an agreement on consent or consent decree) using data available from the remedial investigation, feasibility study, and/or ROD (or any other relevant data).

- Superfund non-time critical removal actions, at the time an enforcement document is finalized using data available from the engineering evaluation/cost analysis, and/or the action memorandum (or any other relevant data).

- Superfund time-critical removal actions, at the time an enforcement document is finalized using data available from the action memorandum (or any other relevant data). Sometimes few data are available for such cases at the time of the action memorandum. If insufficient data exist for an estimate at the time of the action memorandum, the value for the measure should be entered at the soonest practical time after the settlement as data are available to calculate the measure; with the caveat that the best available value for the measure should always be entered in the same fiscal year in which the enforcement document is finalized.

The new OECA GPRA measure is a national measure with a target of 300 million cubic yards per year. As such, the regions are not required to post targets in the Annual Commitment System. Information for this target is entered into OECA’s ICIS database. Further information on calculating the VCMA measures may be found in the “FinalMethodology for Estimating Superfund and RCRA Corrective Action (CCDS) Environmental Benefits 12-12-03.”

b. Past Costs Addressed >$200,000 via Settlements, Referrals, Write-Offs, or Claims in Bankruptcy

Definition:Past Costs Addressed>$200,000 is the decision either to take cost recovery action by use of administrative cost recovery settlement, to transmit a Section 106/107 or 107 judicial referral for cost recovery, including settlements for past costs under a Consent Decree (CD) (with no prior litigation referral), to prepare a decision document or 10-point settlement analysis document not to pursue cost recovery, or to file a claim in bankruptcy.

This measure covers cases where EPA has incurred Superfund costs > $200,000. It is vital to the management of the cost recovery program that sites with upcoming Statute of Limitations (SOL) be addressed prior to the expiration of the SOL. Therefore, regionswill not be allowed to substitute targeted sites that have SOLs occurring within the current FY or in the first quarter of the upcoming FY.




Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites.

Administrative Settlements - Credit is given on the date the regional office or DOJ receives payment from the PRPs in direct response to a demand letter for voluntary cost recovery, or the date the Regional Administrator or delegate signs the Administrative Order on Consent (AOC) or Consent Agreement (CA) that recovers 100 percent of the Trust Fund expenditures or settles a claim where the total response costs are less than $500,000. The accomplishment of the administrative settlement is recorded in Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) as the actual completion date (Actual Complete) of the administrative/voluntary cost recovery (Action Name = Admin/Voluntary Cost Recovery), AOC (Action Name = Admin Order on Consent), or CA (Action Name =Consent Agreement). If the settlement is compromised and total response costs are more than $500,000, the AOC must be sent to DOJ for approval prior to signature by the Regional Administrator or delegate.

Section 107 or 106/107 Judicial Referrals - Credit is given on the date of the Regional Administrator's memo transmitting the referral to DOJ or Headquarters (HQ) (Action Name = Litigation (Generic), Section 107 Litigation, or Section 106/107 Litigation) as recorded in CERCLIS as the actual start date (Actual Start).

This includes Consent Decree (CD) settlements (Action Name = Consent Decree) for RD/RA with a cost recovery component or CD settlements for cost recovery only that were not the result of a prior litigation referral. Credit is given for these CD settlements on the date of the Regional Administrator's memo transmitting the settlement to DOJ or HQ and recorded in CERCLIS as the actual start date (Actual Start).

CD settlements that are for cost recovery only and result from a previous litigation referral do not count towards this target. The start date (Actual Start) for these actions is not reported in CERCLIS. Only the lodged (SubAction Name = Lodged by DOJ) and entered (SubAction Name = Entered by Court) SubActions, the SubAction actualcompletion date (Actual Complete), and the actual completion date (Actual Complete) of the CD are recorded. The actual completion date of the CD is the date it is entered by the court.

Decision Documents not to Pursue Cost Recovery - Credit is given when the decision document (Action Name = Cost Recovery Decsn Docmt - No Sue) is signed by the regional office and recorded in CERCLIS as the actual completion date (Actual Complete). The decision not to pursue cost recovery also may be documented in an enforcement instrument 10-point settlement analysis. For both the Cost Recovery Decision Document Not to Sue and the 10-point analysis, the past costs that will not be recovered (Past Costs Written Off) and the reason the costs were written off should be reported in CERCLIS.

Bankruptcy Filing - Credit is given based on the date the Claim in Bankruptcy Proceedings is transmitted to DOJ (Action Name = Claim in Bankruptcy Proceedings).



This date is reporting in CERCLIS as the actual start date (Actual Start). For each Claim in Bankruptcy, the “Federal Costs Sought – Past” must be entered into CERCLIS.

Changes in Definition:Credit for past costs addressed via a Claim in Bankruptcy Proceedings was previously given based on the date the bankruptcy strategy package was prepared or on the date of the first creditor committee meeting. These dates are reported in CERCLIS as SubActions to the Claim in Bankruptcy Proceedings Action. Beginning in FY 2010, only the Claim in Bankruptcy Proceedings Action actual start date is required to receive credit for addressing past costs via a claim in bankruptcy.

Special Planning/Reporting Requirements:All dates must be entered into CERCLIS. Credit for referrals is based on the referral package, not on the number of sites. Credit will be withdrawn if a case is returned to the region by DOJ or HQ for additional work but will be reinstated upon re-referral. For each settlement, the region must enter "Federal Costs Settled - Past" into CERCLIS. For each judicial referral, regions must enter "Federal Costs Sought - Past." For each decision not to pursue cost recovery, the "Past Costs Written Off" must be entered. Regions must take credit for addressing past costs via a Claim in Bankruptcy during the fiscal year in which the action was taken. If, as is often the case, a bankruptcy settlement is reached in a later fiscal year and credit for addressing past costs was not taken at the time of the claim in bankruptcy, regions will not receive credit for addressing past costs in the fiscal year in which the bankruptcy settlement occurs. Accomplishments are reported on a site-specific basis. Any changes to the target require prior approval by the Office of Site Remediation and Enforcement (OSRE). This is a GPRA annual performance goal.

c. Pre-Remedial Enforcement Action at Superfund Sites

Definition:The objective of this GPRA goal is for EPA to reach a settlement with PRPs or take an enforcement action prior to the start of a RA at 99% of non-federal Superfund sites (with RAs starting during the fiscal year) that have known, viable, liable parties.

This measure supports the goal of maximizing PRP participation at Superfund sites, thus promoting "Enforcement First".

Definition of Accomplishment:This measure counts non-Federal Facility NPL and PRP-financed Superfund Alternative sites with:

1. PRP-financed RA starts (in the FY) as defined in Chapter VII, titled Remedial Program.

2. Fund-financed RA starts (in the FY) with prior enforcement actions at the site: These are Fund- financed RA starts as defined in Chapter VII, titled Remedial Program, with enforcement actions at the site where the following dates of these actions are prior to the start date of the Fund-financed RA:



Date (Actual Complete) the AOC, CA or UAO (Action Name = Admin Order on Consent, Consent Agreement, or Unilateral Admin Order) is signed by the Regional Administrator or delegate. This does not include orders that are for access or information only.Date (Actual Start) the CD settlement (Action Name = Consent Decree) is referred by the Regional Administrator or delegate to either DOJ or HQ.Date (Actual Complete) the CD for cost recovery only resulting from a previous litigation referral is entered by the court. If the actual completion date for the lodging (SubAction Name = Lodged by DOJ) exists, that date will be used instead of the entered date.Date (Actual Complete) the regional office or DOJ receives payment from the PRPs in direct response to a demand letter for voluntary cost recovery (Action Name = Admin/Voluntary Cost Recovery).Date (Actual Start) of the litigation referral (Action Name = Section 106/107 Litigation, Litigation (Generic), Section 106 Litigation, or Section 107 Litigation).

3. Fund-financed RA starts (in the FY) with PRPs, at the site, but no enforcement actions prior to the RA start: These are Fund-financed RA starts as defined in Chapter VII, titled Remedial Program, with no enforcement actions at the site where the dates of these actions as specified in #2 above are prior to the start date of the RA, but have viable, liable PRPs designated at the site (Parties Associated with Site, Noticed/Enf Act flag is set, and Not PRP Determination Made flag is not set).

Calculation of Accomplishment:The accomplishment is the percentage resulting from the division of the numerator by the denominator as follows:

- Numerator = The number of PRP-financed RA starts (in the FY) + the number of Fund-financed RA starts (in the FY) with enforcement actions prior to the RA start.

- Denominator = The number of PRP-financed RA starts (in the FY) + Fund-financed RA starts (in the FY) with prior enforcement actions at the site + Fund-financed RA starts (in the FY) with viable, liable PRPs, at the site, but no enforcement actions prior to the RA start.

Changes in Definition from:None.

Special Planning/Reporting Requirements:This measure does not include Fund-financed RAs at sites without enforcement actions prior to the RA start where PRPs have not been identified. This is a GPRA annual performance goal.



EXHIBIT IX.1. ENFORCEMENT PROGRAM PERFORMANCE MEASURES


Internal Program

Reporting

Potentially Responsible Party (PRP) Search Starts MeasurePreliminary PRP Search Completions MeasurePRP Search Completions MeasureSection 104(e) Referrals and Orders Issued MeasureSubmittal of Pre-Remedial Negotiation (PRN) package to DOJ for RD/RA Negotiations Measure

Issuance of General Notice Letters (GNLs) MeasureIssuance of Special Notice Letters (SNLs) MeasureExpanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS) Negotiation Starts Measure

Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL & Superfund Alternative) Measure

Completion or Termination of Negotiations for RD/RA (NPL & Superfund Alternative) Measure

Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and Other) (NPL & Superfund Alternative) Measure

Percentage of Remedial Action Starts Initiated by PRPs at non-Federal Facility NPL & Superfund Alternative Sites Measure

Total Response Commitments (Including Dollar Value) Performance and

Accountability Report (PAR)

Measure

Currently a Measure for Compliance Monitoring is Under Development Measure

Volume of Contaminated Media Addressed (VCMA) *

Annual Commitment System (ACS)Strategic Plan

PAR

Target

Total Amount (Dollar Value) of Response Commitments Secured through Financial Assurance Measure

De Minimis Settlements and Number of Parties MeasureCashout Settlements (Subset of Total Response Commitments) MeasureSection 106, 106/107, 107 Case Resolution MeasureIssuance of Demand Letter MeasureTotal Cost Recovery Settlements (Including Dollar Value) PAR MeasurePast Costs Addressed > $200,000 Via Settlements, Referrals, Filing a Claim in Bankruptcy Proceedings, or where appropriate Write-Off

ACSStrategic Plan

PARTarget

Total Value of PRP Oversight ** PAR MeasureNumber and Amount of CERCLA Penalties Assessed MeasureNumber of Settlements Where EPA Settled Based on Ability-to-Pay Determinations Measure




Internal Program

Reporting

Bona Fide Prospective Purchaser Agreements MeasureProspective Purchaser (PPAs) & Prospective Lessee (PLA) Agreements Measure

Contiguous Property Owners (CPOs) MeasureWindfall Lien Resolution - Finalized MeasureIssuance of Comfort/Status Letters MeasureOrphan Share - EPA Offer and Compensation MeasureNon Exempt De Micromis Parties Settlements and Number of Parties Measure

PRP Oversight Administration MeasureSettlements Designating Funds for Deposit to Special Accounts MeasureDeposits into Special Accounts MeasureSettlements Designating Funds for Disbursement from Special Accounts to PRPs Measure

Disbursements from Special Accounts for Response Actions MeasureReclassification of Special Account Funds MeasureClosure of Special Accounts MeasureManagement of Special Accounts Measure

Pre-Remedial Enforcement Action at Superfund Sites ACS

Strategic PlanPAR

Target

Institutional Controls MeasureSite Revitalization Measure

IX.A.3 Enforcement Targets and Measures at Superfund Sites and Superfund Alternative Approach Sites

Note: CERCLIS coding requirements contained in the definitions below are only for key data elements. For a full list of requirements and suggested data elements, see the Superfund Comprehensive Accomplishments Plan (SCAP) Coding Guide for the current FY.

Credit for Enforcement Activities at Superfund Alternative Approach SitesCredit is given for enforcement activities at sites with Superfund Alternative Approach

(SAA) agreements that meet the criteria in the 2004 Superfund Alternative guidance (i.e., the sitewould score high enough for listing on the NPL, the site is anticipated to need long term remedial action, there is a willing, cooperative, capable PRP who has signed an agreement with EPA that contains the appropriate SAA provisions). Proposed NPL sites are included in this category. Regions should maintain adequate site documentation to support the use of the SAA. Credit for PRP-lead remedial actions at non-NPL sites will only be given for activities conducted pursuant to an SAA agreement. Superfund Alternative Approach sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".



a. Potentially Responsible Party (PRP) Search Starts

Definition:A PRP search identifies PRPs at the site and establishes PRP liability, capability, and financial viability. At all sites, the PRP search activities should be initiated as soon as possible after the region decides that a response (removal or remedial) action is likely to be required at the site. For sites where remedial actions will be conducted, the PRP search should be initiated in time to send an SNL (at least 90 days prior to the obligation of funds for an Expanded Site Inspection/Remedial Investigation (ESI/RI), RI/FS or RA). For sites where removal actions will be conducted, the PRP search should be initiated as soon as the need for the removal has been identified in order to give a verbal notice of potential liability or to issue a general notice letter.

Definition of Accomplishment:If the PRP search is being conducted by a contractor, the actual start date (Actual Start) is considered to be the date the PRP search work assignment or procurement request is signed by the Contracting Officer (CO) or the designated Contracting Officer Representative (COR). The start for the PRP search is documented by the signed procurement request or work assignment. If the PRP search is conducted by EPA in-house, the actual start date (Actual Start) is the date EPA staff develops the PRP search plan, the date the On-Scene Coordinator (OSC) receives confirmation of a spill identification number from the Regional Finance Office, or the date EPA initiates and documents search activities by some other means.

Changes in Definition:Potential Responsible Party (PRP) Search Starts will no longer be tracked based on NPL and Non NPL site status.

PRP Search Starts are no longer tracked based on NPL and Non NPL site status.

Special Planning/Reporting Requirements:PRP searches are planned and funds requested on a site-specific basis. PRP Search Starts is a program measure.

Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of the FYQ4.)

b. Preliminary PRP Search Completions

Definition: A Preliminary PRP Search Completion is the completion of certain activities taken to make an initial identification of PRPs at a site in order to determine if there are PRP(s)



that are able to perform or finance all or a portion of the initial non-emergency CERCLA removal or remedial response action at a site.

Definition of Accomplishment:The Preliminary PRP Search will be considered complete when the regions perform the PRP Search tasks steps outlined in section 1 or 2 below.

1. Regions have completed and properly documented PRP Search tasks A-E, below, as appropriate and practicable.

A. Site Location and Property Description

The region has, as thoroughly as possible, identified the site location (including one or more of the following: street address; parcel ID#; legal description from current deed of ownership; and/or tax map) as necessary to complete requirement 1.B. below.

B. Current and Past Site Ownership Identification/Notification

The region has, using the tools most appropriate for the site, conducted activities to identify current site owners as well as past site owners at the time of disposal of hazardous substances and where those site owner PRPs exist and can be located within a reasonable time, considering the exigencies of the situation, the regionhas 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 regionhas 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.

Changes in Definition:New measure in FY12.

Special Planning/Reporting Requirements:If the region has satisfied the Preliminary PRP Search Completion requirement by satisfying the tasks identified in Section 1, above, the region should document this accomplishment in CERCLIS and in the site file. The documentation of the Preliminary PRP Search Completion for the site file should include a summary of the PRP Search tasks completed for each site. Such documentation can follow the format referenced in the January 2011 PRP Search Reference Summary guidance document, or the region can follow a format already established, as long as it documents the Preliminary PRP Search Completion tasks performed and results (e.g., Removal Action Memorandum Enforcement Addendum, RI/FS Enforcement Decision Document as outlined in the 2005 RI/FS Guidance, OSWER Directive 9355.2.21(August 9, 2005)). The date that the documentation summarizing the PRP search tasks is created should be recorded as the completion date of the Preliminary PRP Search Completion milestone in CERCLIS.

Regions may decide not to provide notice to certain liable and capable parties identified under tasks 1B, 1C, and 1E, but should document the basis for such decisions to the site file through such mechanisms as the Removal Action Memo Enforcement Addendum or the RI/FS Enforcement Decision Document.

If the region has satisfied the Preliminary PRP Search Completion requirement by performing the tasks identified in Section 2, above, the date of the enforcement action/settlement to compel the initial non-emergency response action at the site should be recorded in CERCLIS. That date should also be used as the completion date of the Preliminary PRP Search Completion milestone in CERCLIS, while not required, regionsmay also want to document the PRP search activities accomplished prior to meeting the requirements in section 2 in the site file, through the use of the PRP Search Documentation Summary or other regional mechanism.



Data Entry Timeliness Requirement:It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the tenth business day following the end of the FYQ4.)

c. PRP Search Completions

Definition:A PRP search completion constitutes the completion of the activities taken by the region to identify PRPs at a site. In conducting the PRP search, the region must consider which of the criteria outlined below are cost effective and reasonable to meet relative to the anticipated overall cleanup costs at the site. Upon completion, regions should document in the site file that they have met all reasonable achievable criteria. Criterion 1 is mandatory for all PRP search completions. The PRP search should ideally be completed prior to completion of cleanup negotiations; however, it is recognized that this may not be achievable in all situations.

The recommended criteria for a thorough PRP search are:

1. PRPs have been afforded opportunities to participate in or contribute to the PRP search, and the information contributed has been verified and/or authenticated and incorporated in the PRP search;

2. All relevant and material leads from CERCLA section 104(e) responses, interviews, and their primary or source documents have been pursued;

3. Sufficient information and evidence have been obtained to support the government's liability case or to determine that no viable PRPs exist or can be found;

4. PRPs have been categorized and financial and waste contribution information needed to perform orphan share calculations has been collected;

5. Ability to pay determinations (including but not limited to the investigation and analysis of any applicable insurance coverage) have been made for those PRPs who have asserted inability to pay in good faith); and

6. General notice letters have been issued to all PRPs being pursued.

Definition of Accomplishment:The PRP search is complete when all applicable activities described in the Agency’s PRP Search Manual have been completed and documentation has been placed in the site file that the region has met all reasonable achievable criteria for the PRP search, a PRP search outcome report with a list of PRPs has been prepared and both the actual completion date (Actual Complete) and the outcome (Qualifier) of the search have been entered into CERCLIS. If no PRPs are found, the region must document in the site file that it has met all reasonable achievable criteria for the PRP search and enter the actual completion date (Actual Complete) and the Qualifier of ‘No PRPs Identified (NP)’ into CERCLIS. This



definition applies to both Phase I (single owner, operator site) and Phase II (multi-generator site) PRP searches.

Changes in Definition:Potential Responsible Party (PRP) Search Completions will no longer be tracked based on NPL and Non NPL site status.

Special Planning/Reporting Requirements:PRP search completions are planned on a site-specific basis. The search outcome (Qualifier) is to be entered into CERCLIS. The number of PRPs found may be system generated by entering and associating PRPs with sites and selecting an Identification Source of PRP Search. PRP search completion is a program measure.


d. Section 104(e) Referrals and Orders Issued

Definition:Section 104(e) referrals/orders are enforcement actions to compel PRPs to respond to EPA requests for information or to obtain site access.

Definition of Accomplishment:The date of the memo from the Regional Administrator transmitting the Section 104(e) referral to HQ or DOJ is recorded in CERCLIS as the actual start date (Actual Start) of the Section 104(e) referral (Action Name = Section 104(e) Ref. Litigation). The date a Section 104(e) Unilateral Administrative Order (UAO) or Administrative Order on Consent (AOC) is signed by the Regional Administrator or delegate is recorded in CERCLIS as the actual completion date (Actual Complete) of the UAO (Action Name =Unilateral Admin Order) or AOC (Action Name = Admin Order on Consent).


Special Planning/Reporting Requirements:The actual start date (Actual Start) of the referral (Action Name = Section 104(e) Ref. Litigation) or the actual completion date (Actual Complete) of the order (Action Name =Unilateral Admin Order or Admin Order on Consent) is entered into CERCLIS site-specifically. The Law/Section reported in CERCLIS should be CERCLA 104(e) (Law/Section = CERCLA 104(e)). This is a program measure.

Data Entry Timeliness Requirement:



It is good management practice to enter data regarding the event as soon as practicable after the event occurs. However, data must be entered prior to the quarterly pull for the quarter in which the event occurs. (Generally, the quarterly pull occurs on the fifth business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of the FYQ4.)

e. Submittal of Pre-Referral Negotiation (PRN) Package to DOJ for RD/RA Negotiations

Definition:A PRN package is a brief summary and analysis of the case and recommends a case management strategy. The PRN package should include a copy of the case Negotiation Plan and a draft CD and should be submitted to DOJ by 30 days after the ROD is signed.

Definition of Accomplishment:This action is accomplished on the date PRN package (SubAction Name = Pre-Negotiation Package) is submitted to DOJ and entered into CERCLIS as the actual completion date (Actual Complete).


Special Planning/Reporting Requirements:This measure was added in FY 10 as part of the implementation of the Interim Policy on Remedial Design/Remedial Action Negotiations. Pre-Referral Negotiation Packages are recorded as a SubAction to negotiation actions.


f. Issuance of General Notice Letters (GNLs)

Definition:Letter sent by EPA under section 122 of CERCLA informing recipients of their potential liability for cleanup actions at the site. It is usually sent out during the PRP search or during preparation for negotiations.

Definition of Accomplishment:This action is accomplished on the date the GNL is signed by the appropriate EPA official and entered into CERCLIS as the SubAction, Notice Letters Issued, with an actual completion date (Actual Complete).




Special Planning/Reporting Requirements:General Notice Letters are recorded as a SubAction to PRP search or negotiation actions. Issuance of GNLs is a program measure.


g. Issuance of Special Notice Letters (SNLs)

Definition:An SNL is a letter under section 122(e) of CERCLA from EPA to a PRP informing it of its potential liability and soliciting an offer to conduct the planned response action(s) at the site. The SNL triggers a moratorium on certain EPA actions allowing the PRP to consider EPA’s invitation to negotiate. The moratorium period varies depending on the response action (ESI/RI/FS, RD, or RA) and can be extended if necessary.

Definition of Accomplishment:This action is accomplished on the date the SNL is signed by the appropriate EPA official and entered into CERCLIS as a SubAction, Special Notice Issued, with an actual completion date (Actual Complete). The date of issuance of the SNL also constitutes the start of negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations, Negotiations (Generic), or Removal Negotiations).


Special Planning/Reporting Requirements:SNLs are recorded as a SubAction to PRP search or negotiation actions. The actual completion date of the SNL is the same as the actual start date (Actual Start) of the applicable negotiation action. Issuance of SNLs is a program measure.




h. Expanded Site Inspection/Remedial Investigation/Feasibility Study (ESI/RI/FS) Negotiation Starts

Definition:ESI/RI/FS negotiations are discussions between EPA and the parties on their liability, willingness, and ability to conduct the ESI/RI/FS.

Definition of Accomplishment:ESI/RI/FS negotiations start when:

- The first SNL is signed by the appropriate EPA official. This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations (Generic) or RI/FS Negotiations) and the completion (Actual Complete) of the SNL SubAction (SubAction Name = Special Notice Issued); or

- A Section 122(a) waiver of SNL is signed by the appropriate EPA official with the intent to pursue negotiations without moratorium procedures. This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =Negotiations (Generic) or RI/FS Negotiations) and the completion (Actual Complete) of the SNL waiver SubAction (SubAction Name = Notice of S 122 Waiver Issued).


Special Planning/Reporting Requirements:If the region does not plan to perform ESI/RI/FS negotiations at a site, negotiation dates should not be placed in CERCLIS. The start of ESI/RI/FS negotiations (Action Name =Negotiations (Generic) or RI/FS Negotiations) should be planned site-specifically. The “Response Actions Sought” are to be entered into CERCLIS. The “Response Actions Sought” must include one or more of the following actions: PRP RI/FS, RI/FS, FS, PRP FS, RI, PRP RI, or ESI/RI. The actual start of the negotiation action is the same as the actual complete date (Actual Complete) of the SNL or waiver of SNL. ESI/RI/FS negotiation start is a program measure.


i. Remedial Design/Remedial Action (RD/RA) Negotiation Starts (NPL & Superfund Alternative)

Definition:



RD/RA negotiations are discussions between EPA and the parties on their liability, willingness, and ability to implement the long-term remedy selected in the Record of Decision (ROD) for the site or Operable Unit (OU). Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL, Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator = "Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed NPL, Pre-Proposed Site, or Withdrawn) that are not Federal Facility sites (Federal Facility Indicator = Not a Federal Facility or Status Undetermined).

Definition of Accomplishment:RD/RA negotiations start when:

- The first SNL is signed by the appropriate EPA official. This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations (Generic) or RD/RA Negotiations); or,

- A Section 122(a) waiver of SNL is signed by the appropriate EPA official with the intent to pursue negotiations without moratorium procedures. This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name =Negotiations (Generic) or RD/RA Negotiations).

- Subsequent Negotiations - An interim settlement arises/order is issued for a portion of the site work from an existing set of RD/RA negotiations and the region does not plan to issue new special notice letter(s). The region shall establish a new RD/RA negotiation event in CERCLIS with a start date the same as the completion date of the first set of RD/RA negotiations from which the interim settlement/order arose (i.e. Referral of Consent Decree for RD/RA, Issuance of UAO for RD/RA). This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations (Generic) or RD/RA Negotiations).

- Concurrent Negotiations - The next phase of negotiations begins before the completion of the current RD/RA negotiations and the region does not plan to issue new special notice letter(s). The region shall establish a new RD/RA negotiation event in CERCLIS using as the start date of the new RD/RA negotiations whichever is earlier either the date concurrent negotiations are first documented in meeting minutes or in a Memorandum for the Record or the date the letter is signed by the appropriate EPA official accepting the Good Faith Offer (GFO) from PRPs that delineates the negotiations. This date is reported in CERCLIS as the start (Actual Start) of negotiations (Action Name = Negotiations (Generic) or RD/RA Negotiations).


Special Planning/Reporting Requirements:If the region does not plan to conduct RD/RA negotiations, dates should not be entered into CERCLIS. The start of RD/RA negotiations (Action Name = Negotiations (Generic) or RD/RA Negotiations) is planned site-specifically. The "Response Actions Sought" are



to be entered into CERCLIS. The "Response Actions Sought" must include one or more of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA. The actual start of the negotiation action is the same as the actual completed date (Action Complete) of the SNL or waiver of SNL. Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative". If a Site-Specific Exception Plan has been approved by HQ, the date of the plan was approved should be reported in CERCLIS as a SubAction to the negotiations (SubAction Name =Site-Specific Exception). RD/RA negotiation starts is a program measure.


j. Completion or Termination of Negotiations for RD/RA (NPL & Superfund Alternative)

Definition:RD/RA negotiations are discussions between EPA and the parties on their liability, willingness, and ability to implement the long-term remedy selected in the ROD for the site or Operable Unit (OU).

RD/RA negotiations end when the region decides how to proceed with the RD/RA.

Definition of Accomplishment:Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL, Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator ="Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed NPL, Pre-Proposed Site, or Withdrawn) that are not Federal Facility sites (Federal Facility Indicator = Not a Federal Facility or Status Undetermined) when:

- A signed Consent Decree (CD) under section 106 or section 106/107 and a 10-point analysis for RD or RA is referred by the Regional Administrator to either DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date of the signed transmittal memo, which is the CD (Action Name = Consent Decree) actual start date (Actual Start); or

- A Unilateral Administrative Order (UAO) for RD or RA is signed by the Regional Administrator or delegate. The negotiation (Action Name =Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date the UAO (Action Name = Unilateral Admin Order) is signed, which is the UAO actual completion date (Actual Complete); or

- A Section 106 or Section 106/107 injunctive referral to compel the PRP to perform the RD or RA as specified in a UAO is referred by the Regional



Administrator to DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date of the Regional Administrator’s transmittal memo, which is the litigation (Action name = Litigation (Generic), Section 106/107 Litigation, or Section 106 Litigation) actual start date (Actual Start); or

- EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on which they will proceed to trial under an existing case (Action Name =Negotiations (Generic) or RD/RA Negotiations); or

- An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD only is signed by the Regional Administrator or delegate. Where an AOC or CA for RD only is issued, no credit will be given for the subsequent RA negotiation starts and completions. Credit will; however, be given under Total Response Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date the AOC or CA is signed, which is the AOC (Action Name = Admin Order on Consent or Consent Agreement) actual completion (Actual Complete); or

- If Special Notice Letters are issued specifically to initiate RD/RA Negotiations and the negotiations result in an amendment to an existing settlement to include RD/RA, the negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date the amended settlement is signed. This amendment date is tracked as the actual completion date (Actual Complete) of the settlement SubAction, Enforcement Action Amended; or

- Funds are obligated through a contract modification or work assignment signed by the CO, an Interagency Agreement (IA) signed by the other federal agency, or a Cooperative Agreement signed by the designated regional official for a Fund-financed RD at NPL or Superfund Alternative sites or RA at NPL sites. The negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date funds are obligated. If funds are not available and the region decides a UAO is not appropriate, the negotiation (Action Name = Negotiation (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date of the written documentation of the region’s decision not to issue a UAO.


Special Planning/Reporting Requirements:This is a program measure. RD/RA negotiation completions are planned site-specifically. The negotiation completion date is reported in CERCLIS as the actual completion date (Actual Complete) of either generic negotiations or RD/RA negotiations (Action Name =Negotiations (Generic) or RD/RA Negotiations). The "Response Actions Sought" and the outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected) also must be reported in CERCLIS. The "Response Actions Sought" must include one or



more of the following actions: Remedial Design, Remedial Action, PRP RD, or PRP RA. Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".


k. Completion or Termination of Negotiations for Cleanup (RD/RA, Removals, and Other) (NPL & Superfund Alternative)

Definition:Cleanup negotiations are discussions between EPA and the parties on their liability, willingness, and ability to conduct the cleanup. Negotiations are complete (for NPL and Superfund Alternative sites) when a decision has been made as to how the region willproceed with the cleanup.

Definition of Accomplishment:Credit is given at NPL and Superfund Alternative sites (NPL Status = Proposed for NPL, Currently on Final NPL, or Deleted from Final NPL; or Special Initiatives Indicator ="Superfund Alternative" with NPL Status = Not on the NPL, Removed from the Proposed NPL, Pre-Proposed Site, or Withdrawn) that are not Federal Facility sites (Federal Facility Indicator = Not a Federal Facility or Status Undetermined) when:

- A signed Consent Decree (CD) under section 106 or section 106/107 and a 10-point analysis for RD, RA, groundwater monitoring activities post-ROD, institutional controls, or a time-critical or non-time-critical (NTC) removal is referred by the Regional Administrator to either DOJ or HQ. The negotiation (Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual completion date (Actual Complete) is the date of the signed transmittal memo, which is the CD (Action Name = Consent Decree) actual start date (Actual Start); or

- A Unilateral Administrative Order (UAO) for RD, RA, groundwater monitoring activities post ROD, institutional controls, or a time-critical or NTC removal is signed by the Regional Administrator or delegate. The negotiation (Action Name= Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual completion date (Actual Complete) is the date the UAO (Action Name =Unilateral Admin Order) is signed which is the UAO actual completion date (Actual Complete); or

- An Administrative Order on Consent (AOC) or Consent Agreement (CA) for RD only, or groundwater monitoring activities post-ROD, or institutional controls is signed by the Regional Administrator or delegate. Where an AOC or CA for RD only is signed, no credit will be given for the subsequent RA negotiation starts



and completions. Credit will; however, be given under Total Response Settlements for the referral of a CD for RA to DOJ or HQ. The negotiation (Action Name = Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date the AOC or CA is signed, which is the AOC (Action Name = Admin Order on Consent) or

- CA (Action Name = Consent Agreement) actual completion (Actual Complete); or

- An AOC or CA for a time-critical or NTC removal is signed by the Regional Administrator or delegate. The negotiation (Action Name = Negotiations (Generic) or Removal Negotiations) actual completion date (Actual Complete) is the date the AOC or CA is signed, which is the AOC (Action Name = Admin Order on Consent) or CA (Action Name = Consent Agreement) actual completion date (Actual Complete); or

- A Section 106 or Section 106/107 injunctive referral to compel the PRP to perform the cleanup (RD or RA) as specified in a UAO is referred by the Regional Administrator to DOJ or HQ. The negotiation (Action Name =Negotiations (Generic) or RD/RA Negotiations) actual completion date (Actual Complete) is the date of the Regional Administrator’s transmittal memo, which is the litigation (Action Name = Litigation (Generic), Section 106/107 Litigation, or Section 106 Litigation) actual start date (Actual Start); or

- A Prospective Purchaser Agreement (PPA) implementing the entire remedy is signed by the Regional Administrator or delegate. Credit is not given for negotiation completions as a result of a PPA which implements part of the remedy. The negotiation (Action Name = Negotiations (Generic), Removal Negotiations or RD/RA Negotiations) actual completion date (Actual Complete) is the date the PPA (Action Name = Admin Order on Consent or Consent Agreement and Enf. Instrument Category = Prospective Purchaser Agreement) is signed by the Regional Administrator or delegate which is the actual completion date (Actual Complete) of the AOC or CA; or

- EPA and PRPs are notified by a letter from DOJ of the date (Actual Complete) on which they will proceed to trial under an existing case (Action Name =Negotiations (Generic) or RD/RA Negotiations); or

- For settlements that are amended to include cleanup actions, the negotiation (Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations) actual completion date (Actual Complete) is the date the amended instrument is signed. This amendment date is tracked as the actual completion date (Actual Complete) of the settlement SubAction, Enforcement Action Amended; or

- Funds are obligated through a contract modification or work assignment signed by the CO, an IA signed by the other federal agency, or a Cooperative Agreement signed by the designated regional official for a Fund-financed time-critical or NTC removal or RA. Only those sites that are final on the NPL are eligible for Fund-financed RAs. The negotiation (Action Name = Negotiations (Generic), Removal Negotiations, or RD/RA Negotiations) actual completion date (Actual Complete) is the date funds are obligated. If funds are not available and the region



decides a UAO is not appropriate, the negotiation (Action Name = Negotiations (Generic), Removal Negotiations, or RD/RA Negotiations) actual completion date (Actual Complete) is the date of the written documentation of the region’sdecision not to issue the UAO.


Special Planning/Reporting Requirements:This is a program measure. The negotiation completion date is reported in CERCLIS as the actual completion date (Actual Complete) of either generic negotiations, RD/RA negotiations, or removal negotiations (Action Name = Negotiations (Generic), RD/RA Negotiations, or Removal Negotiations). The "Response Actions Sought" and the outcome of the negotiations (Other Outcome(s) Selected or Outcome Actions Selected) also must be reported in CERCLIS. Regions will receive credit for the completion of cleanup negotiations that result in the signature of an AOC or CA with a prospective purchaser that is implementing the entire remedy. Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".


l. Percentage of Remedial Action Starts Initiated by PRPs at Non-Federal Facility NPL and Superfund Alternative Sites

Definition:A Remedial Action (RA) is the implementation of the remedy selected in the ROD, and for the purposes of this measure, occurs at non-Federal Facility NPL and Superfund Alternative sites.

Definition of Accomplishment:This measure is the percentage of enforcement lead (i.e., PRP-financed in the RA Start Definition of Accomplishment in Chapter VII) RA starts at non-Federal Facility NPL and Superfund Alternative sites. It is calculated as the enforcement percentage of the total number of non-Federal Facility RA starts. The program target is to achieve 70% or more PRP-lead RA starts at non-Federal Facility NPL and Superfund Alternative sites.

DISCLAIMER: Regions will receive credit in the management of the Superfund program for "start" of a remedial action even though "initiation of physical on-site construction" may not have occurred for purposes of calculating a cost recovery statute of limitations. The date found in the remedial action actual start column of a CERCLIS report is a programmatic measure only, and cannot be relied on upon to create any rights,



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.


Special Planning/Reporting Requirements:This is a program target. See special planning requirements in Chapter VII, section A,and RA Start definition. Superfund Alternative sites should be identified in CERCLIS using the Special Initiatives Indicator of "Superfund Alternative".


m. Total Response Commitments (Including Dollar Value)

Definition:Total Response Commitments is the total universe of CERCLA enforcement instruments where the parties agree to conduct cleanup work and/or make cash payments toward future response costs at a site. This measure will require reporting of both the number of enforcement instruments as well as the estimated value of the response work and/or cash payments toward future response costs pursuant to each of those instruments.

Definition of Accomplishment:Enforcement Instruments at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites include:

- A Consent Decree (CD) is entered by the court, under section 106 or sections106/107 for PRPs to conduct or pay for the response action (ESI/RI, RI, RI/FS, FS, RD, RA, groundwater monitoring activities post-ROD, institutional controls, time-critical or NTC removal). Credit for the entered CD (Action Name =Consent Decree) is given on the date on which the consent decree is entered by the court. This date is recorded in CERCLIS as the actual completion date (Actual Complete). Types of CDs include CDs for mixed work, preauthorized mixed funding, de minimis, and cashout settlements. The appropriate Enforcement Instrument Categories Selected also must be entered into CERCLIS.

- A Unilateral Administrative Order (UAO) is signed by the Regional Administrator or delegate for response work, and at least one of the PRPs has provided notice of intent to comply unconditionally. Commitment credit is given on the date of the PRPs written notice of intent to comply with the order. This is reported in CERCLIS as the actual completion date (Actual Complete) of the Notice of Intent to Comply SubAction (SubAction Name = PRPs Ntfy EPA,



Intent to Comply). The actual completion date (Actual Complete) of the order (Action Name = Unilateral Admin Order) is the date it is signed.

If a PRP initially complies with a UAO, credit will be given for the UAO when the first PRP provides written notice of intent to comply. If, at a later date, the PRP agrees to a CD for the same work, credit will be given for the CD when it is entered by the court. At this point the region will receive credit for the CD only and not the UAO. When adding the Consent Decree Action, the region should identify the UAO as the predecessor action through Action Relationships and enter the estimated value of the UAO as the estimated value of the CD if the CD covers the same work. If the CD covers more work than the UAO it replaces, a revised estimate may be necessary. The CERCLIS reporting requirements for the CD apply.

- An Administrative Order on Consent (AOC) or Consent Agreement (CA) is signed by the Regional Administrator or delegate for PRPs to perform or pay for an ESI/RI, RI, RI/FS, FS, time-critical or NTC removal, RD, monitored natural attenuation, institutional controls, or groundwater monitoring post-ROD. The date the AOC or CA is signed (Action Name = Admin Order on Consent or Consent Agreement (CA)) is reported in CERCLIS as the actual completion date (Actual Complete).

- Commitment credit is also given when an AOC or Consent Agreement (CA) is signed that provides protection from potential future liability to a prospective purchaser that is implementing the remedy. The actual completion date (Actual Complete) is the date the AOC or CA (Action Name = Admin Order on Consent or Consent Agreement (CA), and Enf Instrument Category Selected = Prospective Purchaser Agreement) is signed by the Regional Administrator or delegate.

- The conclusion of a Section 106, or Section 106/107 judicial action by final judgment for PRPs to conduct or pay for the response action. Credit for a JG (Action Name = Judicial/Civil Judgment) is given on the date on which the final judgment is signed by the judge and entered by the court. This date is recorded in CERCLIS as the actual completion date (Actual Complete). The appropriate Enforcement Instrument Categories Selected also must be entered into CERCLIS.

- The conclusion of a claim in bankruptcy proceedings by final judicial settlement.Credit is given for US settlements (Action Name = Bankruptcy Settlement) for PRPs to conduct or pay for future response work on the date the bankruptcy settlement is entered by the court and recorded in CERCLIS as the actual completion date (Actual Complete). The allowed settlement amount for response work should be entered into CERCLIS.

Total Response Commitments will be reported as a combined total of CDs, CAs, AOCs, JGs, Bankruptcy Settlements and UAOs, where response actions have been achieved and/or parties agree to make cash payments toward future response costs at a site. The value of Total Response Commitments is based on the estimated value of PRP response work and/or payments made by responsible parties toward future response costs at a site.

An enforcement instrument is active until the provisions of the instrument or another document incorporated by reference are completed, including payment provisions and



monitoring (with the exception of any activity related to record retention). (The CD, AOC, CA, or UAO has an Overall Compliance Status of " Work under Order Settlement Completed”; and the SubAction = Closed Order or Settlement, or the SubAction =Closed Order or Settlement with Potential for Penalty Claim has an Actual Completion Date). In addition, a UAO that is converted to a CD is no longer active.


Special Planning/Reporting Requirements:The applicable "Response Actions Pd by Parties," the "Work the PRP Will Perform -Value" (see supplement to: the Office of Solid Waste and Emergency Response (OSWER) Directive #9200.3-14-1a) or the "Federal Costs Settled - Future", "Other Relief Achieved", if applicable; and, if necessary, the "Enforcement Instrument Categories Selected" are to be reported in CERCLIS. Settlement credit will be given for an AOC or CA with a Prospective Purchaser (PPA), Prospective Lessee (PLA), Bona Fide Prospective Purchaser (BFPP), Contiguous Property Owner (CPO) or Windfall Lien Resolution (WL) Agreement with BFPP if PPA, PLA, BFPP, CPO, or WL is the selected enforcement instrument category. The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-Site-Subsequent Site) should be entered in CERCLIS on the Enforcement schedule for a single settlement covering multiple sites in order to apportion the dollars correctly across individual sites without double counting the settlement. Existing settlements for ESI/RI, RI/FS or FS that are amended to include RD should be reported in CERCLIS. The date the amendment is signed is the actual completion date (Actual Complete) of the Action "Enforcement Action Amended." The region should also indicate the "Response Actions Pd by Parties" added under the settlement. Amended Instruments will count for credit in the current year as well as in the program-to-date dollar amount. Dollars received in a cashout settlement should be deposited in an interest bearing special account if site-specific conditions warrant. See the measure, Settlements Designating Deposits to Special Accounts, for more information. This is a program measure. The "Work the PRP Will Perform - Value" and "Federal Costs Settled - Future" (i.e., the value of total response commitments) will be reported annually to Congress.


n. Total Active Response Enforcement Instruments in SNC and Not Addressed through Formal Enforcement

Definition:



The CERCLA compliance monitoring module in CERCLIS has been established to track instances of substantial noncompliance (SNC) with active CERCLA response enforcement instruments. The SNC tracking system is described in the joint OSRE and the Federal Facilities Enforcement Office (FFEO) “Guidance on Determining and Tracking Substantial Noncompliance with CERCLA Enforcement Instruments in CERCLIS” (August 24, 2009). The system tracks compliance with active CERCLA enforcement instruments that include work obligations. The guidance defines work obligations broadly to encompass all non-payment obligations contained in a CERCLAenforcement instrument, including reporting requirements, submission of work plans, performance of work, provision of financial insurance, and implementation of institutional controls.

The SNC tracking system and this measure are intended to help EPA prioritize the most serious violations and ensure a timely and appropriate enforcement response to them that result in a return to “Not in SNC” status or otherwise appropriately addresses those violations. In addition, the compliance tracking system will help EPA identify and analyze regional and national trends in addressing substantial noncompliance. This measure builds on the SNC tracking guidance to track the timeliness and nature of regional responses to instances of SNC by identifying enforcement instruments that have been in SNC status for two or more quarters without being addressed through formal enforcement action or returned to non-SNC status.

Definition of Accomplishment:The number and percentage of active response enforcement instruments in SNC status for two or more consecutive quarters and not addressed through formal enforcement. The CERCLIS compliance status values that document formal enforcement action has been taken for purposes of this measure are identified in the compliance status value table below. This measure is represented as a percentage of total active response enforcement instruments as well as a percentage of active response enforcement instruments in SNC status.

Compliance Status Values:

EXHIBIT IX.2. SUMMARY OF CERCLIS COMPLIANCE STATUS VALUES

Compliance StatusFormal

Enforcement Taken?

Description

Compliance Status Reviewed - Not In SNC(SRNF)

Not applicable

The region has completed its review of PRP compliance with work obligations under the enforcement instrument and has determined based on available information, that it is not in SNC. This value should also be used when an enforcement instrument was previously found to be in SNC and is no longer in SNC.

In SNC – Informal Action Planned (IIAP) No

The enforcement instrument is in SNC as to work obligations and the regionis 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 (IIAT) No

The enforcement instrument is in SNC as to work obligations and the regionhas taken an informal enforcement action such as a phone call, a warning letter, or a warning e-mail.



Example Measure Results Statement: The results of this measure as applied to national CERCLIS compliance status data can be summarized as follows (the variables are defined in the table below):

As of April 2011, of the (1A) nationally active response enforcement instruments, 1C+1D ((1C+1D)/1A)% were in substantial noncompliance (SNC) status.

Of the (1C+1D) in SNC, 1D (1D/(1C+1D))% were in SNC status for two or more consecutive quarters and had not yet been addressed through formal enforcement.

Of the total (1A) active instruments, the remaining (1B + All SNC Values less than two consecutive quarters) were (a) not in SNC status, (b) in SNC status for less than two consecutive quarters, or (c) in SNC status and have been addressed through formal enforcement.

EXHIBIT IX.3. MEASURE RESULTS CALCULATIONS

Measure Statement Code or Calculation Compliance Values IncludedTotal Number of Open Response Enf. Instruments with Compliance Status Values (1A)

1A Includes All Except:+Historical Status Codes+No Status Data

In SNC – Formal Action Planned (IFAP) No

The enforcement instrument is in SNC as to work obligations and the regionis 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 regionhas taken a formal enforcement action by invoking the penalty or other formal mechanisms outlined in the enforcement instrument.

In SNC – Informal Action Taken and Compliance Accomplished (IIAC)

Yes

The enforcement instrument was in SNC as to work obligations and the region took informal enforcement action, with the result that the instrument was no longer in SNC by the end of the quarter. Use only where SNC was identified and resolved in a single quarter.

In SNC – Formal Action Taken and Compliance Accomplished (IFAC)

Yes

The enforcement instrument was in SNC as to work obligations and the region took formal enforcement action, with the result that the instrument was no longer in SNC by the end of the quarter. Use only where SNC was identified and resolved in a single quarter.

In SNC – In Dispute Resolution (IIDR) Yes

Should be used in lieu of “In SNC - Formal Action Taken” when the formal dispute resolution provisions of the enforcement instrument have been invoked with respect to work obligations.

In SNC – Referred to DOJ (IDOJ) Yes

Noncompliance has been addressed by referral to the Department of Justice. This also includes instances where a case is sent to DOJ to file a bankruptcy proof of claim when a PRP who was performing work has entered bankruptcy. This level of specificity is required to allow HQ to track whether DOJ is taking action in accordance with the IA. This value should be used in lieu of “In SNC – Formal Action Taken.”

In SNC – Fund Takeover (IFTO) Yes Noncompliance has been addressed by fund takeover of the work addressed

by the enforcement instrument.Decision Not to Pursue Violations (DNPV) Yes The region decided not to pursue violations. Primarily for use when no work

remedy is available and the region decides not to pursue penalties.Work Under Order/Settlement Completed(WOSC)

Not applicable

All of the work obligations under the enforcement instrument have been completed to the satisfaction of EPA.



Measure Statement Code or Calculation Compliance Values IncludedTotal Open Response Enf. Instruments Not in SNC Status (1B)

1B Includes:+ Compliance Status Reviewed - Not In SNC(SRNF)

Total Open Response Enf. Instruments in SNC Status Less Than Two Consecutive Quarters or In SNC Status and Addressed through Formal Enforcement

1C Includes:+ In SNC - Fund Takeover (IFTO)+ Documented Decision Not to Pursue Violations (DNPV)+ In SNC - Formal Action Taken (IFAT)+ In SNC - Formal Action Taken and Compliance Accomplished (IFAC)+ In SNC - Informal Action Taken and Compliance Accomplished (IIAC)+ In SNC - In Dispute Resolution (IIDR)+ In SNC - Referred to DOJ (IDOJ)+ In All SNC - Values Less than two Consecutive Quarters.

Total Open Response Enf. Instruments Not in SNC Status or in SNC Status andAddressed through Formal Enforcement

1B+1C ((1B+1C)/1A)%

Total Open Response Enf. Instruments in SNC Status Two or More Quarters and Not Addressed through Formal Enforcement (1D)

1D(1D/(1C+1D))%

Includes:+ In SNC - Formal Action Planned (IFAP)+ In SNC - Informal Action Planned (IIAP)+ In SNC - Informal Action Taken (IIAT)

Total Number of Open Response Enf. Instruments in SNC Status (1C+1D)

1C+1DIncludes: + In SNC - Fund Takeover (IFTO)+ Documented Decision Not to Pursue Violations (DNPV)+ In SNC - Formal Action Taken (IFAT)+ In SNC - Formal Action Taken and Compliance Accomplished (IFAC)+ In SNC - Informal Action Taken and Compliance Accomplished (IIAC) + In SNC - In Dispute Resolution (IIDR)+ In SNC - Referred to DOJ (IDOJ)+ In SNC - Formal Action Planned (IFAP)+ In SNC - Informal Action Planned (IIAP)+ In SNC - Informal Action Taken (IIAT)


Special Planning/Reporting Requirements:For each response enforcement instrument that reports a “Decision Not to Pursue Violations (DNPV),” the region is required to briefly describe, in the Compliance Status Comment Field, the nature of the noncompliance and the rationale for deciding not to pursue the violations.

For each response enforcement instrument that has been in SNC status for two or more consecutive quarters and not yet addressed by formal enforcement action, the region is required to briefly describe, in the Compliance Status Comment Field, the nature of the



noncompliance and the informal enforcement action taken or the formal or informal enforcement action planned to address the noncompliance.

All compliance status comment fields will be considered enforcement sensitive and will not be subject to release under the Freedom of Information Act (FOIA).

Frequency of Reporting:Regions should update the compliance status of all open enforcement instruments in CERCLIS on a quarterly basis for all active response instruments where remedy construction is not yet completed. Once all actions addressed by an enforcement instrument are “Construction Complete” and the operable unit(s) at which those actions were completed is in either the Operations and Maintenance phase or the Long Term Remedial Action phase, the frequency of compliance status reporting can be reduced to annually. Once a region makes an initial “Not in SNC” determination for an access-only enforcement instrument, further compliance status determinations will not be required unless a subsequent limitation or denial of access occurs, in which case quarterly determinations will be required until the region once again determines that the instrument is “Not in SNC” status.

o. Total Amount of Response Commitments Secured through Financial Assurance

Definition:Financial responsibility requirements ensure that responsible parties have the resources to complete cleanup work obligations they assume under CERCLA enforcement instruments. Financial assurance provides protection against liable parties who default on their cleanup obligations, which would subsequently shift the burden for these costs to state and federal taxpayers. Enforcement instruments requiring CERCLA cleanup work should include financial assurance provisions where appropriate. This measure counts thetotal universe of CERCLA enforcement instruments where parties have agreed to provide financial assurance to secure site cleanup. In addition, the measure will report the total amount of financial assurance provided by the parties pursuant to each instrument.

Definition of Accomplishment:For all enforcement instruments at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites where there is cleanup work and the parties have agreed to provide financial assurance to secure the response work, this measure will report the:

7. Total number of enforcement instruments with financial responsibility provisions;1. Total number of enforcement instruments where financial assurance was

provided; and2. Amount (dollar value) of financial assurance provided responsible parties to

secure response commitment costs.

Changes in Definition from:None.



Special Planning/Reporting Requirements:This is a program measure. For Enforcement Instruments included as a part of this measure see the Total Response Commitments definition of accomplishment. Financial assurance provides security that a site cleanup will be completed. Enforcement instruments for cost recovery only or the cost recovery component of an enforcement instrument will not be counted in this measure. Regions must answer Yes or No to the question Financial Assurance Required on the CERCLIS Enforcement Instrument Screen when entering the details of the enforcement instrument. In addition, the following information should be entered in CERCLIS under the Financial Assurance tab of the Enforcement Instrument screen when an answer of Yes is indicated:

Type of financial amount or face value of financial assurance provided; Assurance mechanism provided (i.e., Trust Fund, Letter of Credit, Payment or Performance Bond, Insurance Policy, Financial Test, Corporate Guarantee); Financial assurance issuer; and where applicable the Financial assurance mechanism expiration date.

Generally, responsible parties agree to provide financial assurance within 30 days of the entry of the Consent Decree (CD), upon completion of the Administrative Order on Consent (AOC) or Consent Agreement (CA), or when compiling with the Unilateral Administrative Order (UAO).


p. De Minimis Settlements and Number of Parties

Definition:This measure reports the total number of administrative or judicial settlements that are reached under section 122(g) of CERCLA, with PRPs qualified as de minimis. This type of settlement results in PRPs paying a minor portion of the estimated response costs at the site, and is embodied in a CD or an AOC. If the total response costs at the site exceed $500,000 (excluding interest), the AOC can only be signed by the Regional Administrator or delegate after prior written approval from DOJ. If DOJ does not approve or disapprove the order within 30 days, the order is considered approved and can then be signed by the region. The DOJ and the Regional Administrator or delegate can agree to extend the 30-day period if necessary.

This measure will examine the total number of de minimis settlements under section122(g), the number of PRPs who sign such settlements, and the number of sites at which de minimis settlements were signed.




Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites for de minimis settlements in the following two categories.

Category 1: De minimis settlements include:

- An Administrative Order on Consent (AOC) (Action Name = Admin Order on Consent) signed by the Regional Administrator or delegate. The date the AOC is signed is reported in CERCLIS as the actual completion date (Actual Complete) of the AOC (Action Name = Admin Order on Consent); or

- A memorandum transmitting the Consent Decree (CD) (Action Name = Consent Decree) signed by the Regional Administrator and the de minimis parties to DOJ or HQ. The date of the transmittal memorandum is reported in CERCLIS as the actual start date (Actual Start) of the CD (Action Name = Consent Decree).

The number of signatories to the settlement is system generated in CERCLIS from the identification of the PRPs who have signed the settlement. Category 2: Early de minimis settlements include:

- An Administrative Order on Consent (AOC) (Action Name = Admin Order on Consent) signed by the Regional Administrator or delegate prior to the first remedy selection (ROD) at the site, or prior to a subsequent ROD which addressesresponse costs that are included in the settlement. The date the AOC is signed is reported in CERCLIS as the actual completion date (Actual Complete) of the AOC (Action Name = Admin Order on Consent).

- A memorandum transmitting the Consent Decree (CD) (Action Name = Consent Decree) signed by the Regional Administrator and the de minimis parties to DOJ or HQ prior to the first remedy selection (ROD) at the site or prior to a subsequent ROD which addresses response costs that are included in the settlement. The date of the transmittal memorandum is reported in CERCLIS as the actual start date (Actual Start) of the CD (Action Name = Consent Decree).

The number of signatories to the settlement is system generated in CERCLIS from the identification of the PRPs who have signed the settlement.

Changes in Definition None.

Special Planning/Reporting Requirements:This is a program measure. The following information should be entered into CERCLIS for both Category 1 and Category 2 settlements:

- Enforcement Instrument Categories Selected of de minimis; - PRPs that signed the settlement (Parties Associated with Action, Party Name); - Dollar amount that will be used for current, future, or past work covered by the

settlement (Work PRP Will Perform - Value, Federal Costs Settled - Past and/or Federal Costs Settled - Future (as applicable)); and



- Applicable Response Actions Pd by Parties, Other Relief Achieved, or Response Actions Reimbursed. To indicate the de minimis PRPs that signed the settlement, the following information must be entered for each party on the Party Search/Information, Involvement tab:

Basis of Liability of "De Minimis party"; and Involvement Type of "Owner", "Generator" or "Transporter".

Since many de minimis settlements are cashouts, regions also must enter an Enforcement Instrument Category of "Cashout." Dollars received in a de minimis cashout settlement should be deposited in an interest bearing special account if site-specific conditions warrant. See the Settlements Designating Deposits to Special Accounts measure for additional information. The number of signatories to the settlement is system generated from the identification of the PRPs who have signed the settlement.


q. Cashout Settlements

Definition:This measure reports the total number of administrative or judicial settlements where the parties agree to make cash payments toward future response costs at a site.

Definition of Accomplishment:Credit is given when:

- The Regional Administrator transmits the cashout CD (Action Name = Consent Decree) to DOJ or HQ as recorded in CERCLIS as the actual start date (Actual Start); or

- The Regional Administrator or delegate signs the AOC (Action Name = Admin Order on Consent) for the cashout settlement as recorded in CERCLIS as the actual completion date (Actual Completion).


Special Planning/Reporting Requirements:This is a program measure. Regions must enter the appropriate Enforcement Instrument Category "Federal Costs Settled - Future", "Response Actions Pd by Parties", and/or "Other Relief Achieved". Dollars received in a cashout settlement should be deposited in an interest bearing special account if site-specific conditions warrant. See the measure, Settlements Designating Deposits to Special Accounts, for more information.




r. Section 106, 106/107, 107 Case Resolution (Including Claim in Bankruptcy)

Definition:Case resolution is the conclusion of a Section 106, 106/107, 107 judicial action, or Claim in Bankruptcy by full settlement, case dismissal, or case withdrawal, or final judgment.

Definition of Accomplishment:Credit for case resolution is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites when:

- A Consent Decree (CD) is entered in the court and signed by the judge fully addressing the complaint with all parties;

- The region receives a memo or letter from DOJ withdrawing the case; - A decision document is submitted by the judge dismissing the case; or - A trial has concluded and a judgment rendered and signed by the judge fully

addressing the complaint.

The Litigation or case resolution (Action Name = Litigation (Generic), Section 106/107 Litigation, Section 107 Litigation, Section 106 Litigation, or Claim in Bankruptcy Proceeding) actual completion date (Actual Complete) is defined as follows:

- Date full settlement CD is entered. This is the actual completion date (Actual Complete) of the CD, actual completion date of the SubAction = Entered by Court, and the litigation or bankruptcy action actual completion date (Actual Complete);

- Date case is withdrawn (SubAction Name = Case Withdrawn) as the SubAction completion and litigation or bankruptcy actual completion date (Actual Complete);

- Date case is dismissed (SubAction Name = Case Dismissed) as the SubAction and litigation or bankruptcy actual completion date (Actual Complete); or

- Date judgment is entered (Action Name = Judicial/Civil Judgment) as the judgment and the litigation or bankruptcy actual completion date (Actual Complete).


Special Planning/Reporting Requirements:This is a program measure.




s. Issuance of Demand Letter

Definition:A Section 122(e) letter issued from EPA to the PRP requesting that the PRP reimburse the Fund for a specific amount associated with one or more response activities. Demand letters are typically sent for each separate response activity.

Definition of Accomplishment:This Action is accomplished on the date (Actual Complete) the demand letter is signed by the appropriate EPA official and recorded in CERCLIS as an Action (Action Name =Demand Letters Issued).


Special Planning/Reporting Requirements:This is a program measure.


t. Total Cost Recovery Settlements (Including Dollar Value)

Definition:Total Cost Recovery Settlements is the total universe of CERCLA enforcement cost recovery settlements where the parties agree to pay past costs to the Agency. This measure will require reporting of both the number of settlements as well as the value of the past costs to be recovered pursuant to each of these settlements.

Definition of Accomplishment:Settlements at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites include:

- Consent Decrees - Credit is given for CD settlements (Action Name = Consent Decree) for RD/RA with a cost recovery component, or CDs for cost recovery



only that were not a result of a previous litigation referral, on the date the consent decree is entered by the court and recorded in CERCLIS as the actual completion date (Actual Complete).

For CD settlements that are for cost recovery only and result from a previous litigation referral, regions should not add a CD start date (Actual Start). Only the lodged (SubAction Name = Lodged by DOJ) and entered (SubAction Name =Entered by Court) SubActions, their actual completion dates (Actual Complete), and the actual completion date (Actual Complete) of the CD are recorded. The actual completion date of the CD is the date it is entered by the court. If the actual completion date for the Lodged by DOJ SubAction exists, credit will be given in the FY identified by this completion date.

- The conclusion of a Section 106/107 judicial action by final judgment with a cost recovery component, or for cost recovery only. Credit for a JG (Action Name =Judicial/Civil Judgment) is given on the date on which the final judgment is signed by the judge and entered by the court. This date is recorded in CERCLIS as the actual completion date (Actual Complete).

- The conclusion of a claim in bankruptcy proceedings by final judicial settlement.Credit is given for US settlements (Action Name = Bankruptcy Settlement) where cost recovery had been achieved on the date the bankruptcy settlement is entered by the court and recorded in CERCLIS as the actual completion date (Actual Complete). The allowed settlement amount for cost recovery should be entered into CERCLIS.

- Administrative Settlements - Credit is given on the date that the regional office or DOJ receives payment from the PRPs in direct response to a demand letter for voluntary cost recovery or the date the Regional Administrator or delegate signs the Administrative Order on Consent (AOC) or Consent Agreement (CA) for cost recovery. The date must be reported in CERCLIS as the actual completion date (Actual Complete) of the administrative/voluntary cost recovery (Action Name =Admin/Voluntary Cost Recovery), AOC (Action Name = Admin Order on Consent), or CA (Action Name = Consent Agreement).

Total Cost Recovery Settlements will be reported as the combined total of CDs, CAs, Administrative/Voluntary Cost Recovery actions, JGs, USs and AOCs where cost recovery has been achieved.

An enforcement instrument is active until the provisions of the instrument or another document incorporated by reference is completed including payment provisions and monitoring (with the exception of any activity related to record retention). (The CD, AOC, or CA has an Overall Compliance Status of "Closed Order/Settlement"; and the SubAction = Closed Order or Settlement, or the SubAction = Closed Order or Settlement with Potential for Penalty Claim has an actual completion date (Actual Complete)).


Special Planning/Reporting Requirements:



The appropriate Site Lead Action Qualifier of MF (Multi-Site-First Site) or MS (Multi-Site-Subsequent Site) should be entered in CERCLIS on the Enforcement schedule for a single settlement covering multiple sites in order to apportion the dollars correctly across individual sites without double counting the settlement. This is a program measure. The "Federal Costs Settled - Past" must be entered into CERCLIS. This measure will be reported in the ENFR-03 report. The "Federal Costs Settled - Past" (i.e. the value of costs recovered) will be reported annually to Congress.


u. Number and Amount of CERCLA Penalties Assessed

Definition:This measure supports the goal of Trust Fund Stewardship by providing information on the amount and number of final CERCLA penalties assessed. The measure identifies monies that are provided for the Trust Fund as a result of penalties assessed for violations of the CERCLA statute. The measure also supports the systematic reporting on the programmatic impacts of compliance and enforcement.

This measure is expressed as the dollar amount of the final assessed penalty under CERCLA. For civil judicial cases, this amount is the penalty assessed against the defendant(s) as specified in the Consent Decree or Court Order entered by the court or agreed to by the defendant(s). For administrative cases, it is the penalty agreed to in the final AOC or assessed directly by EPA under section 109(a) and (b) of CERCLA.

The number of CERCLA penalties assessed is the number of civil, judicial, or administrative enforcement actions where a penalty was assessed under a CERCLA statute.

Definition of Accomplishment:The number of CERCLA penalties assessed is the total number of enforcement actions (CDs, AOCs, judgments, or court orders) where a penalty was assessed under a CERCLA statute, including actions that are only for CERCLA or multi-media actions that contain a CERCLA component.

The value of CERCLA penalties assessed is the total dollar amount of penalties assessed under the CERCLA statute for violations of requirements contained in civil, judicial, and administrative enforcement actions. If the enforcement action consists of multi-media actions, this measure will only include the amount that is assessed under the CERCLA statute, to the extent that it can be specified.




None.

Special Planning/Reporting Requirements:The "Stipulated Penalty Assessed - Amount Imposed" and/or "Statutory Penalty Assessed - Amount Imposed" should be entered into CERCLIS through the Penalty/Supplemental Environmental Project (SEP) screens associated with the enforcement instrument. Official end of year numbers and values for Stipulated Penalties are reported by the Office of Enforcement and Compliance Assurance using information from ICIS.


v. Number of Settlements Where EPA Settled Based on Ability-to-Pay Determinations

Definition:The measure will help assess the extent to which EPA is using ability-to-pay determinations to achieve its goal of Enforcement Fairness. The measure will report the number of administrative or judicial settlements that are reached under CERCLA with PRPs qualified as limited ability-to-pay parties. This type of settlement results in: 1) PRPs paying less than their respective portion of the cost for site cleanup based on an ability-to-pay determination; 2) Payment over time for parties with limited ability to raise annual revenues; or 3) Parties providing in-kind service in lieu of cash payments.

Definition of Accomplishment:Total ability-to-pay settlements are counted as follows:

- When an AOC (Action Name = Admin Order on Consent) or Consent Agreement (CA) (Action Name = Consent Agreement) with the ability-to-pay PRPs is signed by the Regional Administrator or delegate and reported in CERCLIS as the actual completion date (Actual Complete).

- When the Regional Administrator signs the memorandum transmitting the CD (Action Name = Consent Decree) signed by the ability-to-pay parties (and the Regional Administrator) to DOJ or HQ as reported in CERCLIS as the actual start date (Actual Start).


Special Planning/Reporting Requirements:This is a program measure. An Enforcement Instrument Categories Selected of "Ability to Pay" needs to be entered into CERCLIS.




w. Bona Fide Prospective Purchaser Agreements

Definition:In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled the Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Amendments"). Among other things, the Brownfields Amendments provide a limitation on liability for persons who qualify as bona fide prospective purchasers (BFPPs). The intent of Congress in enacting this provision was to remove certain liability barriers to purchases of property and encourage redevelopment. Although EPA believes the necessity for agreements with prospective purchasers has been largely addressed by congressional action, the Agency recognizes that, in limited instances, the public interest would be served by entering into agreements with BFPPs who will perform work (removal) exceeding reasonable steps at a site of federal interest. This measure will quantify the number of BFPP Removal Agreements signed.

For the purpose of reporting, this measure will count the number of finalized agreements that include provisions for BFPPs to perform work (removal).

Definition of Accomplishment:Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites for the BFPP Agreements upon the completion date (Actual Complete) of a Consent Agreement (CA) or Administrative Order on Consent (AOC) (Action Name = Admin Order on Consent or Consent Agreement) for response action (removal) by a BFPP. The completion date is the date the settlement is signed by the Regional Administrator or delegate.


Special Planning/Reporting Requirements:Regions should select the enforcement instrument category Bona Fide Prospective Purchaser (BFPP) work agreement (Enforcement Instrument Categories Selected = BFPP Work Agreement) in CERCLIS and associate the appropriate response action. The actual completion date will be the date of the EPA signature of the AOC or CA (see above).




business day following the end of FYQ1, FYQ2 and FYQ3, and on the 10th business day following the end of the FYQ4.)

x. Prospective Purchaser Agreements (PPAs) & Prospective Lessee Agreements (PLAs)

Definition:In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled the Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Amendments"). The Brownfields Amendments provide a limitation on liability for persons who qualify as bona fide prospective purchasers. The intent of Congress in enacting this provision was to remove certain liability barriers to purchases of property and encourage redevelopment. While EPA understands the necessity for PPAs and PLAs has been largely eliminated by the Amendments, the Agency recognizes that in limited instances the public interest will be served by entering into PPAs and PLAs. This measure, therefore, will continue to report progress toward both the goals of enforcement fairness, redevelopment, and revitalization of contaminated properties. This measure will quantify the number of PPAs and PLAs signed.

For the purpose of reporting, this measure will count:

1. The number of finalized settlement agreements (AOCs, CAs, CDs) that include prospective purchaser provisions.

3. The number of finalized settlement agreements (AOCs, CAs, CDs) that include prospective lessee provisions.

Definition of Accomplishment:Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites:

- Prospective Purchaser Agreement: This is the completion of a PPA based on the date (Actual Complete) the Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) with a PPA component is signed by the Regional Administrator or delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with a PPA component is entered by a federal court. Regions also must enter the Enforcement Instrument Category to indicate a PPA (Enforcement Instrument Categories Selected = Prospective Purchaser Agreement).

- Prospective Lessee Agreement: This is the completion of a PLA based on the date (Actual Complete) the Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) with a PLA component is signed by the Regional Administrator or delegate or the date (Actual Start) the CD (Action Name = Consent Decree) with a PLA component is entered by the federal court. Regions also must enter the Enforcement Instrument Category to indicate a PLA (Enforcement Instrument Categories Selected = Prospective Lessee Agreement).




Special Planning/Reporting Requirements:For each settlement, the region should enter the following information into CERCLIS: "Work PRP Will Perform - Value" and/or "Federal Costs Settled - Future" and "Response Actions Pd by Parties;" and/or "Federal Costs Settled - Past", "Response Actions Reimbursed", and/or "Other Relief Achieved" of "Other Activities for Cost Recovery"; and an Enforcement Instrument Categories Selected of "Prospective Purchaser Agreement" or "Prospective Lessee Agreement." The numbers of PPA and PLA agreements signed are program measures.


y. Issuance of Comfort/Status Letters

Definition:In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled the Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Amendments"). Parties interested in purchasing, developing, or operating these properties are provided information, upon request, regarding the potential for EPA actions. Comfort/status letters, while providing some assurances, are intended solely for informational purposes and only communicate EPA's intent with regard to enforcement or response authorities. Comfort/status letters do not provide a release from CERCLA liability, and therefore, are not considered "no action assurances." Any response to a solicitation for information on EPA's involvement or potential involvement/interest in a property qualifies as a comfort/status letter.

Definition of Accomplishment:If the comfort/status letter is a windfall lien or reasonable steps comfort/status letter, Regions must indicate this in CERCLIS (Action Qualifier = Windfall Lien or Reasonable Steps). A comfort/status letter is accomplished (Actual Complete Date) the day it is signed by the appropriate regional official.

Changes in Definition:The former start date (Actual Start Date) for this action the date a written request was received by the Agency for a comfort/status letter from an interested party is no longer required, and will not be tracked by HQ. Regions may continue to track this if they wish.




This is a program measure. Regions should track the property/site specific issuance of comfort/status letters electronically in CERCLIS. For each comfort/status letter that is a windfall lien or reasonable steps comfort letter, regions should enter the Action Qualifier of "Windfall Lien" or "Reasonable Steps" respectively into CERCLIS.


z. Contiguous Property Owners (CPOs)

Definition: In 2002, the Small Business Liability Relief and Brownfields Revitalization Act (Brownfields Amendments) amended CERCLA to provide liability protection to Contiguous Property Owners (CPOs). CERCLA section 107(q) excludes from the definition of “owner or operator” under CERCLA sections 107(a)(l) and (2) a person who owns property that is “contiguous to or otherwise similarly situated with respect to, and that is or may be contaminated by a release or threatened release of hazardous substances from” real property owned by someone else. While CERCLA section 107(q), like other provisions in the Brownfields Amendments, is designed to grant landowner liability protection without any action from or involvement of EPA, in CERCLA section107(q)(3)(b), Congress expressly conferred upon EPA the ability to grant a CPO protection against a cost recovery or contribution action under CERCLA section 113(f).EPA believes congressional intent in passing this provision was to provide additional protection to CPOs who have been sued or where there is the real and substantial threat of litigation. It is the Agency’s view that the assurance can also remove the stigma associated with being neighbors of contaminated properties, as well as facilitate development.

For the purpose of reporting, this measure will count: The number of finalized settlement agreements (AOCs & CAs) that include contiguous property owner provisions.

Definition of Accomplishment:Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites: Contiguous Property Owners: This is the completion of a CPO based on the date (Actual Complete) the Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) with a CPO component is signed by the Regional Administrator or delegate. Regions also must enter the Enforcement Instrument Category to indicate a CPO (Enforcement Instrument Categories Selected = Contiguous Property Owners).




Contiguous Property Owners is a new measure. Only finalized (enforcement instrument actual completion date) CPOs are counted.

Special Planning/Reporting Requirements: For each settlement, the region should enter the following information into CERCLIS: “Work PRP Will Perform – Value” and/or “Federal Costs Settled – Future” and “Response Actions Pd by Parties”; and/or “Federal Costs Settled – Past”, “Response Actions Reimbursed”, and/or “Other Relief Achieved” of “Other Activities for Cost Recovery”; and an Enforcement Instrument Categories Selected of “Contiguous Property Owners”. The number of CPOs is a program measure.


aa. Windfall Lien Resolution - Finalized

Definition:In January 2002, CERCLA was amended through enactment of Public Law 107-118, titled the Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Amendments"). Congress provided liability protection under CERCLA for bona fide prospective purchasers to encourage the purchase and reuse of contaminated properties. The windfall lien provision under section 107(r) applies to bona fideprospective purchasers, whereas the older Superfund lien under section 107(l) applies to PRPs. EPA may enter into a windfall lien resolution agreement with a purchaser if there is likely to be a significant windfall lien needing resolution. This measure will quantify the number of windfall lien resolution agreements signed. For the purpose of reporting, this measure will count the number of finalized settlement agreements (AOCs and CAs) that include the windfall lien resolution provisions.

Definition of Accomplishment:Credit is given at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites for Windfall Liens Resolutions (WL) Agreements. Based on the date (Actual Complete Date) of the Administrative Order on Consent (AOC) (Action Name = Admin Order on Consent) or the Consent Agreement (CA) (Action Name = Consent Agreement) with a WL component is signed by the Regional Administrator or delegate.


Special Planning/Reporting Requirements:WL agreements are program measures. For each agreement, the region should enter the following information into CERCLIS: Work PRP Will Perform - Value and/or Federal



Costs Settled - Future and Response Actions Pd by Parties; and/or Federal Costs Settled -Past, Response Actions Reimbursed, and/or Other Relief Achieved of Other Activities for Cost Recovery; and an Enforcement Instrument Categories Selected of Windfall Lien Resolution Agreement.


bb. Orphan Share - EPA Offer and Compensation

Definition:This measure reports on EPA efforts to compensate parties for the portion of the response costs attributable to insolvent and defunct parties (orphan share).

This measure includes negotiations and settlements for RI/FS, RD/RA, time-critical or NTC removals, or appropriate cost recovery cases. This measure will report: 1) the number of negotiations where EPA offered to compensate for a portion of the orphan share; 2) the Maximum Amount Appropriate for Compensation (MAAC) under the 1996 Interim Guidance on Orphan Share Compensation for Settlers of Remedial Design/Remedial Action and Non-Time-Critical Removals and the 1997 Cost Recovery Addendum (dated: September 30, 1997); 3) the actual amount of compensation offered; 4) the number of settlements where EPA compensated for a portion of the orphan share; 5) the actual dollar amount of the orphan share compensated by EPA; and 6) the actual date the region made the offer. Orphan share compensation offers are subject to the adequacy of cleanup program funding, and eligibility requirements under the policies. Orphan share compensation is not available at sites where there are no orphan parties, Federal Facilities, sites where every PRP is liable as a current or former owner and/or operator and the region has not identified any generator/transporter (i.e. "owner-operator only" sites), or sites where PRPs are performing work pursuant to a UAO, unless such parties are willing to convert the UAO to a CD. All other sites are eligible sites for purposes of this measure for work (i.e., Remedial Design/Remedial Action and Non-Time Critical Removal) negotiations at NPL sites. The method for determining the appropriate compensation to be offered by EPA is provided in the "Interim Guidance on Orphan Share Compensation for Settlers of Remedial Design/Remedial Action and Non-Time-Critical Removals" dated June 3, 1996 and the 1997 Cost Recovery Addendum (dated: September 30, 1997). The MAAC should not exceed the lesser of the following ceilings: 1) the orphan share; 2) the sum of all EPA unreimbursed past costs and EPA’sprojected costs of overseeing the design and implementation of the Record of Decision (ROD) remedy, time-critical or NTC removal costs; or 3) 25% of the projected ROD remedy, time-critical or NTC removal costs at the site.

It should be noted that orphan share compensation at RI/FSs, time critical removals and non-NPL sites/Superfund Alternative sites is discretionary under the 1996 Orphan Share



Policy. Although regions should offer orphan share compensation during settlement negotiations for RD/RA and non-time critical removal actions at NPL sites, it is not required to offer orphan share compensation at time critical removals and non-NPL sites/Superfund Alternative sites.

Definition of Accomplishment:Credit is given at eligible non-Federal Facility non-owner/operator only NPL, Superfund Alternative, and non-NPL sites for negotiations where EPA offered to compensate for a portion of the orphan share. In order to receive credit for orphan share compensation in any case, at a minimum, the PRP must have been informed that part of the federal compromise at the site is attributable to orphan share. In negotiations for work, the PRP must be informed about the amount of the federal compromise attributable to orphan share under the MAAC analysis. Credit is given where EPA offered to compensate for orphan share when:

- The General Notice Letter (GNL) (for removals), first Special Notice Letter (SNL), Letter for Orphan Share Compensation (for on-going negotiations), orMemorandum for the Record for oral offers is signed by the appropriate EPA official for the site or operable unit (OU). The Memorandum of Record for oral offers may be, for example, a memorandum to the case file memorializing the oral offer. This date is reported in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name = RI/FS Negotiations, RD/RA Negotiations, Removal Negotiations, or Negotiations (Generic)) or the completion date (Actual Complete) of the Letter for Orphan Share Compensation SubAction (SubAction Name = Letter for Orphan Share Compensation) or Memorandum for the Record SubAction (SubAction Name = Memorandum for the Record); or

- A Section 122(a) waiver of SNL signed by the appropriate EPA official with the intent to pursue negotiations without moratorium procedures. This date is reported in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =RI/FS Negotiations, RD/RA Negotiations, Negotiations (Generic), or Removal Negotiations); or

- A Demand Letter, Letter for Orphan Share Compensation (for on-going negotiations), or Memorandum for the Record for oral offers for cost recovery signed by the appropriate EPA official is sent to the parties. This date is reported in CERCLIS as the actual start date (Actual Start) of negotiations (Action Name =Cost Recovery Negotiations) or the completion date (Actual Complete) of the Letter for Orphan Share Compensation SubAction (SubAction Name = Letter for Orphan Share Compensation) or Memorandum for the Record SubAction (SubAction Name = Memorandum for the Record).

Credit is given at eligible non-Federal Facility on-owner/operator only NPL, Superfund Alternative, and non-NPL sites where EPA compensated for a portion of the Orphan Share as follows:

- A CD (Action Name = Consent Decree) and a 10-point settlement analysis for RD or RA is signed under section 106, 106/107, 104(a), 104(b), or for cost recovery only under section 107. The date when the Regional Administrator signs the



memorandum transmitting the CD, signed by the parties and the Regional Administrator, to DOJ is reported in CERCLIS as the actual start date (Actual Start); or

- An AOC (Action Name = Admin Order on Consent) for RI/FS, a time-critical or NTC removal, or RD only is signed by the Regional Administrator or delegate. The date on which the AOC is signed is reported in CERCLIS as the actual completion date (Actual Complete). For AOCs that are amended to include a time-critical or NTC removal, or RD only, the SubAction "Enforcement Action Amended" and the SubAction actual completion date (Actual Complete) must be entered into CERCLIS; or

- An AOC or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) for cost recovery under section 122(h) is signed by the Regional Administrator or delegate. The date on which the AOC or CA is signed is reported in CERCLIS as the actual completion date (Actual Complete). For AOCs or CAs that are amended to include cost recovery, the SubAction "Enforcement Action Amended" and the SubAction actual completion date (Actual Complete) must be entered into CERCLIS.


Special Planning/Reporting Requirements:Orphan Share Compensation Offered for work (i.e. Remedial Design/Remedial Action and Non-Time Critical Removal) negotiations at NPL sites is a program measure. The program measure is to offer orphan share compensation at 100% of eligible sites in work (i.e. Remedial Design/Remedial Action and Non-Time Critical Removal) negotiations at NPL sites. In addition, Orphan Share Compensated is a program measure. The applicable "Response Actions Pd by Parties" must be entered into CERCLIS. Indicators on the existence of an orphan share at a site, including whether the orphan share policy applies for work at a site, an orphan share compromise was offered or compensated by EPA, the MAAC and ceiling type, the past and anticipated future costs offered and compensated by EPA will be entered into CERCLIS.


cc. Non-Exempt De Micromis Parties Settlements and Number of Parties

Definition:This measure reports the total number of administrative or judicial settlements that are reached solely under section 122 of Superfund Amendments and Reauthorization Act of 1986 (SARA), with PRPs qualified as non-exempt de micromis. It is rather unusual in



that it measures success inversely. The lower the number of non-exempt de micromis parties settlements, the more successful the Agency's non-exempt de micromis policy.

Definition of Accomplishment:Non-exempt de micromis parties settlements at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites include:

- An AOC (Action Name = Admin Order on Consent) signed by the Regional Administrator or delegate, as reported in CERCLIS, as the actual completion date (Actual Complete).

- When the Regional Administrator signs the memorandum transmitting the Consent Decree (Action Name = Consent Decree), signed by the non-exempt de micromis parties and the Regional Administrator to DOJ or HQ, as reported in CERCLIS, as the actual start date (Actual Start).

- The number of signatories to the settlement is system generated in CERCLIS from the identification of the PRPs associated with the settlement.

The following information should be entered into CERCLIS:

Enforcement Instrument Categories Selected of "Non-exempt DeMicromis"; PRPs that signed settlement (Parties Associated with Action, Party Name). To indicate the non-exempt de micromis parties that signed the settlement, the following information must be entered for each party on the Involvement screen: Basis of Liability of "Non-exempt De Micromis Party"; and Involvement Type of "Generator" or "Transporter".


Special Planning/Reporting Requirements:While EPA will enter into non-exempt de micromis parties settlements when extremely small volume contributor parties are threatened with suit, the ultimate measure of success of this policy will be that non-exempt de micromis parties are no longer pursued and there is no need to enter into such settlements (see above). This is a program measure.

The number of signatories to the settlement will be system generated from the identification of the parties associated with the settlement.




dd. PRP Oversight Administration

Definition:Through the Superfund Reform on the Administration of PRP Oversight (OS), EPA recognizes the value of working together with PRPs with whom the Agency has settlement agreements as a means to promote appropriate oversight that ensures the development and implementation of protective cleanups; gives careful consideration to the associated costs being charged to PRPs; and maximizes EPA recovery of oversight cost. This measure reports EPA's efforts to work with PRPs to maximize the effectiveness and efficiency of EPA oversight and to send timely bills for oversight.

This measure applies to all PRPs at non-Federal Facility NPL, Superfund Alternative, and non-NPL sites who:

- Are conducting, under federal oversight, the non-time-critical removal action (NTCRA), remedial investigation/feasibility study (RI/FS), remedial design (RD), or remedial action (RA) phase of a cleanup, AND

- Have an Administrative Order on Consent (AOC), Consent Decree (CD), or other settlement document in place with EPA that provides for payment of oversight costs.

Definition of Accomplishment:The annual accomplishment measure shall be based on the number of agreements (as described in the second bullet above) in place for RP-lead events that will take place during the fiscal year. The regions will accomplish the following objectives for each PRP or group of PRPs that has such an agreement and is required to pay oversight costs:

The date of the accomplishment for this measure is the later of the dates documenting completion of each of the actions below. Credit is given based on the date that:

- An offer (personal contact is strongly encouraged) is made to PRPs to discuss EPA's oversight expectations for upcoming activities. This date is reported in CERCLIS as the SubAction "Offer to Discuss EPA Oversight Expectations w/ PRPs" actual completion date (Actual Complete); AND

- An oversight bill consistent with the enforcement instrument is issued to PRPs or an accounting of costs is provided to PRPs. This date is reported in CERCLIS as the SubAction "Issuance of Oversight Bill" or as "Accounting of Oversight Costs Incurred" actual completion date (Actual Complete). If the settlement document is signed or referred within the current fiscal year only the "Offer to discuss EPA Oversight Expectations with PRPs" SubAction is required.


Special Planning/Reporting Requirements



This is a program measure. For the purposes of this measure only, HQ shall assume, unless otherwise informed by the regions, that PRPs that have entered into agreements with EPA will receive annual oversight bills unless the settlement was entered into in the current fiscal year. In that event no bill is required; however, the region will be expected to offer to meet with the PRPs to discuss oversight expectations. The regions will identify those actions for which PRPs are required to pay oversight costs.


ee. Settlements Designating Funds for Deposit to Special Accounts

Definition:This measure will assess the extent to which EPA is able to direct the deposit of settlement funds into Special Accounts under CERCLA section 122(b) (3), in its efforts to increase fairness and promote PRP settlements. EPA is able to retain and apply the interest from these accounts to clean up the site at which the settlement occurred. Funds deposited in Special Accounts are immediately accessible for response costs, but may only be used to support response actions at the site(s) covered by the settlement. Funds deposited into a Special Account may be the result of response costs achieved under: de minimis, ability to pay, bankruptcy, cashout, Prospective Purchaser Agreement (PPAs), or other settlements.

For all CERCLA settlements where PRPs agree to make cash payments toward response costs at a site (i.e. cashout and/or cost recovery settlements), the measure will report the following:

- The total number of cashout and cost recovery settlements, and the estimated amount of response costs achieved from those settlements;

- The number of settlements which designate funds for deposit to Special Accountsfor response costs, and the percentage of these settlements compared to the total number of cashout and cost recovery settlements; and

- The amount of funds designated for deposit to Special Accounts by the settlement for response costs and the percentage of these funds, compared to the total amount of response costs achieved from all cashout and cost recovery settlements.

Definition of Accomplishment:This measure counts any settlement, where there is a payment provision for funds to be deposited in a Special Account as follows:

- An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) is signed that includes



a payment provision, where funds will be placed in a Special Account. The date on which the Regional Administrator or delegate signs the AOC or CA is reported in CERCLIS as the actual completion date (Actual Complete); or

- A signed Consent Decree (CD) (Action Name = Consent Decree) referred to DOJ/HQ under section 106, 107, or 106/107 that includes a payment provision where funds will be placed in a Special Account. The date on which the Regional Administrator signs the memorandum transmitting the CD, signed by the parties and the Regional Administrator to DOJ or HQ is reported in CERCLIS as the actual start date (Actual Start). For CD settlements that are for cost recovery only and result from a previous litigation referral, regions should not add a CD start date (Actual Start). Only the lodged (SubAction = Lodged by DOJ) and entered (SubAction name = Entered by Court) SubActions, their actual completion dates (Actual Complete), and the actual completion date (Actual Complete) of the CD will be recorded. The actual completion date of the CD is the date it is entered by the court. If the actual completion date for the settlement lodged by DOJ exists, credit will be given in the FY identified by this completion date.


Special Planning/Reporting Requirements:This is a program measure. Data that must be entered into CERCLIS for these settlements include:

- Federal Costs Settled - Past (for Cost Recovery Settlements); - Federal Costs Settled - Future (for Cashout Settlements); - Enforcement Instrument Categories Selected (for Cashout Settlements); - Response Actions Paid by Parties (for Cashout Settlements); - Deposit to EPA Special Account; and - Special Account Deposit Provision Flag.


ff. Deposits into Special Accounts

Definition:This measure will report the amount of all actual deposits into Special Accounts. Funds deposited into a Special Account may be the result of response costs achieved under: de minimis, ability to pay, bankruptcy, cashout, cost recovery, Prospective Purchaser Agreements (PPAs), or other settlements as well as oversight payments. Funds deposited



in Special Accounts are immediately accessible for response costs at the site(s) covered by that Special Account. The source of the information reported under this measure is periodic extraction of information from EPA's financial management system, Compass. .

The measure will report the following:

- For each site for that fiscal year, the total amount of actual deposits into Special Accounts; and

- For each region for that fiscal year, the total amount of actual deposits into Special Accounts.

Definition of Accomplishment:The Cincinnati Financial Management Center (CFMC) deposits funds in the Special Account, as directed by the region. Deposit dates are recorded by CFMC in Compass. CFMC extracts data from Compass for tracking and reporting purposes. This measure counts all deposits made at the time that Special Accounts are established and any subsequent deposits made to these accounts as follows:

- The date on which a Special Account is established by the CFMC with the initial deposit amount; and

- The date on which any subsequent deposits are made by CFMC to existing Special Accounts.


Special Planning/Reporting Requirements:This is a program measure. Data that must be entered into Compass include:

- Amount of deposits into Special Accounts; and - The date of deposits into Special Accounts.

gg. Settlements Designating Funds for Disbursement from Special Accounts to PRPs

Definition:This measure will quantify the number of settlements in which EPA has agreed to disburse Special Account funds to PRPs for response actions at the site where the Special Account funds were collected. Response actions can be removal or remedial, under administrative or judicial settlements (under Agency guidance, Special Account funds are not available to parties performing work under a UAO).

For all CERCLA settlements where PRPs agree to conduct response actions at the site for which the Special Account was created, the measure will report the following:

- The number of response settlements which designate disbursement from Special Accounts to PRPs who conduct the response action; and



- The amount of funds designated to be disbursed from Special Accounts to PRPs in response action settlements.

Definition of Accomplishment: This measure counts all settlements where there is a provision for disbursement of Special Account funds to PRPs as follows:

- An Administrative Order on Consent (AOC) or Consent Agreement (CA) (Action Name = Admin Order on Consent or Consent Agreement) is signed that includes a disbursement provision. The date on which the Regional Administrator or delegate signs the AOC or CA is reported in CERCLIS as the actual completion date (Actual Complete); or

- A signed Consent Decree (CD) (Action Name = Consent Decree) is referred to DOJ/HQ under section 106 or 106/107 that includes a disbursement provision. The date on which the Regional Administrator signs the memorandum transmitting the CD, signed by the parties and the Regional Administrator to DOJ or HQ is reported in CERCLIS as the actual start date (Actual Start). The actual completion date of the CD is the date it is entered by the court. If the actual completion date for the settlement lodged by DOJ exists, then credit will be given in the FY identified by this completion date.


Special Planning/Reporting Requirements:This is a program measure. Data that must be entered into CERCLIS for these settlements include:

- Response Actions Paid by Parties; - Work PRP Will Perform - Value; - Paid from Special Account; and - Special Account Disbursement Provisions Flag.


hh. Disbursements from Special Accounts for Response Actions

Definition:This measure will assess the extent to which EPA uses Special Account funds for site cleanup by reporting the amount of all actual disbursements from Special Accounts for response actions. This measure will capture disbursements to all recipients, whether for



PRP-lead, State-lead, or EPA-lead response actions since Special Account funds can be used to pay PRP, state, and EPA response costs.

The source of the information reported under this measure is periodic extraction of information from EPA's Compass.


- For each site for that fiscal year, the total amount of actual disbursements from Special Accounts for response actions;

- For each site for that fiscal year, the total amount of actual disbursements from Special Accounts to PRPs for response actions;

- For each site for that fiscal year, the total amount of actual disbursements from Special Accounts to states for response actions;

- For each site for that fiscal year, the total amount of actual disbursements from Special Accounts to EPA for response actions;

- For each region for that fiscal year, the total amount of actual disbursements from Special Accounts for response actions;

- For each region for that fiscal year, the total amount of actual disbursements from Special Accounts to PRPs for response actions;

- For each region for that fiscal year, the total amount of actual disbursements from Special Accounts to states for response actions; and

- For each region for that fiscal year, the total amount of actual disbursements from Special Accounts to EPA for response actions.

Definition of Accomplishment:Regions make disbursements from Special Accounts. Disbursements are recorded by the regions in Compass. The Cincinnati Finance Center (CFC) extracts data from Compassfor tracking and reporting purposes. This measure counts all disbursements made from Special Accounts for response actions as follows:

- The date on which the region disburses funds from the Special Account as recorded in Compass.

The three sub-measures count all disbursements from Special Accounts to PRPs, states, and EPA for response actions as follows:

- The date on which the region disburses funds to PRPs from Special Accounts as recorded in Compass.

- The date on which the region disburses funds to states from Special Accounts as recorded in Compass.

- The date on which the region disburses funds to EPA from Special Accounts as recorded in Compass.




Special Planning/Reporting Requirements:This is a program measure. Data that must be entered into Compass includes:

- Actual disbursements from Special Accounts for response actions; - Actual disbursements from Special Accounts to PRPs for response actions; - Actual disbursements from Special Accounts to states for response actions; - Actual disbursements from Special Accounts to EPA for response actions (This

sub-measure is derived by subtracting the sum of the disbursements to PRPs and states from the disbursements from Special Accounts for response actions.); and

- The dates of disbursements from Special Accounts.

ii. Reclassification of Special Account Funds

Definition:This measure will report the amount of special account funds that have been reclassified to reimburse expended Superfund appropriation resources for response actions at that site. The source of the information reported under this measure is periodic extraction of information from EPA’s Compass.

The measure will report the following:- For the current fiscal year, the name and number of the Special Account and the

total amount of money reclassified from the Special Account.- For the current fiscal year, the cumulative amount of Special Account funds that

have been reclassified and the number of Special Accounts.

Definition of Accomplishment:Reclassifications are entered in Compass with a KV document. The KV document is a financial transaction that allows EPA to make adjustments in Compass to establish and document a reclassification. Special account reclassifications may only be executed by recording the KV transaction. This measure counts all reclassifications from Special Accounts as follows:

- The date on which the KV document is recorded in Compass.


Special Planning/Reporting Requirements: This is a program measure.

jj. Closure of Special Accounts

Definition:



This measure will report the closure of Special Accounts. The source of the information reported under this measure is periodic extraction of information from EPA's Compass.


- For each site at which a Special Account was closed for that fiscal year, the name of the site, the total amount of money transferred to the general part of the Superfund Trust Fund, and the amount of interest liability reduced from the Superfund Trust Fund; and

- For each region for that fiscal year, the total number of Special Accounts closed, the amount of money transferred to the general part of the Superfund Trust Fund, and the amount of interest liability reduced from the Superfund Trust Fund.

Definition of Accomplishment:Upon receipt of a request to close the Special Account from the Regional Program Office/Financial Management Office, the Cincinnati Financial Center (CFC) will close out the Special Account and record the closeout date in Compass. CFC extracts data from Compass for tracking and reporting purposes. This measure counts all transfers made at the time that Special Accounts are closed as follows:

- The date on which a Special Account is closed by the CFC with the amount to be transferred to the general part of the Superfund Trust Fund.


Special Planning/Reporting Requirements:This is a program measure. Data that must be entered into Compass include:

- The amount of receipts transferred from the Special Account to the general part of the Superfund Trust Fund;

- The amount of interest liability reduced from the Superfund Trust Fund; and - The date that the Special Account is closed.

kk. Management of Special Accounts

This measure will track and report CERCLIS information necessary to effectively manage Special Accounts. Some special account data, as indicated below, are imported into CERCLIS from the Compass Data Warehouse (CDW) on the sixth business day each month. The source of the information for this measure will be extractions of information from CERCLIS in preparation for summer work planning (July timeframe), final work planning (October timeframe), and mid-year planning (March timeframe). The measure will track and report in CERCLIS the following information where a Special Account has been established. Some of the fields are pre-populated from planning data entered on the CERCLIS Site Financial Transaction screen, as identified in the list below. Additional information on entering information in these fields can be found in the “Instruction



Guide for Entering Planning Data in the CERCLIS Superfund Special Accounts Management Screen,” which contains detailed information for entering special account planning data in CERCLIS consistent with current guidance. This measure is for CERCLIS only, and will report the following:

2. Site name (from CERCLIS).4. EPA ID (from CERCLIS).5. Special Account name (Data transferred from CDW). 6. Special Account number (Data transferred from CDW). 7. Site Spill Identifier (SSID) number to which the Special Account is linked (from

CERCLIS). 8. Currently Available Special Account Balance Date As Of: (Data transferred from

CDW). 9. Date Last Reviewed: (Input field).10. Special Account Funds Disbursed: (Data by Special Account fund code is

transferred from CDW).11. Unliquidated Obligations in Special Accounts: (Data by Special Account fund

code is transferred from CDW)12. "Currently Available Special Account Balance:" (Data by Special Account fund

code is transferred from CDW).13. 1a., "Settlement Amount Promised To Work Parties" (Input field).14. 1b., "Funds Disbursed to Work Parties" (Data transferred from CDW). 15. 1c., "Unliquidated Obligations To Be Disbursed To Work Parties" (Data

transferred from CDW). 16. "Subtotal 1” (Calculated field) 17. 2a., "Removal And Removal Support" (APR planned obligations entered in the

Site Financial Transaction Screen and depicted by fund code)18. 2b., "Pipeline Operations" (APR planned obligations entered in the Site Financial

Transaction Screen and depicted by fund code)19. 2c., "Remedial Action (include RV, RA, LR, and FE conducted through the

Remedial Program" (APR planned obligations entered in the Site Financial Transaction Screen and depicted by fund code)

20. 2d., "Enforcement" (APR planned obligations entered in the Site Financial Transaction Screen and depicted by fund code)

21. 2e., "Federal Facilities" (APR planned obligations entered in the Site FinancialTransaction Screen and depicted by fund code)

22. "Subtotal 2" (Calculated field)23. “Remaining Funds Available by Fund Code” (Calculated field)24. 3a., "Future Settlement Incentives” (Input field) 25. 3b., ”Pre-Remedy Future Costs (extramural)" (Input field)26. 3c., “Pre-Work Settlement Contingency“ (Input field)



27. 3d., “Intramural Use Costs” (Input field)28. 3e., "Outyear Five Year Review (extramural)" (Input field)29. 3f., “Remedy Optimization” (Input field)30. 3g., “Protectiveness Contingencies” (Input field)31. 3h., “Potential EPA Work Takeover” (Input field) 32. 3i., "Uses Specified By Existing Settlements" (Input field)33. 3j., "Other Plans (describe in Further Comments section") (Input field) 34. 3k., “To Transfer to Other Special Accounts” (Input field)35. 3l., "To Be Transferred From Other Special Accounts" (Input field)34. 3m., “Reclassification” (Input field for current fiscal year and following two fiscal years)35. 3n., “Transfer to the Fund“ (Input field for current fiscal year and following two fiscal years)36. "Subtotal 3” (Calculated field)37. "Total of All Planned And Reserved Uses" (Calculated field)38. "Unassigned Remaining Balances" (Calculated field)39. "Account Open Date" (Data transferred from CDW).40. "Planned Account Closure Date" (Input field)41. "Actual Account Closure Date" (Data transferred from CDW). 36. "Are There Limitations For Spending For This Account?" (Input field: "Yes" or

"No")37. "If "Yes," then provide an explanation (Check all that apply): (Title)

"Media/Location/OU Limitation" (Input field, check the box)38. "Dollar Limitation" (Input field, check the box)39. "Activity Limitation" (Input field, check the box)40. "Other, Explain Below." (Input field)41. "Is The Explanation Enforcement Confidential?" (Input field)42. "Any Further Comments On This Special Account?" (Input field)43. "Is The Explanation Enforcement Confidential?" (Input field)

Definition of Accomplishment:The goal of this measure is to have the regions plan the use of currently available Special Account balances to the maximum extent possible for the site and for uses consistent with the “Guidance on the Planning and Use of Special Account Funds” (September 28, 2010). The Unassigned Remaining Balance field automatically calculates available special account balances that have not been planned for use in the account.

Changes in Definition:Updated with new planning fields released December 2010 for special accounts.




This is a program measure. ReportLink reports are available for this measure. Special account data will be used to report annually to Congress, the Special Accounts Senior Management Committee, other oversight bodies, and the public, on national special account management.

IX.A.4 Institutional Controls and Site Revitalization

a. Institutional Controls

Definition:Institutional Controls are "mechanisms/instruments," such as administrative and legal controls, used to minimize potential human exposure to contamination and to protect the integrity of Superfund response remedies.

- This SPIM measure should capture legal/enforcement efforts to ensure all necessary Institutional Controls (ICs) are in place at all identified Superfund sites. Institutional "Mechanisms/instruments" include: proprietary controls, governmental controls, enforcement and permit tools with IC components, and informational devices.

Definition of Accomplishment:The following information will be reported from the Institutional Controls Tracking System (ICTS). The universe (for both measures) is Construction Complete Superfund sites.

- The number of IC mechanisms/instruments to implement ICs required in a Superfund document.

- The number of sites where all ICs required by an EPA document(s) are in place.

Changes in Definition:This is a new program measure.

Special Planning/Reporting Requirements:Institutional Control data will be extracted from the Institutional Controls Tracking System (ICTS).

b. Site Revitalization

Definition:This measure captures enforcement efforts to facilitate the cleanup and reuse of previously used Superfund properties by addressing the liability concerns of non-liable parties at those sites.

Definition of Accomplishment:Enforcement accomplishments will be based on the number of Superfund sites that are site-wide "ready for anticipated use" (RAU), and where an enforcement document(s) was



involved (see below) to address/resolve liability concerns. (The universe is identified as Superfund sites for OSWER's Site-Wide RAU GPRA measure (estimated at 30-35 for FY08), final or deleted NPL construction complete sites where all cleanup goals related to land use are achieved, and sites where all ICs are in place.)

Number of Superfund acres at RAU sites (determined by operable unit) where an enforcement document(s) was involved (see below) to address/resolve liability concerns. (The universe is identified as Superfund sites for OSWER's Cross-Program Revitalization Measure (CPRM): Proposed, final and deleted NPL sites, SAA sites, NTCRA sites; sites where all cleanup goals related to land use are achieved, and sites where all ICs are in place.)

Enforcement Measure of Accomplishment:Enforcement will track enforcement documents produced at RAU sites which address potential liability under CERCLA as amended through enactment of Public Law 107-118, the Small Business Liability Relief and Brownfields Revitalization Act ("Brownfields Amendments") of January 2002:

- Comfort/status letters that address liability concerns/issues - including reasonable steps letters.

- Windfall Lien resolution agreements. - Work agreements (removal) with bona fide prospective purchasers (BFPPs). - Contiguous Property Owner Agreements. - Contiguous Property Owner Assurance Letters. - Prospective Purchaser Agreements (PPAs). - Prospective Lessee Agreements (PLAs)

Changes in Definition:This is a new program measure.

Special Planning/Reporting Requirements:Specific sites, operable units, and acreage will be identified by OSWER's Cross-Program Revitalization Measure (CPRM). New enforcement instrument types for work agreements with bona fide prospective purchasers (BFPP), and bona fide prospective lessees (BFPL) have been created in CERCLIS. Enforcement revitalization data will be pulled from CERCLIS. Credit for enforcement accomplishments for the revitalization measure will be based on the actual completion date of the enforcement instrument (Comfort/Status letter, Windfall Lien Resolution Agreement, Work Agreement with Bona Fide Prospective Purchaser, Work Agreement with Bona Fide Prospective Lessee, Prospective Purchaser Agreement, and Prospective Lessee Agreement). Only finalized(signed by EPA) enforcement instruments (actual completion date) are counted.




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FY 12 SPIM X-i March 20, 2012

CChhaapptteerr XX:: CCoommmmuunniittyy IInnvvoollvveemmeenntt

Table of Contents

X.A INTRODUCTION ...................................................................................................... X-1

X.B COMMUNITY INVOLVEMENT ACTIVITIES ...................................................... X-1 X.B.1 Overview of FY12 Community Involvement Activities ..........................................X-1

a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs) .................................................................... X-1

b. Technical Assistance Grants (TAGs) ................................................................ X-2 c. Technical Assistance Services for Communities (TASC) .................................. X-3

X.C CIPIB Data Sponsor Responsibilities........................................................................ X-4 X.C.1 National Program Requirements and the Data Sponsor Role...................................X-4

a. Program Goals and Objectives ......................................................................... X-4 b. Statutory Mandates ........................................................................................... X-4 c. Regulatory and Policy Requirements ................................................................ X-5 d. Superfund Reforms ............................................................................................ X-5 e. OSWER’s Community Engagement Initiative (CEI) ......................................... X-5 f. Reauthorization, Congressional Inquiries, and Audits ..................................... X-6

X.C.2 CIPIB HQ and Regional Organization...................................................................X-10 X.C.3 Program Monitoring and Reporting .......................................................................X-10

a. Data Quality.................................................................................................... X-10 b. Management Reports....................................................................................... X-11 c. Coding Guide .................................................................................................. X-11

List of Exhibits

Exhibit X.1. Community Involvement Requirements ..........................................................................X-6

Exhibit X.2. CIPIB HQ and Regional Roles and Responsibilities .....................................................X-10


March 20, 2012 X-ii FY 12 SPIM



FY 12 SPIM X-1 March 20, 2012

CHAPTER X: COMMUNITY INVOLVEMENT

X.A INTRODUCTIONThe goal of the Superfund community involvement is to advocate and strengthen early and

meaningful community participation during Superfund cleanups. Superfund community involvement staffs at Headquarters (HQ) and in the regional offices strive to:

Encourage and enable community members to get involved. Listen carefully to what the community is saying. Take the time needed to deal with community concerns. Change planned actions where community comments or concerns have merit. Keep the community well informed of ongoing and planned activities. Explain to the community what EPA has done and why.

The Superfund Community Involvement and Program Initiatives Branch (CIPIB) has several initiatives and programs to carry out the above goals and to support EPA’s Strategic Plan. Specifically the community advisory groups (CAGs)/Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs), Technical Assistance Grants (TAGs), Technical Assistance Services for Communities (TASC) and the associated Superfund Job Training Initiative (Super JTI) are the core components of CIPIB’s work to support EPA’s Strategic Plan.

X.B COMMUNITY INVOLVEMENT ACTIVITIES

X.B.1 Overview of FY12 Community Involvement ActivitiesThe Superfund Comprehensive Accomplishments Plan (SCAP) is used by the Assistant

Administrator for the Office of Solid Waste and Emergency Response (AA OSWER), Assistant Administrator for the Office of Enforcement and Compliance Assurance (AA OECA), and senior Superfund managers to monitor the progress each region is making towards achieving the Government Performance and Results Act (GPRA) targets and annual performance goals. Actual GPRA objectives do not include any community involvement activities.

The following pages contain the definitions of the fiscal year (FY) 12 community involvement activities: CAGs/RABs/SSABs, TAGs, TASC and the associated Super JTI.

a. Community Advisory Groups (CAGs)/Restoration Advisory Boards (RABs)/Site-Specific Advisory Boards (SSABs)

Definition: A CAG is an organized group of local stakeholders representing the diversity of community interests for a particular Superfund site. CAGs serve as a point for exchanging information among local community and EPA, the state regulatory agency, and other agencies involved in Superfund cleanups. CAGs also provide a forum for community members to present and discuss their needs and concerns related to the Superfund decision-making process. CAGs may receive help from EPA, state, tribal and


March 20, 2012 X-2 FY 12 SPIM

local governments, and universities in areas such as meeting facilitation, technical assistance, and administrative support.

SSABs are a forum for experts and concerned stakeholders to provide advice and recommendations on the Department of Energy's (DOE) Environmental Management strategic decisions. RABs provide a forum through which members of nearby communities can provide input to Department of Defense's (DOD) environmental restoration program.

RABs and SSABs complement other community involvement activities, such as public meetings, mailings, and local information repositories.

Definition of Accomplishment:CAG Established Date: The establishment of the Community Advisory Group is defined as the date (Actual Start) of the first meaningful (not interest finding) Community Advisory Group Meeting (Action Name = Community Advisory Group).

CAG Closeout Date: Date CAG (Action Name = Community Advisory Group) is completed/closed out (Actual Complete) by EPA and the CAG.

RAB/SSAB Start (Established) Date: The actual start of the RAB/SSAB is defined as the actual start date (Actual Start) of the initial RAB/SSAB information meeting (SubActionName = Site-Specific Advisory Board Meeting or SubAction Name = Restoration Advisory Board Meeting).

RAB Completion (Adjourned) Date: The actual completion (Actual Complete) date of the Restoration Advisory Board (SubAction Name = Restoration Advisory Board) is the date the RAB is adjourned by DOD.

SSAB Completion (Terminated) Date: The actual completion (Actual Complete) date of the Site-Specific Advisory Board (SubAction Name = Site-Specific Advisory Board) is the date the SSAB is terminated by the Secretary of Energy.


Special Planning/Reporting Requirements: None.

b. Technical Assistance Grants (TAGs)Definition:The Superfund Amendments and Reauthorization Act of 1986 (SARA) established the TAG program to provide technical assistance to eligible communities. This technical assistance allows communities to improve the decision making process at their sites.



Definition of Accomplishment:The start of the TAG (Action Name = Technical Assistance Grant) is the date the award document is signed by the regional award official. There can only be one active TAG at a site. For Superfund programmatic purposes, the completion of the TAG is the ending date of the budget and project period as documented in the award document; as documented in the one-year extension document; as documented in a time period extension document; or as documented in other documents, such as a memo to the file prepared by the TAG coordinator to document these decisions. The planned or actual completion date in the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS) (whichever is applicable) must be changed to reflect the date of the most recent source document, e.g., award document, one-year extension document, memo to the file, etc. These definitions may be applied to all historical CERCLIS data, including data prior to FY 89, which is the first fiscal year TAG appeared in the SPIM. In addition, the TAG completion definitions from previous years may also be used for TAGs completed within those years.


Special Planning/Reporting Requirements:Planned start and completion dates are entered in CERCLIS. Funds may be planned site-or non-site specifically; however, they must be obligated site specifically. Funds for TAGs at Federal Facility sites are contained in the Federal Facility budget and found in the Federal Facility Site Allowance.

If more than one active TAG exists at a site, only the TAG with the earliest actual start date with no completion date at the site will be counted.

c. Technical Assistance Services for Communities (TASC)Definition:TASC was developed to provide communities that live near hazardous waste sites with independent technical assistance to help them understand the technical issues related to hazardous substance contamination and cleanup so that they can substantively participate in the decision-making process. Furthermore, the Super JTI is provided under the TASC contract with the goal of helping communities develop job opportunities and partnerships that remain long after a Superfund site is cleaned up. TASC is funded by an EPA contract that was awarded in April 2007. This current contract will expire July 2012, and a new contract is expected to be awarded on or before July 2012.

Definition of Accomplishment:The start of the TASC is the date when a work assignment or task order has been issued by the project officer. The date the work assignment or task order was issued should be reported in CERCLIS as the actual start date (Actual Start) of the TASC (Action Name =Technical Assistance Services for Communities).




Special Planning/Reporting Requirements:The region must indicate on the Community Organizations Information screen that the organization is a TASC recipient.

X.C CIPIB DATA SPONSOR RESPONSIBILITIES

X.C.1 National Program Requirements and the Data Sponsor RoleThe following statutory, policy, and management requirements establish the mandate for

meeting the program requirements described in the rest of this chapter. A description of program goals and objectives, statutory mandates, regulatory and policy requirements, as well as subsequent program reforms and redirection in measuring program results are included in this section.

a. Program Goals and Objectives The goal of Superfund's community involvement program is to encourage communications with affected citizens and participation in decision-making. Community involvement is not a phase in Superfund, like a removal or remedial cleanup action, but rather it is an integral part of the entire process that benefits both the public and EPA. The program has three main objectives:

Giving the public opportunities to comment on and provide input into technical decisions that affect their lives;Informing the public of planned or ongoing activities and keeping them apprised of the nature of the environmental problem, the threats it may pose, the responses under consideration, and the progress that is being made; andFocusing and resolving conflict, which may be unavoidable in some circumstances but can be constructive if it brings alternative viewpoints into the open.

b. Statutory MandatesSections 113, 117, and 122 of Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), as amended by the SARA, established seven principalrequirements for community involvement:

Develop a locally available administrative record;Establish a locally available information repository;Notify the public of the release of the Remedial Investigation/Feasibility Study (RI/FS) and Proposed Plan, and in the case of removal actions with a planning period of at least six months, the engineering evaluation/cost analysis (EE/CA);Provide a public comment period on the RI/FS, Proposed Plan, and EE/CA;Hold a public meeting on the RI/FS and Proposed Plan and develop a meeting transcript;Provide notice and comment period on the Administrative Order on Consent or Consent Decree; and



Develop a responsiveness summary on comments received on the RI/FS, Proposed Plan and EE/CA.

c. Regulatory and Policy Requirements Section 300 of the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) and subsequent policy directives and guidance documents establish the requirements for community involvement through every phase of Superfund's cleanup process. These requirements are presented in Exhibit X.1.

d. Superfund ReformsSince 1993, EPA has launched three rounds of reforms to address criticisms raised by affected parties and to improve the pace, cost and public participation aspects of the program. Each set of reforms consists of various initiatives and pilots focusing on changes to the program that can be implemented within the existing statutory framework. The following are reforms related to the Community Involvement area:

CAGs;TAGs;Community involvement in the enforcement process pilots;Pilot remedy selection by selected states and tribes;Pilot community based remedy selection;Superfund ombudsman in every region; and,Improved communication with Superfund stakeholders.

e. OSWER’s Community Engagement Initiative (CEI)In December 2009, EPA’s OSWER introduced the Community Engagement Initiative (CEI). The CEI provides an opportunity for OSWER to refocus and renew its vision for community engagement, build on best practices, and apply them consistently in OSWER’s processes, including the Superfund program. CIPIB has assumed an integral role in the CEI by leading four of the CEI’s 16 action items. Details about CIPIB’s work under the four action items are below:

Action 1: Decision-Making Processes and Guidanceo CIPIB updated the Community Involvement Plan (CIP) guidance.o CIPIB is working to update its guidance on community involvement at the

Preliminary Assessment/Site Inspection stage. o CIPIB is working to update the Superfund Community Involvement

Handbook.Action 7: EPA Technical Assistance Processes

o CIPIB is developing a technical assistance needs assessment document.Action 11: Risk Communication Processes and Comprehensive EducationProgram

o CIPIB evaluated risk communication processes and methods.o CIPIB developed a Risk Communication for Superfund course.

Action 13: Delivery of Information



o CIPIB evaluated existing Superfund repositories and is implementing recommendations to establish electronic repositories unless communities desire to have paper versions.

f. Reauthorization, Congressional Inquiries, and AuditsCERCLIS is the primary data source to support Reauthorization and Congressional inquiries, as well as questions from the Inspector General (IG), and Government Accountability Office (GAO). An example of inquiries specific to the community involvement program area is the number and dollar amount of Technical Assistance Grants awarded.

EXHIBIT X.1. COMMUNITY INVOLVEMENT REQUIREMENTS

Site Activity Requirement(s) Citation (Source)

For All Removal ActionsDesignate an Agency Spokesperson (Community Involvement Coordinator)

The Agency must designate a spokesperson to inform the public about the release and actions taken, to respond to questions, and to notify immediately affected citizens, state and local officials and, when appropriate, civil defense or emergency management agencies.

NCP, section300.415(m)(1)

Administrative RecordThe Agency must establish an administrative record and make the administrative record available to the public at a central location at or near the site, if applicable.

SARA section113(k); NCP section300.820

For Removal Actions with Planning Period of Less Than Six Months

Notice and Availability of Administrative Record

Within 60 days of the start of on-site removal activity, the lead agency must make the administrative record available to the public and issue a notice of availability in a major local newspaper of general circulation.

NCP sections300.415(m)(2)(I) and 300.820(b)(1)

Public Comment Period

The Agency must provide a public comment period, if appropriate, of not less than 30 days from the time the administrative record is made available for public inspection.

NCP section300.415(m)(2)(ii)

Response to Significant Comments

The Agency must prepare a written response to significant comments.

NCP section300.415(m)(2)(iii)

For Removal Actions Expected to Extend Beyond 120 Days

Community Interviews

By the end of the 120-day period, the Agency must conduct interviews with local officials, public interest groups, or other interested parties to determine their concerns and information needs, and to learn how citizens would like to be involved in the Superfund process.

NCP section300.415(m)(3)(I)

Community Involvement Plan *(CIP)

The Agency must prepare a CIP, based on community interviews and other relevant information that specifies the community involvement/outreach activities the Agency plans to undertake during the response. The Agency must complete this CIP within 120 days of the start of on-site removal activity.





Information Repository Establishment and Notification/Notice of Availability of Administrative Record

Within 120 days of the start of on-site removal activity, the Agency must establish at least one information repository at or near the location of removal actions that contains items available for public inspection and copying. The Agency must inform the public of the establishment of the information repository and provide notice of the availability of the administrative record in the repository.


For Removal Actions with a Planning Period of at Least Six MonthsCommunity Interviews and Community Involvement Plan *(CIP)

The Agency must follow the same procedures as outlined in the previous section, except that staff must conduct interviews and prepare a CIP prior to completion of the EE/CA


Information Repository Establishment and Notification/Notice of Availability of Administrative Record

The Agency must follow the same procedures as outlined in the previous section, except that staff must establish the information repository and make the administrative record available no later than the signing of the EE/CA approval memorandum


For Removal Actions with a Planning Period of at Least Six Months

Notice of Availability/ Description of EE/CA

The Agency must publish a notice of availability and a brief description of the EE/CA in a major local newspaper of general circulation.


Public Comment Period

Upon completion of the EE/CA, the Agency must provide at least 30 days for the submission of written and oral comments. The Agency must extend this comment period at least 15 days upon timely request.


Responsiveness Summary

The Agency must prepare a written response to significant comments and make this responsiveness summary available to the public in the information repository.

NCP section300.415(m)(iv)

Remedial ResponsesPrior to RI

Community InterviewsThe Agency must hold on-site discussions with local officials and community members to assess their concerns and determine appropriate community involvement activities.

NCP section300.430(c)(2)(I)

Community Involvement Plan *(CIP)

The Agency must develop and approve a complete CIP based on community interviews before RI field activities start.

NCP section300.430(c)(2)(ii)(A-C)

Information Repository

The Agency must establish an information repository to contain items developed, received, published, or made available pursuant to SARA section 117. The Agency must make these items available for public inspection and copying and inform interested citizens of the establishment of the information repository.

SARA section117(d); NCP section300.430(c)(2)(iii)

Technical Assistance Grant (TAG) Notification

The Agency must inform the public of the availability of TAGs and include in the information repository material that describes the TAG application process.

NCP section300.430(c)(2)(iv)

Upon Commencement of RI




Administrative RecordThe Agency must establish an administrative record. The Agency must consider the participation of interested persons when developing the administrative record.

SARA section113(k); NCP section300.815

Administrative Record Notification

The Agency must publish a notice of availability of the administrative record in a major local newspaper of general circulation.

NCP section 300.815

Upon Completion of the FS and Proposed Plan

RI/FS and Proposed Plan Notification and Analysis

The Agency must publish a notice of the availability of the RI/FS and proposed plan, including a brief summary of the proposed plan, in a major local newspaper of general circulation. The notice also must announce a comment period.

SARA section117(a); NCP section300.430(f)(3)(I)(A)

Public Comment Period on RI/FS and Proposed Plan

The Agency must provide at least 30 days for the submission of written and oral comment on the RI/FS and proposed plan. This comment period will be extended by a minimum of 30 additional days upon timely request.

SARA section117(a)(2); NCP section300.430(f)(3)(c)

Public Meeting The Agency must provide an opportunity for a public meeting to be held at or near the site during the comment period.

SARA sections 113 and 117(a)(2); NCP section300.430(f)(3)(I)(E)

Meeting Transcript The Agency must prepare a meeting transcript and make it available to the public.

SARA section 122(I); NCP section300.430(c)(5)(I)

Responsiveness Summary

The Agency must prepare a response to significant comments, criticisms, and new data submitted on the proposed plan and RI/FS, and ensure that this response document accompanies the Record of Decision (ROD).

SARA sections 113 and 117(b); NCP section300.430(f)(3)(I)(F)

Pre-ROD Significant Changes

Discussion of Significant Changes

Upon determination that such changes could be reasonably anticipated by the public, the Agency must include in the ROD a discussion of significant changes and the reasons for such changes.

NCP section300.430(f)(3)(ii)(A)

Revised Proposed Plan and Public Comment

Upon determination that such changes could not have been reasonably anticipated by the public, the Agency must issue a revised proposed plan that includes a discussion of the significant changes and the reasons for such changes. The Agency must seek additional public comment on the revised proposed plan.

NCP section300.430(f)(3)(ii)(B)

After the ROD is Signed

ROD Availability and Notification

The Agency must make the ROD available for public inspection and copying at or near the site prior to the commencement of any remedial action. Also, the Agency must publish a notice of the ROD’s availability in a major local newspaper of general circulation. The notice must state the basis and purpose of the selected action.

NCP section300.430(f)(6)

Revision of the CIP Site Activity

Prior to the remedial design, the Agency should revise the CIP, if necessary, to reflect community concern, as discovered during interviews and other activities, that pertains to the remedial design and construction phase.

NCP section300.435(c)(1)

Post-ROD Significant ChangesDiffers significantly from remedy in terms of scope, performance, or costs:




Notice and Availability of Explanation of Significant Differences

The Agency must publish a notice that briefly summarizes the explanation of significant differences and the reasons for such differences in a major local newspaper, and make the explanation of significant differences and supporting information available to the public in the administrative record and information repository.

NCP section300.435(c)(2)(I)(A) and (B)

Fundamentally alters the basic features of the selected remedy with respect to scope, performance, or cost;Notice of Availability/Brief Description of Proposed ROD Amendment

The Agency must propose an amendment to the ROD and issue a notice of availability and a brief description of the proposed amendment in a major local newspaper of general circulation.

NCP section300.435(c)(2)(ii)(A)

Public Comment Period, Public Meeting, Meeting Transcript, and Responsiveness Summary

The Agency must follow the same procedures as that required forcompletion of the FS and proposed plan.

NCP section300.435(c)(2)(ii)(B)-(F)

Notice and Availability of Amended ROD

The Agency must publish a notice of availability of the amended ROD in a major local newspaper and make the amended ROD and supporting information available for public inspection and copying in the administrative record and information repository prior to commencement of the remedial action affected by the amendment.

NCP section300.435(c)(2)(ii)(G) and (H)

Remedial Design (RD)

Fact Sheet and Public Briefing

Upon completion of the final engineering design, the Agency must issue a fact sheet and provide a public briefing, as appropriate, prior to beginning remedial action.

NCP section300.435(c)(3)

National Priorities List (NPL) AdditionsPublication of Proposed Rule and Public Comment Period

EPA must publish the proposed rule in the Federal Register and seek comments through a public comment period.

NCP section300.425(d)(5)(I)

Publication of Final Rule and Response to Comments

EPA must publish the final rule in the Federal Register and respond to significant comments and significant new data submitted during the public comment period.

NCP section300.425(d)(5)(ii)

NPL Deletions

Public Notice and Public Comment Period

EPA is required to publish a notice of intent to delete in the Federal Register and provide notice of the availability of this announcement in a major local newspaper. EPA must also provide a comment period of at least 30 days on the proposed deletion.

NCP section300.425(e)(4)(I) and (ii)

Public Access to Information

Copies of information supporting the proposed deletion must be placed in the information repository for public inspection and copying.

NCP section300.425(e)(4)(iii)

Response to SignificantComments

EPA must respond to each significant comment and any significant new data submitted during the comment period and include these responses in the final deletion package.

NCP section300.425(e)(4)(iv)

Availability of Final Deletion Package

The final deletion package must be placed in the local information repository once the notice of final deletion has been published in the Federal Register.

NCP section300.425(e)(5)



X.C.2 CIPIB HQ and Regional OrganizationTo meet these national program requirements, specific roles and responsibilities have

been identified for the HQ and regional staff that work in the community involvement program area. The following table summarizes each of these positions along with their responsibilities.

EXHIBIT X.2. CIPIB HQ AND REGIONAL ROLES AND RESPONSIBILITIES

Title Responsibilities

CIPIB (HQ)

Facilitate CERCLIS staying closely aligned with the Superfund program, including developing and updating guidance that requires submission of these data for national reporting needs, maintaining and updating data element definitions, and developing and implementing the process of gathering, reviewing and entering the data into CERCLIS.

Director, CIPIB (HQ)Provide a synergy to create useful program policy and guidance to help the regions achieve program goals. Act as the central point of contact for the regions and provide regional coordination support.

CIPIB Staff (HQ) and Community Involvement Managers (CIMs) (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.

CIMs, Remedial Project Managers (RPMs) and On-Scene Coordinators (OSCs) (regions)

Ensure all data necessary to meet the requirements(s) are in CERCLIS to support regional reporting needs and commitments to HQ.

Community Involvement Coordinators (CICs) (regions)

As the data owner, provide current, complete, and consistent data into CERCLIS, as necessary, to meet real-time reporting requirements. Reviewdata that are provided in hard copy or electronically submitted.

Information Management Coordinator (IMC) (regions)

Coordinate with the CICs to ensure all data necessary to support reporting requirements are in CERCLIS on a real-time basis.

Budget Coordinator (regions) Ensure all data necessary to support the regional budget are in CERCLIS prior to specified calendar events.

X.C.3 Program Monitoring and ReportingEach reporting and associated data acquisition requirement specific to community

involvement is discussed below.

The detail includes: data quality objectives, data needs, as well as reports and associated coding guidance.

a. Data QualityOne of the goals of the community involvement data sponsor is to ensure data quality which requires data to be correctly entered into CERCLIS. Although the methodology of acquiring and reviewing data may change over time, both will contain a quality assurance (QA) process to ensure data quality.

Current, complete, and consistent data in CERCLIS will meet the community involvement data sponsor goals and objectives, as well as support real-time reporting.



The following defines what the community involvement data sponsor views as current, complete, and consistent data:

Current - Data need to be entered as actions occur.Complete - For the particular data element, all needed information is provided.Consistent - Data should be consistent nationally. Also, within CERCLIS, data should be entered consistent with the data element definitions. The data entered should be entered using the same standards across all regional offices/HQ.

b. Management ReportsSCAP-04 (TAGs)

CERCLIS provides the data necessary to support ad hoc requests as they relate to Reauthorization, GAO, and IG.

c. Coding GuideThe coding guidance for SCAP measures will be reflected in the Coding Guide.







Chapter XI: Information Systems





FY 12 SPIM XI-i March 20, 2012

Chapter XI: Information Systems

Table of Contents

XI.A Information Systems..................................................................................................XI-1 XI.A.1 Purpose of CERCLIS and SEMS ........................................................................... XI-1

a. Site Assessment................................................................................................. XI-2 b. Remedy Selection.............................................................................................. XI-2 c. Federal Facilities ............................................................................................. XI-3 d. Community Involvement ................................................................................... XI-3 e. Removal............................................................................................................ XI-4 f. Enforcement ..................................................................................................... XI-4 g. Project Management ........................................................................................ XI-5 h. Program Management...................................................................................... XI-6

XI.A.2 Superfund Data Architecture.................................................................................. XI-7 XI.A.3 Reporting Superfund Information .......................................................................... XI-8

a. Regional Users ................................................................................................. XI-8 XI.A.4 Data Owners/Sponsorship ...................................................................................... XI-8

List of Exhibits

Exhibit XI.1. SEMS-Solution Architecture ........................................................................................ XI-7


March 20, 2012 XI-ii FY 12 SPIM



FY 12 SPIM XI-1 March 20, 2012

CHAPTER XI: INFORMATION SYSTEMS

XI.A INFORMATION SYSTEMSThe Office of Superfund Remediation and Technology Innovation’s (OSRTI)

information systems portfolio has been established to ensure that all information technology (IT)investments align with the EPA mission, support business needs. They are designed to minimize program risks and maximize return on investment throughout each IT investment’s lifecycle. Together the portfolio systems provide a structured, integrated toolset to assist management and staff to support the business and mission needs of the Agency. The Superfund Document Management System (SDMS) and the Institutional Controls Tracking System (ICTS) have already been integrated onto the Superfund Enterprise Management System (SEMS) platform. The Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) application is now being reconstructed into that integration framework. The production delivery date of the fully operational SEMS is September 30, 2013.

Superfund Enterprise Management System Purpose:Designed to integrate the successful performance areas of the Office of Solid Waste and Emergency Response’s (OSWER) primary Superfund data collections, reporting andtracking systems into a single systemWill meet immediate and strategic Superfund needsOfficial source of primary Superfund site activity data, records, and support documentation for internal and external stakeholdersImprove operational effectiveness, reduce costs, streamline business processes, and enhance information management capabilitiesAdaptive to meet ever-changing environmental, federal and Agency needs yet tailored to meet the unique requirements of the Superfund program

XI.A.1 Purpose of CERCLIS and SEMSCERCLIS is the official repository of nationally defined and required data for planning,

tracking, and describing all activities at sites and removal incidents. SEMS is the official repository of Superfund core documents (See Chapter XII, titled Records and Information Management), and will incorporate the CERCLIS functionalities upon final delivery of the full working system currently scheduled for September 10, 2013.

OSRTI has undertaken an initiative to integrate several program legacy systems (SDMS &ICTS) and re-engineering of CERCLIS into a single system known as the SEMS. SEMS will integrate the successful performance areas of the primary Superfund IT systems into a single system that will meet immediate and strategic Superfund needs. SEMS functionalities will be comprised of a synthesis of the major functional areas of the legacy systems.

Once fully implemented SEMS will be the official source of primary Superfund site activity data, records, and support documentation.

The following categories of site/incident activity have national definitions and national requirements:


March 20, 2012 XI-2 FY 12 SPIM

Site Assessment;

Remedy Selection;

Federal Facilities;

Community Involvement;

Removal;

Enforcement;

Project Management; and

Program Management.

a. Site AssessmentTo support the site assessment process, CERCLIS provides the following capability,which will be provided in the Site Information portion of SEMS:

- Enter, store, and retrieve basic site discovery information, including site identification (name and location), narrative description, contaminants, and site setting;

- Identify the Site Assessment Manager (SAM) and other site contacts;- Distinguish between removal program site initiation and site assessment program

discoveries; - Enter, store, and retrieve site assessment decision information, including

qualifiers and text rationale and referrals to states or other program areas;- Manage site assessment schedules through the Project Management module;- Generate site assessment reports and perform ad hoc queries on basic site level

and decision information; and- Create Headquarters (HQ) site assessment reports.

b. Remedy SelectionTo support the remedy selection process, CERCLIS provides the following capability.Once implemented these features will be provided in the Site Assessment portion of SEMS:

- Add, edit, and delete Actions and SubActions in the site schedule and add operable units (OUs);

- Add, edit, and review an Action with its associated operable unit, enter or edit actual and planned start dates, and actual and planned completion dates;

- View and update site information, including media, contaminants, concentrations, and Applicable or Relevant and Appropriate Requirements (ARARs) that possibly apply to the contaminant;

- Review Record of Decision (ROD) contaminants of concern (COC) data and relevant standards, and cleanup levels for the contaminants;



- View site descriptions which can be used to aid in the development of remedial documents, such as proposed plans and RODs;

- View and compare data among pipeline actions for site and OU contaminants, contaminated media, site and OU risk/threats, and selected remedy information;

- Identify program initiative sites, such as presumptive remedy sites;- Perform queries to identify like sites;- Review selected or amended remedies at sites with RODs, ROD amendments, and

Explanation of Significant Differences (ESDs) including remedial response actions associated with the selected remedy;

- Review ROD abstracts; and- Create HQ remedy reports.

c. Federal FacilitiesTo support Federal Facilities, CERCLIS provides the following capability:

- Track the proper relationship between Federal Facilities, Federal Facility sites, parcels and OUs;

- Add, update, and delete Actions and SubActions and associated information;- View, edit, and track information pertaining to dispute resolutions such as the

issue triggering dispute, compliance status, and dispute type (i.e., informal or formal);

- Record, display, and view information pertaining to Interagency Agreement/Federal Facility Agreement (IA/FFA) negotiations and agreements;

- Record, display, and update information pertaining to Base Realignment and Closure (BRAC) sites, including BRAC types, Fast Track sites, Environmental Baseline Survey (EBS) information, detailed parcel information, Finding of Suitability to Lease (FOSL) information, and Finding of Suitability to Transfer (FOST) information;

- Record key community involvement and outreach activities at Federal Facilities;- Display listings of all IA milestones to be reviewed within a user specified time

frame;- Record and display a site abstract;- Record and display Federal Facility Docket information;- Provide the capability to track penalty and Supplemental Environmental Project

(SEP) information;- Provide access to all modules in CERCLIS (e.g., Removal, Remedy Selection,

etc.) to view all technical and administrative data pertaining to a site; and- Provide HQ Federal Facility reports.

d. Community InvolvementTo support the community involvement process, CERCLIS provides the following capability:



- View Community Involvement Schedule information;- Enter and view the address of site information repositories and identify which

repositories contain Administrative Records; and- Create HQ community involvement reports.

e. RemovalTo support the removal process, CERCLIS provides the following capability:

- Add, update, and delete Removal Actions and SubActions and associated information;

- Document the following information: On-Scene Coordinators (OSC) assigned to the removal, EPA branch that is addressing the removal, site operable unit name, category of removal and outcome of the removal action, attorney assigned to the removal, planning status, removal media, contaminants data and risk, removal action implemented, and site funding rank;

- Track Action Memo types, support the Action Memo approval process, and capture response action scientific and location information;

- Develop removal fact sheets;- Assist in the management of removal budgets for various contract vehicles and

other EPA costs;- Enter and store regional removal assessment detail description information

including date assigned to OSC, where the site was referred from, referral date, response date, site visit date, media, flags for sampling performed, eligibility for removal, referred to remedial program office, and returned to state;

- Generate regional cost/financial management reports; and- Create HQ removal reports.

f. EnforcementTo support the enforcement process, CERCLIS provides the following capability:

- Add, update, and delete Enforcement Actions and SubActions and associated information;

- Identify site contacts, including RPMs and attorneys;- Capture and retrieve information about Potentially Responsible Parties (PRPs)

and other parties and associate parties with all sites and enforcement actions with which they have been involved;

- Document a party s involvement type with a site;

- Generate party-related summary statistics; - Group parties for enforcement actions or correspondence mailings;- Track party compliance with letters and settlement terms;

- Track liens against a party s property;



- Document the issuance of Comfort/Status letters, the parties they were sent to, and the intended future use of the property;

- Track the assessment of Prospective Purchaser Agreements (PPAs);- Track negotiations, including type of response actions sought, cost recovery

amount sought, orphan share compensation offered and outcome;- Track Alternative Dispute Resolution (ADR) usage, identifying sites where ADR

was used, the outcome of the ADR, and the mediator used;- Track settlements, type and estimated value of response actions to be performed

by the parties, cost recovery funds achieved, response actions that are being reimbursed, cash out funds achieved, amount of orphan share that was actually compensated, amount of funds to be disbursed from a special account or deposited into a special account as part of the settlement, and whether the settlement was with de minimis or non-exempt de micromis parties;

- Log case files, including EPA Docket and Department of Justice (DOJ) case numbers and names and district court location docket number;

- Track referrals, including the type of referral, statutes, response actions sought, cost recovery amount sought, and outcome;

- Track potential Statute of Limitations (SOLs);- View costs written off and the rationale behind a decision not to pursue cost

recovery;- Track the timely issuance of oversight bills or accounting of oversight costs

incurred;- Record the planned bills, actual bills, refunds/payments, and collections; and- Create HQ enforcement reports.

g. Project ManagementTo support the site management process, CERCLIS provides the following capability:

- Maintain schedules for all site activities;- Identify RPMs and other site contacts;- Add and delete Actions, SubActions, and new operable units to/from the

schedule;- View and edit action-specific information including operable unit, sequence

number (system generated), action lead, planned and actual start/complete dates, and planned start/complete fiscal year/quarter (FY/Q) (system generated);

- View the targeted FY/Q for actions defined as regional targets;- Define predecessor and/or successor associations among actions;- Reorder actions on the schedule and create what-if scenarios by cascading

planned dates (automatically updating subsequent dates based on a schedule change);

- Add and view action-specific comments;



- Generate reports such as a Site Summary report, a Management Review report, and a Target Comparison report, and create/print weekly notes to keep managers apprised of hot issues;

- Access Smartscreens, which provide online Superfund Comprehensive Accomplishment Plan (SCAP) definitions and apply SCAP logic during data entry and updates or edits;

- Enter or copy technical data through Smartscreens (e.g., remedy, media type). Data can be copied to subsequent actions to avoid duplicate data entry;

- View financial data by site, action, or financial transaction and track Superfund State Contracts (SSC) cost share payment and reimbursable account information;

- Generate like dates for actions that, by definition, have the same actual start or actual complete date;

- Track Five-Year Reviews consistently for Fund, Enforcement and Federal Facility lead sites;

- Track post-construction activities;- Allow reviewers (e.g., Section Chiefs) to approve or disapprove schedule changes

and financial transactions before they become official and notify Remedial Project Managers (RPMs) if any of their sites have been reviewed; and

- Generate HQ project management reports.

h. Program ManagementTo support the program management process, CERCLIS provides the following capability:

- View allowance and budget information for a comparison of regional spending plans to the negotiated budget for each allowance;

- Record and access all site and non-site financial details associated with an allowance;

- Track allowance change requests by viewing existing change request data used to issue/reprogram an allowance and generate a new change request online;

- View aggregate site planning data to support program planning and reporting measures and access data on a national (at HQ only), regional, branch, or section level, or by program office;

- Access project schedule details for sites included in the aggregated information on planning and reporting measures and identify target candidates;

- Track progress in meeting targets and planning estimates, view details on target and alternate sites that support these targets/estimates for each planning and reporting measure, and substitute target and alternate sites when necessary;

- Identify the funding priority for Remedial Actions (RAs) and removals based on factors such as the status of PRP negotiations, whether the Remedial Design (RD) has reached 95% complete, and estimated cost;

- Associate sites with a specific national and/or regional priority;



- Enter Environmental Indicator (EI) and Land Reuse data at the site/action level, and view summary information for Indicators identified in Chapter VII, titled Remedial Program, at the national (at HQ only) and regional levels;

- Transfer financial data from Compass on a daily basis; and- Generate HQ program management reports.

EXHIBIT XI.1. SEMS-SOLUTION ARCHITECTURE

XI.A.2 Superfund Data ArchitectureThe CERCLIS data architecture is comprised of various components. The goal of this

architecture is to allow regions as the data owners, to enter data and ensure that the national database contains all regional data.

Exhibit XI.1 outlines the relationship among various components of the Superfund data architecture. Each region enters their information into the CERCLIS database.

Regular exports of datasets from CERCLIS include:

CERCLIS: This dataset contains active sites and related program management information tracked through the SCAP process.

Freedom of Information Act (FOIA): This dataset contains active sites and related information that is releasable to the public.

Archive: This dataset contains archived sites and related information.

Others as needed: Additional datasets can be created to meet additional program needs and special initiatives as they are defined. For example, a "Pre-Discovery" dataset could be created to track information on sites prior to beginning the listing process.



In addition, each day, financial data from Compass are transferred via Agency Information Management to the regional CERCLIS databases.

XI.A.3 Reporting Superfund InformationThe CERCLIS Reports Module is accessible to users, and contains nationally defined

reports. The reports are categorized by the following program areas: Site Assessment, Risk Assessment, Remedy Selection, Federal Facilities, Community Involvement, Removal, Enforcement, Project Management, and Program Management. HQ program managers and staff have access to the database and the ability to use the application to display data and print reports. In many cases the application can be used by program managers in lieu of contacting regional staff.

a. Regional UsersThe data entry application used by regional staff with Superfund program responsibilities is referred to as CERCLIS. CERCLIS allows data owners to enter and manage their own data, however, regions have established and published in the Data Entry Control plans (variously called Data Entry Quality Plans and Data Quality Plans) specific data management procedures that they have implemented (e.g., centralized or decentralized approach to data management). These plans are collected annually for review by OSRTI’s Information Management Branch (IMB). The information collected via the application is for either unrestricted use by all parties or for restricted access (that portion of the information identified as sensitive and not releasable under FOIA).

XI.A.4 Data Owners/SponsorshipHQ managers take an active role in improving the quality of data stored in CERCLIS by

acting as data sponsors. Data sponsorship promotes consistency and communication across the Superfund program. HQ data sponsors communicate and gain consensus from data owners on data collection and reporting processes. Data sponsors ensure that the data they need to monitor performance and compliance with program requirements are captured and stored properly in CERCLIS. To meet this goal, HQ data sponsors identify their data needs, develop data field definitions, and distribute guidance requiring submittal of these data. Data owners are normally site managers that need the data in support of site work. Data owners follow the guidance they receive from data sponsors, as they acquire and submit data.

HQ data sponsors assist data owners in maintaining and improving the quality of Superfund program data. These data are available for data evaluation and reporting. Data sponsorship helps promote consistency in both national and regional reporting. In addition, data sponsorship provides a tool to improve data quality through program evaluation and adjustments in guidance to correct weaknesses detected. Data sponsors may conduct audits to determine if there are systematic data problems (e.g., incorrect use of codes, data gaps, etc.).




Chapter XII: Records and Information Management





FY 12 SPIM XII-i March 20, 2012

Chapter XII: Superfund Documents

Table of Contents

XII.A Introduction ............................................................................................................. XII-1

XII.B Record Definition .................................................................................................... XII-1

XII.C Records..................................................................................................................... XII-1

XII.D Superfund Enterprise Management System (SEMS) ............................................ XII-2

XII.E Applicability to Superfund ...................................................................................... XII-2

XII.F Applicability of the Freedom of Information Act................................................... XII-7 XII.F.1 Reports Releasable under Freedom of Information Act (FOIA)........................... XII-7 XII.F.2 Sensitive Information Not Releasable under FOIA............................................... XII-8 XII.F.3 Ad Hoc Reporting ............................................................................................... XII-11 XII.F.4 Accessing FOIA Information .............................................................................. XII-11

List of Exhibits

Exhibit XII.1. Superfund CORE Documents .................................................................................... XII-3


March 20, 2012 XII-ii FY 12 SPIM



FY 12 SPIM XII-1 March 20, 2012

CHAPTER XII: SUPERFUND DOCUMENTS

XII.AINTRODUCTIONWithin the Office of Superfund Remediation and Technology Innovation (OSRTI),

Records and Information Management ensures compliance with federal recordkeeping regulations, by minimizing the cost and effort traditionally associated with recordkeeping as OSRTI moves toward the reduction of paper records in the Office. The central component in ensuring this compliance is the Superfund Enterprise Management System (SEMS) Central Repository, an application that utilizes Superfund program-specific metadata to store and retrieve documents at Headquarters (HQ) and also across all 10 Regions of EPA. By maintaining a recordkeeping system that allows for efficient response to litigation and audits, OSRTI also reinforces the mission of Superfund and of the EPA.

XII.B RECORD DEFINITIONIncludes all books, papers, maps, photographs, machine-readable materials, or other

documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Library and Museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference and stocks of publications and of processed documents are not included. (44 U.S.C. 3301) (Source: 32 CFR 2001.92 - j)

XII.CRECORDSThe Federal Records Act of 1950, as amended, requires all federal agencies to make and

preserve records containing adequate and proper documentation of their organization, function, policies, decisions, procedures, and essential transactions. These records are public property and must be managed according to applicable laws and regulations.

The Federal Records Act also requires agencies to establish a records management program, defined as a planned, coordinated set of policies, procedures, and activities needed to manage its recorded information. Essential elements include issuing up-to-date records management directives, properly training those responsible for implementation, and carefully evaluating the results to ensure adequacy, effectiveness, and efficiency.

Records serve a number of purposes including:

administrative and program planning needs

evidence of EPA activities

protection of legal and financial rights


March 20, 2012 XII-2 FY 12 SPIM

oversight by Congress and other authorized agencies

documentation of the Agency's history

the continuation of key functions and activities in the event of an emergency or disaster

Records serve as the Agency's historical data; they are of critical importance in ensuring that the organization continues to function effectively and efficiently.

Reference: The Office of Environmental Information (OEI) Records Management Policy that was issued by the EPA Chief Information Officer, Pursuant to Delegation 1-19, dated 7/07/2005.

XII.DSUPERFUND ENTERPRISE MANAGEMENT SYSTEM (SEMS)SEMS is a key EPA asset used to meet responsibilities of federal agencies, Congress, and

the Public in Superfund Site Remediation and cleanup, and emergency response support. CERCLIS is the system of record and official repository of Superfund programmatic data including site progress and program measures. Once CERCLIS functions are incorporated into SEMS in 2013, SEMS will become the system of records for site data. SEMS is the OSRTI program's official repository of digital records. System updates that will be implemented during FY12 will make SEMS the program's official recordkeeping system by the end of the fiscal year. Record types that will form the core collections in SEMS will be progressively defined and mandated for entry into the system. SEMS incorporated the Superfund Document Management System (SDMS) – now referred to as the SEMS Document Management System – in 2009. The integration of the SDMS capabilities into SEMS established a document repository of 140 million pages of Superfund records and documents at the time SEMS incorporated the application. SEMS is an electronic repository of Superfund documents routinely used to disseminate records in response to FOIA requests, Administrative Records, and for litigation support. These records provide a rich institutional "memory" of the highest importance to the Superfund Program. SEMS advances e-Government by providing reliable and easily accessible documents to citizens for making informed decisions in their communities. Beneficiaries of content exported from SEMS include ordinary citizens, states, tribes, Congress, and the business community. SEMS specifically supports Goal 3: Land Preservation and Restoration and Goal 5: Compliance and Environmental Stewardship of the Agency's strategic plan http://www.epa.gov/ocfo/plan/plan.htm.

SEMS allows increased access to records while reducing physical record storage. SEMS fosters collaboration of information. An example is the 24,548 documents from Region 4 that were captured in SDMS, and inherited by SEMS, for Hurricane Katrina. These digital documents, which meet the standard for e-FOIA, may be distributed to many stakeholders including states, tribes, concerned citizens, the legal community, and other federal agencies.

XII.E APPLICABILITY TO SUPERFUNDIn order to support the documentation/records collection requirements of the Superfund

Program a regional emphasis had been to standardize the records that were collected and stored



in SDMS. Historically, the regions selected the records to place into SDMS according to regional priorities, which often differ substantially from one region to the next. A “Core Document” set was established in 1998 by the regions. The foundation of this version derived from the 2010policy guideline for establishing National Priorities List (NPL) site Administrative Records: Revised Guidance on Administrative Records for Selecting Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) Response Actions(http://www.epa.gov/compliance/resources/policies/cleanup/superfund/admin-record-mem-rev.pdf). As a consequence, the original SDMS Core Documents were predominantly pre-remedial action and left out key records that are produced later in the site management life cycle. The SDMS Core Document was updated as the Superfund Core Document with an expectation that regions would place these documents into SEMS, across the life cycle.

The collection has been reviewed and commented upon by regional Records Managers. This collection of records should be the core of documents/records included in the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) and SEMS.

EXHIBIT XII.1. SUPERFUND CORE DOCUMENTS

Document Core Document

Source Document(CERCLIS

or Institutional Controls)*

Action Source Corresponds To

SOURCE (Based on FY 2008 Definitions) and/or CORE

104E INFORMATION REQUEST

C CERCLIS ISSUE REQ LTTRS (104e) [IC] - Act Comp

ACTION MEMORANDUM C CERCLIS

Approval of Action Memo [AM]- Act CompENGINEERING EVAL/COST ANALYSIS (EE) - Act Comp

ADMINISTRATIVE ORDER ON CONSENT

CCERCLIS

Institutional Controls

ADMIN ORDER ON CONSENT [AC] - Act Comp.PRP FS [NK] - Act StartPRP RD [BE] - Act StartPRP REMOVAL [BB] - Act StartPRP RI [NA] - Act StartPRP RI/FS [BD] - Act Start

BANKRUPTCY REFERRAL/PROOF OF CLAIM

CERCLIS CLAIM IN BANKRUPTCY PROCEEDING [CB] - Act Start

COMFORT/STATUS LETTER CERCLIS COMFORT/STATUS LETTER [UB] - Act Comp

COMMUNITY INVOLVEMENT PLAN

C CERCLIS Community Relations Plan [CX] - Act CompRev Community Relations Plan [CE] - Act Comp







CONTRACT MODIFICATION CERCLIS

COMBINED RI/FS [CO] - Act StartFEASIBILITY STUDY [FS] - Act StartNEGOTIATION (GENERIC) [NG] - Act CompRD/RA NEGOTIATIONS [AN] - Act CompREMEDIAL ACTION [RA] - Act StartREMEDIAL DESIGN [RD] - Act StartREMEDIAL INVESTIGATION [RI] - Act StartREMOVAL NEGOTIATIONS [RN] - Act CompTECHNICAL ASSISTANCE [TA] - Act StartAward of Contract [AG] - Act Comp

CONSENT DECREE CCERCLIS


CONSENT DECREE [CD] - Act CompSECTION 106 107 LITIGATION [CL] - Act CompSECTION 106 LITIGATION [SX] - Act CompSECTION 107 LITIGATION [SV] - Act Comp

CONSENT DECREE TRANSMITTAL MEMO

CERCLIS CONSENT DECREE [CD] - Act Start

DEMAND LETTER CERCLIS DEMAND LETTERS ISSUED [DL] - Act Comp

EE/CA START APPROVAL C CERCLIS ENGINEERING EVAL/COST ANALYSIS [EE] - Act Start

EXPLANATION OF SIGNIFICANT DIFFERENCES

CCERCLIS


Explanation of Significant Differences [EH] - Act Comp

FCOR CCERCLIS


CLOSE OUT REPORT [CQ] - Act CompGrndwtr Monitor (Post-ROD) [GM] - Act Comp

FEDERAL REGISTER OF NOTICE OF DELETION

CCERCLIS


NOTICE OF INTENT TO DELETE [TU] - Act Comp

FEDERAL REGISTER OF NOTICE OF INTENT TODELETE

CCERCLIS


NOTICE OF INTENT TO DELETE [TU] - Act Start

FINAL POLREP (date of demobilization)

C CERCLIS

REMOVAL [RV] - Act CompPRP REMOVAL [BB] - Act CompFF REMOVAL [LV] - Act CompPRP EMERGENCY REMOVAL [PJ] - Act Comp







FIRST LETTER TRANSMITTING AR TO REPOSITORY

C CERCLIS ADMINISTRATIVE RECORDS [AR] - Act Start

FIRST POLREP/ POLREP 1 (date of mobilization)

C CERCLIS

REMOVAL [RV] - Act StartPRP REMOVAL [BB] - Act StartFF REMOVAL [LV] - Act StartPRP EMERGENCY REMOVAL [PJ] - Act Start

FIVE YEAR REVIEW REPORT C

CERCLISInstitutional

Controls

FIVE YEAR REVIEW [FE] - Act CompFF FIVE-YEAR REVIEW [VY] - Act CompGrndwtr Monitor (Post-ROD) [GM] - Act Comp

FIVE YEAR REVIEW START MEMO OR WORKPLAN

C CERCLIS FIVE YEAR REVIEW [FE] - Act StartFF FIVE-YEAR REVIEW [VY] - Act Start

FS WORK PLAN & AMENDMENTS C CERCLIS FF FS [NI] - Act Start

GENERAL NOTICE LETTER C CERCLIS Notice Letters Issued [NJ] - Act Comp

INTERAGENCY AGREEMENT CERCLIS

COMBINED RI/FS [CO] - Act StartFEASIBILITY STUDY [FS] - Act StartFEDERAL INTERAGENCY AGREEMENT [FI] - Act CompFF FS [NI] - Act StartFF RI [NH] - Act StartFF RI/FS [LW] - Act StartNEGOTIATION (GENERIC) [NG] - Act CompOPERATIONS AND MAINTENANCE [OM - FF Lead] -Act CompPRE DESIGN ASSISTANCE [DA] - Act StartRCRA CORRECTIVE MEASURE STUDY [MW] - Act StartRCRA FACILITY INVESTIGATION [MX] - Act StartRD/RA NEGOTIATIONS [AN] - Act CompREMEDIAL ACTION [RA] - Act StartREMEDIAL DESIGN [RD] - Act StartREMEDIAL INVESTIGATION [RI] - Act StartREMOVAL NEGOTIATIONS [RN] - Act CompTECHNICAL ASSISTANCE [TA] - Act Start







LITIGATION REFERRAL TRANSMITTAL LETTER

CERCLIS

LITIGATION (GENERIC) [LT] - Act StartSECTION 104(E) REF LITIGATION [SF] - Act StartSECTION 106 107 LITIGATION [CL] - Act StartSECTION 106 LITIGATION [SX] - Act StartSECTION 107 LITIGATION [SV] - Act Start

OVERSIGHT BILL CERCLIS Issuance of Oversight Bill [QZ] - Act Comp

PCOR C CERCLIS PRELIM CLOSE-OUT REP PREPARED [CM] - Act Comp

PRELIMINARYASSESSMENT (PA) C CERCLIS PRELIMINARY ASSESSMENT [PA] - Act Comp

PROPOSED PLAN R1 Core CERCLISProposed Plan (NU) Parent actions are Combined RI/FS, PRP RI/FS, FS, PRP FS, FF FS, and ROD

PROSPECTIVE PURCHASE AGREEMENT

CERCLIS PPA ASSESSMENT [QX] - Act Comp

PRP OVERSIGHT LETTER CERCLIS Offer to Discuss EPA Oversight Expectations w/PRPs [QY]

- Act Comp

PRP NOTICE OF INTENT TO COMPLY

CERCLIS PRPs Ntfy EPA, Intent to Comply [NC] - Act Comp

PUBLIC MEETING RECORD R1 Core CERCLIS Public Meeting [JE] - Act Comp

RECORD OF DECISION (ROD) C


Controls

RECORD OF DECISION [RO] - Act CompPRP REMOVAL [BB] - Act CompREMEDIAL ACTION [RA] - Act StartREMOVAL [RV] - Act Comp

REMEDIAL ACTION REPORT APPROVAL MEMO

CERCLISREMEDIAL ACTION [RA] - Act CompPRP RA [BF] - Act CompFF RA [LY] - Act Comp

REMEDIAL ACTION START MEMO

C CERCLIS PRP RA [BF] - Act StartFF RA [LY] - Act Start

REMEDIAL DESIGN 100% APPROVAL

C CERCLISREMEDIAL DESIGN [RD] - Act CompPRP RD [BE] - Act CompPRP RA [BF] - Act Start

RI/FS WORK PLAN & AMENDMENTS C CERCLIS FF RI [NH] - Act Start

FF RI/FS [LW] - Act Start







ROD AMENDMENT CCERCLIS


ROD Amendment [JQ] - Act Comp

SITE INSPECTION C CERCLIS SITE INSPECTION [SI] - Act Comp

SPECIAL NOTICE LETTER CERCLIS Special Notice Issued [SG] - Act Comp

UNILATERAL ORDER C


Controls

UNILATERAL ADMIN ORDER [UA] - Act Comp. PRPs written letter of intent to comply with UAO is the start date of the PRP RD

XII.F APPLICABILITY OF THE FREEDOM OF INFORMATION ACT

XII.F.1 Reports Releasable under Freedom of Information Act (FOIA)There is a set of system-generated reports that have sensitive information (records or

information that are protected under FOIA and cannot be released to the public) removed and may be released under FOIA. These reports include:

- Superfund Comprehensive Accomplishment Plan (SCAP) 12 (Site Summary Report for NPL/Non-NPL Sites);

- List 8E (Site/Response Action Listing Report/External);- List 8T (Site/Event Listing, Archived Sites);- List 9 (Site Comprehensive Listing);- List 10 (Contaminants at CERCLIS Sites);- List 11 (Noticed Parties at CERCLIS Sites);- FOIA 01 (Preremedial Report- All Sites);- FOIA 02 (Preremedial Report- Federal Facilities); and- Enforcement 10 (The Settlements Master Report Public Version).Note: Several reports including the SCAP 12, List 8T, and List 9 are currently available

to the public on the Superfund Home Page(http://www.epa.gov/superfund/sites/phonefax/products.htm).

In addition, the Records of Decision System (RODS)(http://www.epa.gov/superfund/sites/rods) may be released under FOIA. It provides the justification for the remedial action (treatment) chosen under the Superfund program and stores information on the technologies being used to clean up sites.



XII.F.2 Sensitive Information Not Releasable under FOIAFOIA is intended as a disclosure law, not a withholding law. In handling all FOIA

requests, there should be a presumption in favor of releasing information. There are certain types of information, particularly enforcement information, that have been designated as sensitive and, therefore, are not releasable to the public because disclosure could cause significant harm to the Agency. All planning data fit into this category including:

- Section 106 and 107 litigation, Consent Decrees (CDs), and all related information where the planning information indicates that the action has been or will be referredto HQ or to the Department of Justice (DOJ). If the case is filed or CD lodged, the information may be released.

- Potentially Responsible Party (PRP) lead Remedial Investigation/Feasibility Study (RI/FS) projects and all related information where only planning data exist. If there is an actual PRP RI/FS start, the planned completion date (fiscal year/quarter (FY/Q))can be released.

- Administrative Order and all related information where only planning data exist. This information is only releasable where an actual completion date exists.

- Information pertaining to cost recovery decision documents such as rationale for write-off;

- Planned obligation amounts related to regional enforcement extramural budget activity associated with the following activities:

Litigation (106, 106/107, 107) support;Removal Negotiations;NPL and NPL PRP search;RI/FS negotiations;Remedial Design/Remedial Action (RD/RA) negotiations; and Cost recovery negotiations.

- RD and RA planned events where the lead is ‘RP’ with no actual starts. When there is an actual start, the planned completion can be released.

- RI/FS and RD/RA negotiations planned start and completion dates. When there is an actual start, the planned completion can be released.

- Planned removal/remedial obligations.- All planned activities for sites that have not been designated as final or proposed NPL

sites in the Federal Register.The following enforcement data also cannot be released:

- Information pertaining to the financial viability of PRPs;- PRPs excluded from a Unilateral Administrative Order (UAO) and reasons why PRP

was not issued a UAO;- Comments;- Parties not issued a General and/or Special Notice Letter or associated with an actual

enforcement instrument;- Party identification under Section 104(e); and



- Compliance data.

This information is protected from mandatory disclosure by the following FOIA exemptions and provisions:

- EXEMPTION 7 - Records or information compiled for law enforcement purposes. Specifically, EXEMPTION 7(a) could reasonably be expected to interfere with enforcement proceedings.

Exemption 7 - Records or Information Compiled For Law Enforcement PurposesThis exemption provides that records or information compiled for law enforcement

purposes need not be disclosed in six specific instances. Even though a document falls under Exemption 7, the Agency, in its discretion, encourages release of the document unless release would significantly harm the Agency. Under this section, records or information can be withheld from disclosure if:

- Exemption 7(a) - Disclosure could reasonably be expected to interfere with enforcement proceedings. Harm to the government's case in court by premature release of evidence or information or damage to the Agency's ability to conduct an investigation constitutes interference under the exemption.

- Exemption 7(b) - Disclosure would deprive a person of a right to fair trial.- Exemption 7(c) - Disclosure could reasonably be expected to constitute an

unwarranted invasion of personal privacy. - Exemption 7(d) - Disclosure could reasonably be expected to disclose the identity of

a confidential source. This includes protection of information provided by the source on a criminal law enforcement investigation.

- Exemption 7(e) - Disclosure would reveal a special technique or procedure for law enforcement investigations or prosecutions.

- Exemption 7(f) - Disclosure could reasonably be expected to endanger the life or safety of any person.

As a result of 1986 Amendments to FOIA Exemption 7, the general coverage of Exemption 7 is no longer investigatory records but records of information compiled for law enforcement purposes. As long as some law enforcement authority exists and the record meets the threshold test for exemption 7, the record need no longer reflect or result from specifically focused inquiries by the Agency.

EXEMPTION 5 - Privileged Interagency or Intra-Agency Memoranda. Specifically, EXEMPTION 5, Privilege 1 - Deliberate Process Privilege, and EXEMPTION 5, Privilege 4 -Government Commercial Information Privilege.

Exemption 5 - Privileged Interagency or Intra-Agency MemorandaIntra-agency records include reports prepared by outside consultants at the request of the

Agency. Recommendations from state officials to EPA may be considered intra-agency records when EPA has solicited state comments, has a formal relationship with the state, and the records concern a specific deliberative process.



This exemption allows the Agency to withhold from disclosure interagency or intra-agency memoranda or letters which fall under the following privileges:

- The Deliberative Process Privilege protects the quality of the Agency's decision-making process (i.e., to protect against premature disclosure of proposed policies before they are adopted), to encourage candid discussions among Agency officials, and to avoid premature disclosure which could mislead the public.

Only pre-decisional, deliberative documents may be withheld. These are written prior to the Agency's final decision, and are not likely to be those that are written by a person with final decision-making authority. Drafts of documents usually fall under this category, and documents transmitted between the government and third parties during settlement negotiations are occasionally protected under this privilege.

The deliberative process privilege does not allow the withholding of purely factual portions of documents. These portions must be released if they can be segregated from the remainder of the document (partial denial). This requirement presents a problem where the facts themselves reflect on the Agency's deliberative process; in this instance, the factual portions may be withheld.

- The Attorney-Work Product Privilege allows the withholding of documents prepared in anticipation of possible litigation. Litigation need not have commenced but it must be reasonably contemplated. This privilege does not extend to purely factual documents unless they reflect the results of an attorney's evaluation.

- The Attorney-Client Privilege applies to confidential communications between attorney and client, including communications between an Agency attorney and Agency employee.

- The Government Commercial Information Privilege is available to the government for information it generates in the process leading up to the award of a contract. This privilege expires once the contract is awarded or upon withdrawal of the contractual offer. An example of this privilege is cost estimates prepared by the government and used to evaluate the construction proposals of private contractors.

- The Expert Witness Privilege is commonly invoked to allow the withholding of records generated by an expert witness.

- The Confidential Witness Statement Privilege allows statements obtained from confidential witnesses to be withheld.

The Agency encourages the discretionary release of documents falling under any of the privileges, unless release would significantly harm the Agency's decision-making process. All of the privileges may be waived if the Agency has disclosed the document to third parties.

The sensitive information listed above covers the information restricted from public disclosure as of the compilation of this Manual. Additional information may be added to this category and information may be restricted in specific instances (though the prior disclosure rule must be satisfied). If requested information is potentially able to be restricted under a FOIA provision (in this case, under Exemptions 5 or 7), the official receiving the request should contact the appropriate FOIA office to determine whether the information should be restricted.



XII.F.3 Ad Hoc ReportingIn general, all regional requests for ad hoc reporting, a special request for records, or

information that is not part of the approved public reports should be referred to the Office of Site Remediation and Enforcement (OSRE) Director immediately. The regional official receiving the request should inform the requestor of this policy and advise the requestor to contact HQ for a decision on whether this information may be released. If the requested information is only available from a specific region, and HQ has decided to release this information, HQ will inform the responsible region that the information should be compiled and disclosed to the requestor.

Ad hoc reporting requests should be treated like FOIA requests. The following guidelines apply:

- If the information is protected under one of the FOIA exemptions, the information will not be disclosed (except in cases of discretionary release);

- Absent FOIA exemption protection, the information will be disclosed if it can be compiled or obtained in a reasonable amount of time by an Agency employee familiar with the subject area; and

- Fees for ad hoc reporting requests will be charged in accordance with the fee structure used for FOIA requests.

XII.F.4 Accessing FOIA InformationThere are several methods to access FOIA information.

On the Internet, via the World Wide Web, several standard reports can be viewed or downloaded from the Superfund Information Systems area of the EPA Web sitehttp://www.epa.gov/superfund/sites/siteinfo.htm, through the "Order Superfund Products" link on the sidebar. Reports available for viewing or download include:

- Inventory of CERCLIS and Archived Sites by State. This report, updated monthly, displays the number of sites by state/possession that are currently in CERCLIS; it also displays the number of sites by state/possession that have been archived or require no further remedial action.

- CERCLIS and Archived Site Database and Text Files with Record Layout. These databases and text files, updated monthly, provide detailed information on sites that are currently in CERCLIS and sites that have been archived or require no further remedial action. The Record Layout identifies and provides the layout of the fields used.

- National Priorities List (NPL) Site Map. The NPL Site Map, updated quarterly, displays the location (based on latitude and longitude coordinates) of sites across the nation that have been proposed, finalized, or deleted from the NPL

Several standard reports and products can also be ordered from the Superfund Information Systems area of the EPA Web site (http://www.epa.gov/superfund/sites/siteinfo.htm), through the "Order Superfund Products" link on the sidebar. Reports and products that can be ordered online include:



- List 8T- Archive Listing. This report, updated monthly, lists all sites that were previously listed as contaminated or were suspected of being contaminated, but have subsequently been cleared of contamination or are no longer suspected of contamination. The report lists the sites/incidents, addresses, and Congressional districts, and the remedial, removal, and community involvement activities associated with each site/incident. This report was previously called the "Transition Site/Event Listing."

- List 9- Site Comprehensive Listing. This report, updated monthly, lists all Superfund sites/incidents, addresses, and Congressional districts, and the remedial, removal, and community involvement activities associated with each site/incident.

- List 10- Contaminants at CERCLIS Sites. This report lists contaminants recorded for Superfund sites, including the contaminant Chemical Abstract Service (CAS) number and maximum concentration level. Affected media and the cleanup action(s) associated with the contaminant are also included, as well as basic site information for the affected sites.

- List 11- Responsible Parties at CERCLIS Sites. This report lists responsible parties at Superfund sites that have received Special or General Notice letters from EPA. It displays the party name and address, and data on selected enforcement actions, if present, at the associated sites, as well as basic site information for each site.

- SCAP 12- Site Summary Report for NPL/Non-NPL Sites. This report, updated quarterly, provides detailed information on Superfund sites/incidents that are on the National Priorities List (NPL) and not on the NPL. Only the sites/incidents that have planned or actual remedial/removal activities are selected for inclusion on the report. The remedial/removal activities (planned or actual) as well as the enforcementactivities (actual) related to each site/incident are listed.

The Superfund Order and Information Line (800-775-5037 or 202-260-8321) is an interactive phone/fax system that provides information from CERCLIS. By following voice prompts, the Superfund Order and Information Line allow users to request List 8T, List 9, List 10, List 11, and SCAP 12 reports on CD-ROM.

FOIA requests may also be submitted to an EPA region or HQ for any FOIA reports or information. FOIA report requests should include the name of the FOIA report being requested, or the site name, city, county, state, and/or ZIP code for which information is being requested.




Appendix A: New Initiatives/New Requirements





FY 12 SPIM A-i March 20, 2012

Appendix A: New Initiatives/New Requirements

Table of Contents

A.A Superfund Initiatives................................................................................................. A-1 A.A.1 Integrated Cleanup Initiative ....................................................................................A-1 A.A.2 Community Engagement Initiative ..........................................................................A-2

A.B Other Superfund Program Priorities ...................................................................... A-3

A.C New Superfund Requirements ................................................................................. A-3 A.C.1 Performance Measures .............................................................................................A-3


March 20, 2012 A-ii FY 12 SPIM



FY 12 SPIM A-1 March 20, 2012

APPENDIX A: NEW INITIATIVES/NEW REQUIREMENTS

A.A SUPERFUND INITIATIVESThe Superfund Program is currently involved with two initiatives: 1) The Integrated

Cleanup Initiative (ICI) and 2) The Community Engagement Initiative (CEI). Both initiatives originated from, and will be implemented by EPA's Office of Solid Waste and Emergency Response (OSWER) and Office of Enforcement and Compliance Assistance (OECA). Each initiative has objectives and discrete actions to be completed, which are examples of work being done to improve the way EPA conducts its business, performs its technical work, and engages its stakeholders.

A.A.1 Integrated Cleanup InitiativeEPA's OSWER in partnership with OECA has launched a three-year strategy, the

Integrated Cleanup Initiative (ICI or the Initiative), to identify and implement improvements to the Agency's land cleanup programs. The goal of the Initiative is to better use the Agency's land cleanup authorities to accelerate cleanups where possible, address a greater number of contaminated sites, and put these sites back into productive use while protecting human health and the environment. This Initiative reflects the continued evolution of the nation's land cleanup programs which began in the 1980s.

EPA and its key state, tribal, and local partners, including affected communities, have matured in their collaborative approaches to identifying and cleaning up these sites. They also want to maximize opportunities to spur cleanup by anticipating how the site could best be reused (an approach that has evolved during the last several decades). Integrating approaches and leveraging best practices across the full spectrum of contaminated sites (Superfund, Brownfields, Resource Conservation and Recovery Act (RCRA) corrective action, federal facilities, and underground storage tanks) is a critical part of this Initiative. The Initiative Plan identifies 25 specific actions that EPA's OSWER and OECA will undertake in order to meet the goal and objectives of the Initiative.

Some of the specific ICI activities highlighted in OSWER's fiscal year (FY) 2012 National Program Manager (NPM) Guidance include the following:

As part of EPA’s ICI, nine pilot projects were identified where best management practices and innovative solutions are being employed. Lessons learned from the nine pilots initiated during FY 2011 to explore cost effective options for accelerating remedial action projects and for otherwise improving the way we manage Superfund remedial projects to completion will be applied more broadly at our sites. Results from completed pilots will be considered for broader implementation across sites in FY 2012, FY 2013 and FY 2014.

In FY 2012 the Superfund Remedial program will expand and integrate optimization techniques throughout the cleanup process.

As part of the ICI, OECA will take early and focused enforcement efforts to compel cleanup. Those efforts include increasing enforcement earlier in the pipeline at non-


March 20, 2012 A-2 FY 12 SPIM

emergency removal action and RI/FS stages; expediting remedial action by holding parties accountable to negotiation timeframes and scheduled cleanup commitments; and rejuvenating the process for early identification of responsible parties to support increased site assessment, NPL listings, and early enforcement activities.

A.A.2 Community Engagement InitiativeIn December 2009, EPA's OSWER introduced the CEI and released a proposed Action

Plan for comment by community stakeholders and the general public. The CEI is designed to enhance OSWER and regional offices' engagement with local communities and stakeholders (e.g., state and local governments, tribes, academia, private industry, other federal agencies, non-profit organizations), to help them meaningfully participate in government decisions on land cleanup, emergency preparedness and response, and the management of hazardous substances and waste.

In May 2010, based on comments received on the proposed Action Plan, OSWER released an Implementation Plan. The Implementation Plan lays out specific actions that OSWER and the OECA program offices will implement to achieve the goals and objectives of the Action Plan, and in so doing, will help EPA conduct timely decisions and actions that are reliably informed by the broad diversity of voices and interests in the communities we serve.Specific actions under the Implementation Plan are as follows:

- Action 1 - Evaluate and Revise Critical Decision-Making Processes and Guidance - Action 2 - Review and Support Community Engagement Processes of Underground

Storage Tank (UST) Programs Implemented by state agencies and UST Programs in Indian Country Implemented by EPA

- Action 3 - Sustain a Dialogue with EPA regions and state RCRA Delegated Programs to Identify and Promote Best Community Engagement Practices

- Action 4 - Pilot Methods of Engaging Communities in OSWER Regulation and Guidance Development

- Action 5 - Review Community Engagement Policies and Activities Associated with Enforcement Activities

- Action 6 - Promote Community Engagement Associated with the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) Enforcement Involving Federal Facilities

- Action 7 - Evaluate and Improve EPA Technical Assistance Processes - Action 8 - Broaden Awareness and Support for the Community Action for a Renewed

Environment (CARE) Program Principles in OSWER Programs - Action 9 - Launch the Brownfields Area-Wide Planning Pilot Program - Action 10 - Collaborate with federal agencies to Provide Public Health Information on

OSWER Projects - Action 11 - Evaluate Risk Communication Processes and Develop a Comprehensive

Education Program - Action 12 - Improve Communication of Sampling and Testing Results - Action 13 - Evaluate and Improve Delivery of Information


FY 12 SPIM A-3 March 20, 2012

- Action 14 - Develop an OSWER-Wide/regional Community Engagement Training Program for EPA OSWER and regional employees

- Action 15 - Develop Measures on the Effectiveness of Community Engagement Activities and Report Annually on CEI

- Action 16 - Create an Environmental Workforce Development and Job Training Program

For more information on the CEI see: http://www.epa.gov/oswer/engagementinitiative

A.B OTHER SUPERFUND PROGRAM PRIORITIESAmerican Recovery and Reinvestment Act of 2009 (ARRA) funds are being used to

further cleanup at NPL sites across the country, maximize job creation and retention, and provide environmental and economic benefits. The Superfund Remedial program will continue to monitor progress of projects at sites utilizing ARRA funds in FY 2012.

The Superfund program continues to incorporate Environmental Justice (EJ) into its programs and supports the Administrator key priority of Expanding the Conversation on Environmentalism and Working for Environmental Justice. This priority encourages EPA to identify new and better ways to address the environmental justice issues facing many minority, low-income, and indigenous people. The Superfund program is committed to promoting healthy and environmentally sound conditions for all people through its remedial cleanup programs.

A.C NEW SUPERFUND REQUIREMENTS

A.C.1 Performance MeasuresOSRTI's Human Exposures Under Control (HEUC) is one of EPA's senior leadership

Key Performance Indicators (KPIs), used to advance Strategic goals and Cross-Cutting Fundamental Strategies in EPA's Strategic Plan. For KPI reporting, the Superfund Remedial Program's HEUC result will include final and deleted NPL and Superfund Alternative (SA) sites and be combined with the Office of Resource Conservation and Recovery's (ORCR's) human exposure under control measure's accomplishments.

OSRTI's Sitewide Ready for Anticipated Use (SWRAU) measure is one of EPA's senior leadership KPIs, used to advance Strategic goals and Cross-Cutting Fundamental Strategies in EPA's Strategic Plan. In addition, SWRAU is a High Priority Performance Goal (HPPG) which will produce significant, measureable results in the next 12 to 24 months, is relevant to the public, and represents a high priority for the Agency. For KPI and HPPG reporting, the Superfund Remedial program's SWRAU result will include final and deleted NPL and SA sites, exclude groundwater only sites, and exclude sites that have been deferred to other programs. In addition, for KPI and HPPG reporting, the Superfund Remedial Program's SWRAU result will be combined with ORCR, Office of Brownfields and Land Revitalization (OBLR), and Office of Underground Storage Tanks (OUST) accomplishments.


March 20, 2012 A-4 FY 12 SPIM





Appendix B: Regional and Headquarters Contacts





FY 12 SPIM B-i March 20, 2012

Appendix B: Regional and Headquarters Contacts

Table of Contents

B.A Headquarters (HQ) Subject Matter Experts/Data Sponsors .................................................B-1

B.B SCAP Report Contacts ............................................................................................................ B-3

B.C Office of Emergency Management (OEM) HQ Removal Coordinators ...............................B-3

B.D HQ Superfund Cost Recovery Contacts .............................................................................. B-4

B.E Cost Recovery Contacts........................................................................................................... B-4

B.F Regional Budget Coordinators ............................................................................................... B-5


March 20, 2012 B-ii FY 12 SPIM



FY 12 SPIM B-1 March 20, 2012

APPENDIX B: REGIONAL AND HEADQUARTERS CONTACTS

B.A HEADQUARTERS (HQ) SUBJECT MATTER EXPERTS/DATA SPONSORS

Subject Area Name of Contact E-mail Phone Number

Annual Commitment System William Dalebout [email protected] 703-603-8826

ARRA Gerome V. Burke [email protected] 703-347-0538

CERCLIS Financial Data Alan Youkeles [email protected] 703-603-8784

Community Involvement Freya Margand [email protected] 703-603-8889

Construction Completions Jennifer Hovis [email protected] 703-603-8888

Cost Recovery Process Ruth Broome [email protected] 202-564-6077

Cost Recovery Statute of Limitations Mary Bell [email protected] 202-564-2256

Data Quality Sheldon Selwyn [email protected] 703-603-8776

eFacts Sheldon Selwyn [email protected] 703-603-8776

Enforcement Mary Bell [email protected] 202-564-2256

Environmental Indicators Richard Norris [email protected] 703-603-9053

Federal Facilities Enforcement Budget Lance Elson [email protected] 202-564-2577

Federal Facilities Measures Brendan Roache [email protected] 703-603-8704

Federal Facilities Response Ellen Treimel [email protected] 703-603-0720

Federal Facilities Response Budget Execution Marie Bell [email protected] 703-603-0050

Federal Facilities Response Budget Planning Tencil Coffee [email protected] 703-603-0053

Five Year Reviews Steve Ridenour [email protected] 703-603-8922

FOIA (OSRTI) Richard Hammond [email protected] 703-603-8838

Groundwater Matthew Charsky [email protected] 703-603-8777

Institutional ControlsChip LoveGreg Sullivan

[email protected]@epa.gov

703-603-0695202-564-1298

Mining Sites Shahid Mahmud [email protected] 703-603-8789

OCFO Diane Kelty [email protected] 202-564-7688

OEM - Removal Implementation

Bill FinanPeter Oh


202-564-7981202-564-2375

OEM - Removal Planning & Reporting Peter Oh [email protected] 202-564-2375


March 20, 2012 B-2 FY 12 SPIM

OEM – Removal Rob FoxDana Stalcup


202-564-1538202-564-2089

OSREEric FrenchMary Bell


202-564-0051202-564-2256

OSRE/Action Codes -Enforcement, Annual Budget Process

Alice Ludington [email protected] 202-564-6066

OSRE Budget Laura Milton [email protected] 202-564-6017

OSRE Work Planning Alice Ludington [email protected] 202-564-6066

OSRTI Budget Execution Amy Vandenburg [email protected] 703-603-9028

OSRTI Budget, Planning & Evaluation Art Flaks [email protected] 703-603-9088

OSTRI Annual Budget Process (CERCLIS Action Codes) Alan Youkeles [email protected] 703-603-8784

OSRTI Resource Management Robin Richardson [email protected] 703- 603-9048

OSRTI Work Planning William Dalebout [email protected] 703-603-9058

OSWER Budget Larry Wilbon [email protected] 202-566-1903

Post-Construction Jennifer Hovis [email protected] 703-603-8888

Radiation Contaminated Sites Stuart Walker [email protected] 703-603-8748

Remedial Design/Remedial Action Kate Garufi [email protected] 703-603-8827

Remedy Selection Randy Hippen [email protected] 703-603-8829

SCAP Report Coordinator Renee Hamilton [email protected] 703-603-9092

Site Assessment/NPL Listing Randy Hippen [email protected] 703-603-8829

Special Accounts Tracey Stewart [email protected] 703-603-8791

SPIM Lead Renee Hamilton [email protected] 703-603-9092

Superfund Alternative Approach Nancy Browne [email protected] 202-564-4219

Superfund Financial Management Kevin Brittingham [email protected] 202-564-4941

Superfund Financial Management Tanya Jenifer [email protected] 202-564-7572

Superfund Financial Management Tina van Pelt [email protected] 202-564-4984

Superfund Redevelopment Melissa Friedland [email protected] 703-603-8864



B.B SCAP REPORT CONTACTS

DesignationTitle

Name of Contact E-mail Phone Number

SCAP-2/11/12Site Summary Report/FOIA Renee Hamilton [email protected] 703-603-9092

SCAP-4EEnforcement Financial Summary (OECA/OSRE maintains this report)

Alice Ludington [email protected] 202-564-6066

SCAP-4FFederal Facility Financial Summary

Marie Bell [email protected] 703-603-0050

SCAP-4RResponse Financial Summary Report

Alan Youkeles [email protected] 703-603-8784

SCAP-13Site Assessment Report Randy Hippen [email protected] 703-603-8829

SCAP-14Superfund Accomplishments Report

Renee HamiltonEllen Treimel (FFRO)Bill Finan (OEM)Peter Oh (OEM)Mary Bell (OSRE)

[email protected]@[email protected]@[email protected]

703-603-9092703-603-0720202-564-7981202-564-2375202-564-2256

SCAP-15 William Dalebout [email protected] 703-603-8826

SCAP-16Reconciliation SCAP 14 Audit Report

Renee Hamilton [email protected] 703-603-9092

B.C OFFICE OF EMERGENCY MANAGEMENT (OEM) HQ REMOVAL COORDINATORS

Subject Area Name of Contact E-mail Phone Number

Region 1 Removal Coordinator Jan Shubert [email protected] 202-564-2527

Region 2 Removal Coordinator Tim Grier [email protected] 202-564-2361

Region 3 Removal Coordinator Eugene Lee [email protected] 202-564-7988

Region 4 Removal Coordinator David Chung [email protected] 202-564-8942

Region 5 Removal Coordinator Sherry Fielding [email protected] 202-564-6174

Region 6 Removal Coordinator Lisa Boynton [email protected] 202-564-2487

Region 7 Removal Coordinator Lisa Boynton [email protected] 202-564-2487




Region 9 Removal Coordinator David Chung [email protected] 202-564-8942


B.D HQ SUPERFUND COST RECOVERY CONTACTS

Area of Specialization Name of Contact E-mail Phone Number

Annual Allocation Jill Beresford [email protected] 202-564-4805

Cost Documentation and Reporting Andrew LeBlanc [email protected] 202-564-1761

National Cost Documentation Advisor; Special Projects Kevin Brittingham [email protected] 202-564-4941

Program Costing Staff Director; Superfund Policy

Regional Coordination Meshell Jones-Peeler [email protected] 202-564-3160

Superfund Indirect Costs Ellen Rajewski [email protected] 202-564-4977

Superfund Interest Rate; Trust Fund Oversight Nikki Robinson [email protected] 202-564-1784

B.E COST RECOVERY CONTACTS

Location/Region Name of Contact E-mail Phone Number

Region 1 Robert PavluvcikJoan Buonopane


617-918-1137617- 918-1227

Region 2Carlos KercadoJoAnn VelezLeslie Peterson

[email protected]@[email protected]

212-637-3480212-637-3462212-637-4298

Region 3Daria ArnoldSteven PandzaDiane McCall


215-814-5171215-814-5178215-814-5172

Region 4Sarah FrancoCharles HayesVickie Tellis


404-562- 8215404-562-8393404-562-8218

Region 5Betty White (Acting)Richard HackleyLinda Haile


312-886-7955312-886-9144312-353-4175

Region 6 Carolyn RagonRey Gomez


214-665-8389214-665-6520

Region 7 Jolleen WerstBetty Saladin


913-551-7108913-551-7309

Region 8 Ray Montenegro [email protected] 303-312-6394



Region 9 Yvonne FongDavid Wood


415-972-3698415-972-3709

Region 10 Carrie WilliamsScott Ryan


206-553-1194206-553-0285

Cincinnati Finance Center

Las Vegas Finance Center

Research Triangle ParkFinance Center

Gloria OwensBetty Hamilton


919-541- 0052919-541- 4280

B.F REGIONAL BUDGET COORDINATORS

Location/Region Name of Contact E-mail Phone Number

Region 1 Joan Buonopane [email protected] 617-918-1227

Region 2Courtney McEneryLeslie Peterson (Enforcement)


212-637-4295212-637-4298

Region 3 Robin-Faux Williams [email protected] 215-814-3133

Region 4 Charlotte Whitley [email protected] 404-562-8863

Region 5 Vincent Saunders [email protected] 312-353-9077

Region 6Helen Newman Carlene Chambers (Alternate)


214-665-6657214-665-3181

Region 7Teri HankinsAntoinette Singletary (Alternate)


913-551-7118913-551-7491

Region 8 Lourdes DeppmeierJackie Easley (Enforcement)


303-312-7040303-312-6758

Region 9Danielle DunbarEugene Rainwater (Alternate)


415-972-3104415-972-3217

Region 10 Lynne Kershner [email protected] 206-553-6518







Appendix C: FY 12 Work Planning Memorandum




UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, D.C. 20460

OFFICE OF SOLID WASTE AND EMERGENCY

RESPONSE

OSWER: 9200.2-95

MEMORANDUM

SUBJECT: FY 2012 Superfund Remedial and Enforcement Work Planning

FROM: Robin H. Richardson, Director ~ ~ _ ~ Resources Management Division

TO:

Purpose

Office of Superfund Remediation and Technology Innovation (OSRTI)

Monica Gardner, Director ~ ~ Policy and Program Evaluation Division Office of Site Remediation Enforcement (OSRE)

Superfund National Policy Managers, Regions 1-10 Regional Counsel, Regions 1- 1 0

The Superfund Remedial and Enforcement programs are joining together again to coordinate a unified approach toward annual work planning with the regions. This memorandum identifies the scope and schedule ofFY 2012 work planning activities and contains a description of topics to be discussed by the national program offices during the summer meetings and a schedule of due dates for data entry or decisions.

This year's work planning memorandum contains four major content areas: Key Work Planning Activities and Dates; Focus Areas for FY 2012; Agency Level Performance Measures; and Program & Resource Management. The agenda for the work planning meetings may not be in this exact order, but will be organized to meet each Region's needs and allow the discussion to flow and build upon topics cumulatively.

W Recycled/Recyclable n~ ~ Printed with Soy/Canola Ink on paper that 'CJO contains at least 50% recycled fiber

Contacts & Logistics

Please inform your headquarters regional budget coordinator in advance if you would like to discuss any additional Region-specific issues during the work 'planning sessions. If you have any questions about this memo, please call Art Flaks (OSRTI) at 703-603-9088 or Vincent Velez (OSRE) at 202-564-4972.

I. Key Work Planning Activities and Dates

Beginning July 2011, Headquarters will schedule work planning meetings to be held with the regions during August and early September.

Activity Date

HQ schedules Region-specific work planning meetings Early July

OSRE prepares extramural resource allocation for interim operating plan based on President' s Late June request.

Regions enter initial commitments reflecting DRA approval for FY 2012 performance July 8 measures into ACS

Regions enter preliminary CERCUS planning data for Special Accounts July 22

All RA funding needs must be entered into CERCUS for FY 2012 July 22 4 days before

Regions enter target estimates and Pipeline resource planning in CERCUS your Region's meeting

HQ and Regions conduct work planning meetings August 1 -September 8

Regions enter final commitments reflecting DRA approval for FY 2012 performance measures October 3

into ACS (Unresolved commitment must be elevated for resolution to DRA/DAA) Regions enter final FY 2012 RA planning data and summary level response targets into

October 7 CERCUS

Regions enter final FY 2011 EOY GPRA accomplishment data into CERCUS October 7

Regions enter final FY 2011 non-GPRA EOY accomplishment data into CERCUS October 15

Regions make final updates to their FY 2012 Special Account plans October 17 OSRTl develops Initial FY 20 12 Ongoing RA Funding Plan Mid-October

OSRTI issues memorandum initiating Remedial unliquidated obligations review Mid-October

HQ and Regions concur on the final FY 2012 regional performance commitments October 21

HQ/Regions elevate any unresolved FY 2012 Performance commitments to OCFO for dispute resolution. NPMs and regions send an email to OCFO indicating that final performance

October 28 commitments entered in Measures Central have been approved by DRAs and DAAs and that DRAs and DAAs are aware of unresolved FY 2012 commitments. Regions enter final FY 2012 Pipeline Allocation target data and detail level site-specific

November? response targets

Regions submit unliquidated obligations review results to OSRTI Mid-November

OSRTI runs draft Pipeline Operations Site Allowance allocation model Mid-November

EPA posts final FY 2012 GPRA targets on EPA Quickplace website November 18

ACS is locked to prevent further adjustments to FY 2012 commitments November28

2

OSRTI issues deobligation targets for FY 2012 Mid-December

OSRTI determines FY 2012 Regional Pipeline Operations Site Allowance Allocations Pending Appropriation

Regions submit initial FY 2012 Deobligation Plans to HQ Mid-January

FY 2012 Check in, FY 2013 plans, FY 2014 outyear projections February

OSRE issues call to Regions for submission of additional extramural funding requests Late March

OSRE submits reprogramming of third quarter allocation based on regional requests Late April

II. Focus Areas for FY 2012 This section provides key focus areas for discussion during the summer work planning meetings that are new or have a change in emphasis.

A. Integrated Cleanup Initiative

OSWER is well into the second year of the three-year Integrated Cleanup Initiative (ICI) announced on March 12,2010, by the Assistant Administrators ofOSWER and OECA. The goal is to ''better utilize EPA's assessment and cleanup authorities, in an integrated, transparent and accountable fashion, to address a greater number of contaminated sites, accelerate cleanups, and put those sites back into productive use while protecting human health and the environment." The ICI is organized into four objectives: 1) Starting Cleanups, 2) Advancing Cleanups, 3) Completing Cleanups, and 4) Performance Metrics.

During the first year, significant progress was made in these areas by both the Superfund remedial and enforcement programs and more work is planned for FY12.

The actions for the Enforcement and Remedial Programs under the four objectives are outlined below:

1. Enforcement Program

The Superfund enforcement program identified five actions that support the objectives of the ICI (Also see Attachment A - SEALS Major Focus and Reporting Areas for FY 2012.) For purposes of work planning, OSRE will provide a status on each action. In addition, we will discuss how the Regions will be involved in meeting the obligations related to the actions with deliverables planned in 2012.

a) Objective 1 - Starting Cleanups

1. Objective 1.3: Process for early identification of responsible parties to support changes in site assessment, NPL listing and early enforcement activities. OSRE is evaluating and analyzing existing regional and headquarter resources and training needs for PRP search activities and will issue recommendations, if any, for changes in those areas. Also, OSRE is evaluating opportunities for accelerating PRP search activities to maximize PRP performance of the work earlier in the pipeline and will revise national PRP search guidance, policies, and/or performance measures, as appropriate, to reflect any recommended changes.

3

b) Objective 2- Advancing Cleanups

11. Objective 2.ll.A -Expedite response action by holding all parties accountable to negotiation timeframes. OSRE has developed a new CERCUS report that includes the full RD/RA negotiations pipeline- from planned Records of Decisions (RODs) and upcoming or ongoing RD/RA negotiations. The report will be used at regional dockets, OSRTI and DOJ bi-weekly meetings, and other regional visits to better track compliance with the Interim Policy on Managing the Duration of RD/RA Negotiations. Also, an evaluation of the Interim Policy is currently underway to explore its effectiveness and possible actions that may be necessary to improve the process. In addition, as part of the work planning process, we will discuss the status of planned RA negotiation starts and completions and identify major obstacles preventing the completion of the negotiations, for those situations where negotiations will exceed 120 days from issuance of SNL.

111. Objective 2.ll.B: Expedite response action by holding parties accountable to scheduled cleanup commitments. OSRE has established and analyzed baseline data on the status of PRP compliance with work obligations under enforcement instruments. A memorandum is under development encouraging Regions to consider unilateral EPA modification of deficient PRP deliverables as a tool to limit cleanup delays. A substantial noncompliance (SNC) tracking measure is under development supporting timely and appropriate EPA enforcement responses to bring responsible parties into compliance with enforcement instruments. It should be ready for implementation by the end of FY 2011. In FY 12, compliance trends and existing procedures for responding to SNC will be evaluated and a compliance strategy will be developed, if appropriate.

IV. Objective 2.12.A: Promote strategy for early enforcement at removals. A new "Enforcement First" policy is pending that addresses completing the preliminary PRP search prior to initiating the non-emergency removal. A Removal Enforcement Workgroup was formed which includes removal managers, enforcement managers, and attorneys to share information on effective removal enforcement approaches.

v. Objective 2.12. B: Ensure enforcement authorities are used, when appropriate, to maximize PRP performance of remedial investigations(feasibility studies. OSRE is currently reviewing site-specific data and information related to EPA's decision to use the Trust Fund to perform RI/FS at a site to evaluate whether EPA's current approach for ensuring "enforcement first" for RI/FS is effective at maximizing PRP performance of the RI/FS. Once complete, a recommendation will be made to continue the current approach or develop and implement improvements to further promote PRP-lead RI/FSs. During the work planning meetings, we would like to discuss each Region's list of potential Fund-lead RI/FS starts for FY 2012 and each Region's strategy for completing and documenting the preliminary PRP search prior to using the Fund to perform the RifFS. We would also like to review Regional FY 2011 decisions to use the Fund for RifFS.

2. Remedial Program

4

During FY 2012, OSRTI will continue to have substantial work under the four ICI objectives. This work is highlighted below.

a) Objective 1 - Starting Cleanups

i. Objective 1.5A-E: Strengthen CERCLA 's site assessment and listing processes to improve effectiveness. OSRTI will continue its work to improve the effectiveness of site assessment and the listing process, including:

A. Improve the effectiveness of the current site assessment process under CERCLA B. Explore opportunities to revise the Hazard Ranking System and related policies ·C. Improve the transparency and effectiveness of the NPL listing process D. Improve the transparency and effectiveness of the NPL-Caliber Approach

(formerly Superfund Alternative Approach).

ii. Objective 1.6: Evaluate the Superfund consultation process and policy for States, Tribes, Local Governments, and Communities. OSRTI will continue its work to assess regional practices for involving local communities, including states, local governments, and tribes during the site assessment process.

b) Objective 2- Advancing Cleanups

iii. Objective 2. 4A: Improve efficiency of administrative and contracting processes. The Superfund program will be led by a joint OSWER, OARM team to review contracting strategy while incorporating OMB's recent memoranda related to improvements and efficiencies in the acquisition process.

iv. Objective 2. 6A: Improve administrative efficiency of administrative grant and contracting processes. Over the past few months, OSRTI has been leading an effort to review our current remedial acquisition efforts and plan for the next five to 10 years. A workgroup consisting ofHQ and regional program personnel as well as regional and HQ contracting staff (including the Office of Small Business Programs) is developing an updated strategy for the remedial program to supplement the Contracts 2010 initiative. The Contracts Management Branch in OSRTI will be coordinating the implementation of the Contracts 2010 initiative as it applies to the Superfund remedial program. OSRTI anticipates that guidance for implementing changes will be developed in conjunction with Regional project officers and contracting officers and incorporated into standard operating procedures for remedial contracting. In addition, OSRTI plans to conduct Regional reviews of remedial contracting processes in order to foster cross-regional and cross-program communication and sharing of best practices. OSRTI will discuss the reviews further during work planning and will solicit ideas and participants for review teams.

v. Objective 2. 9: Streamline, as appropriate, Superfund remedial boards and panels. OSRTI will complete its work to evaluate opportunities to improve the functioning of the National Remedy Review Board and the Contaminated Sediments Technical Advisory Group and begin implementation of new protocol, including any increased opportunities

5

for greater community and tribal input for consideration during deliberations.

vi. Objective 2. 9: Evaluate opportunities to improve the timeliness, transparency, r;md quality of Remedy Decision Documents at Superfund sites. OSRTI has convened a Regional/HQ group to evaluate existing guidance and process, identify the need for additional guidance based on emerging issues, evaluate opportunities to expand community and tribal involvement, and review ways to streamline HQ's consultation requirements for decision documents.

vii. Objective 2.12: Evaluate opportunities to provide greater support in optimizing cleanup of Superfund sites. OSRTI will continue to work with EPA regions to finalize a national optimization strategy and provide technical support mechanisms for use in conducting site optimization work.

viii. Objective 2.12: Accelerate and improve the management of Superfund remedial projects. OSRTI will support regions in implementing pilot projects to explore new ways to accelerate or otherwise improve remedial project management at Superfund sites. In addition, regions will continue to implement and evaluate the newly applied Best Management Practices adopted from other regions. Finally, OSR TI will continue its work with regions to strengthen Superfund remedial site-related technical support.

c) Objective 3- Completing Cleanups

ix. Objective 3.3A-B: Improve consideration of institutional controls and improve community understanding of five-year reviews. OSRTI will continue to:

A. Improve consideration of institutional controls at sites; and, B. Improve community understanding of five-year reviews.

x. Objective 3. 7: Explore opportunities to achieve Human Exposure under Control at NPL sites. OSRTI will continue to assess exposure conditions and site cleanup progress at Human Exposure Insufficient Data (HE ID) sites; and, in consultation with the National Environmental Indicators Workgroup continue data analyses to identify areas where increased focus may move sites out of HE ID. OSRTI will continue to explore regionspecific 5-Year Review planning data as an indicator of the potential for site fallback out of the Human Exposure Under Control category.

d) Objective 4 - Evaluate Performance Metrics and the Effectiveness of the ICI Activities

xi. Objective 4.2: Measure the effectiveness of the ICI activities and report annually on ICI The Center for Program Analysis (CPA) will work with OSRTI and others to annually review and report publicly on the progress made on all commitments in the ICI. In addition, an effort is underway within OSRTI to streamline and improve the Site Profile pages for all NPL and SAA sites. The content presented on the individual pages is being reviewed in concert with the regional site profiles in an attempt to re-engineer both pages into one and present a unified One EPA message. OSRTI in conjunction with the regions will work together to develop model content to be used as the format on all profile pages.

6

Once completed, the model content will communicate a cohesive message of how Superfund sites advance through the pipeline. The site profile pages will also be a platform for conveying individual site progress on key program measures internally and externally.

B. Community Engagement Initiative

In December 2009, the Assistant Administrators of OSWER circulated for public comment a draft Proposed Action Plan for OSWER's Community Engagement Initiative (CEI). The CEI Implementation Plan was released in May, 2010. The CEI seeks to enhance OSWER and regional office' "engagement with local communities and other stakeholders (e.g., state and local governments, tribes, academia, private industry, other federal agencies, non-profit organizations) to help them meaningfully participate in government decisions on land cleanup, emergency preparedness and response, and the management of hazardous substances and waste." The CEI is organized into three goals:

;;;.. Develop transparent and accessible decision-making processes to enhance meaningful community stakeholder participation;

:;;;.. Present information and provide technical assistance in ways that will enable community stakeholders to better understand environmental issues and participate in an informed way during the decision-making process;

;;;.. Produce outcomes that are responsive to stakeholder concerns and are aligned with community needs and long-term goals to the extent practicable

The actions for the Enforcement and Remedial Programs under the three goals are outlined below. Additional information about the CEI inCluding detailed descriptions and specific actions can be found on the web at http://www.epa.gov/oswer/engagementinitiative/.

1. Enforcement Program

The Superfund enforcement program has identified the following action that supports the objectives of the CEI. An update on the progress of these actions will be provided during work planning.

a) Objective 2 -Enforcement Processes

i. Action 5 - Review and analyze current enforcement policies and activities to determine how to engage communities affected by enforcement actions while still being consistent with ethics rules, federal rules and applicable laws:

o Evaluate public access to relevant enforcement information and determine steps to implement the findings.

o Take steps to increase public access to information relating to enforcement activities under RCRA and CERCLA.

o Review existing guidance and policy materials to determine what additional documents, if any, are needed to better explain the enforcement processes under RCRA and CERCLA.

o Prepare a compendium of best practices.

7

2. Remedial Program

OSRTI has been assigned as leads to specific actions under each of the three CEI goals, and many of the CEI actions will require OSRTI work effort to complete.

a) Objective 1- Decision-making Processes i. Action 1-0SRTI will evaluate critical decision-making processes and guidance to

determine if changes are warranted to strengthen our community involvement efforts.

b) Objective 3- Technical Assistance ii. Action 7- OSWER evaluated the EPA technical assistance programs in FYJJ. OSRTI

plans to develop a guide for conducting a technical assistance needs assessment, and explore opportunities to partner with outside organizations that provide technical assistance.

c) Objective 4- Risk Communication iii. Action II- OSRTI will deliver a specialized risk communication course to Regional staff

d) Delivery of Information iv. Action 13b- Evaluate and Improve Delivery of Information: Superfund Information

Repositories. OSRTI will implement a series of recommendations that will allow for the establishment of electronic information repositories.

e) Objective 6- Community Engagement Training v. Action 14 - OSWER and OSRTI will develop an OSWER-Wide/Regional Community

Engagement Training Programfor EPA OSWER and Regional Employees

C. FY2011 - FY2015 Strategic Plan

The Agency bas a new Strategic Plan for FY20 11 - FY20 15. The implementation of the plan was delayed in FY 2011 due to the delay in passage of the FY 2011 budget. The current plan contains some key changes for the Enforcement and Remedial Programs, highlighted below. The FY2011 - FY2015 Strategic Plan can be reviewed at http://www.epa.gov/planandbudget/strategicplan.html.

1. Enforcement Program Shift to Goal 5

The new Strategic Plan includes revisions to the five major goals. Most notably, the Superfund Enforcement program shifted from Goal 3 -Cleaning up Communities (formerly known as Land Preservation and Restoration) to Goal 5 - Enforcing Environmental Laws. Within Goal 5, Superfund Enforcement is under Objective 5.1 which states: Pursue vigorous civil and criminal enforcement that targets the most serious water, air, and chemical hazards in communities. Assure strong, consistent, and effective enforcement of federal environmental laws nationwide.

2. Remedial Program Shift to Objective 3.3

The new Strategic Plan moves the Superfund Remedial Program from Goal 3, Objective 2 to Goal3, Objective 3. Goal 3 is now Cleaning Up Our Communities and Advancing Sustainable

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Development. Objective 3 is to Restore Land. This programmatic objective is the same as in previous years, but regions should be aware that the objective number in the Strategic Plan has changed.

D. Tailored Oversight

On December 22, 2006, "Using RCRA's Results-Based Approaches and Tailored Oversight Guidance" was issued jointly by OSRE and OSRTI (see the following URL: http://www.epa.gov/compliance/resources/policies/cleanup/superfund/prp-oversight-tailored.pdf). The guidance suggests that Superfund program managers consider tailoring the oversight process requirements to site-specific circumstances, so that the Agency and the PRPs may more efficiently and cost-effectively manage site cleanups.

Using tailored oversight may provide substantial cost savings in the total costs expended for a site. Accordingly, the Agency should reassess the level of oversight it performs on a site-specific basis and make adjustments where appropriate applying the principles provided in Section III of the guidance when developing oversight plans with PRPs for their respective Superfund sites.

In addition, there is another guidance titled the "Interim Guidance on Implementing the Superfund Administrative Reform on PRP Oversight," OSWER Directive #9200.0-32P, and dated May 17, 2000. See: http://www.epa.gov/superfund/programs/reforms/docs/int guid.pdf. This document emphasizes the need for open dialogue between EPA and PRPs to foster improved relationships and to help achieve appropriate levels oversight. For instance, EPA cover letters for oversight bills should provide PRPs with the ability to meet with the regions to discuss any concerns related to their oversight bill.

Pursuant to the Interim Guidance and the cover letter provision, OSRE will be asking each Region the following questions:

1. Are you familiar with the guidance? . 2. If so, what steps have you taken to implement the guidance? 3. How often have PRPs requested meetings to discuss their oversight concerns? 4. How often has the Region met with PRPs to discuss their oversight costs? 5. Were these meetings helpful and did they result in any formal modifications to the PRP oversight

plans and corresponding costs?

E. American Reinvestment and Recovery Act (ARRA)

The Superfund Remedial Program continues to work to expend the $578 million allocated to site work in Recovery Act funding in an efficient and transparent manner. OSRTI will review Regional progress toward meeting programmatic goals for expending ARRA funds, and meeting reporting requirements. Regions will have an opportunity to discuss any difficulties they are having with accomplishing stated goals under the Recovery Act as well as individual site progress.

F. Contracts Laboratory Program

In the 3rd and 4th quarters ofFY 2011, the funding approach for the Contract Laboratory Program (CLP) changed dramatically due to budgetary realities and Regions were given an allocation to use for CLP

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services. The 3rd & 41h quarter allocation amounts were agreed upon through the Analytical Services

Advisory Committee (ASAC). The ASAC will also determine the allocation methodology for FY 2012.

Since regions now have a fixed CLP budget, extra planning and tracking must take place to efficiently and effectively use their funds. Each Region has a CLP Regional Sample Control Coordinator (RSCC) to assist remedial project managers in obtaining sample analysis through the CLP. Close communication and coordination between Superfund staff and CLP RSCCs is required to ensure adequate CLP funds are available when sample analysis is needed.

In order to optimize the use of available CLP funds, regions should consider the following when scheduling CLP work:

• Planning sampling work far enough in advance to allow for use of 21 -day turnaround times (TATs). 21-day TATs are generally less costly than 7-day and 14-day TATs.

• Using special account funds for analysis at a site with a special account. Standard procedures have been developed to apply these funds toward CLP work and track the funds accordingly.

• Evaluating sampling plans to ensure the minimum number of samples are taken and analyzed to inform needed site-specific decisions.

Regions can supplement the CLP allocation with other funds if needed. The Regional CLP RSCC can coordinate this with Analytical Services Branch staff as required.

Information on the CLP, including Regional contacts, can be found at www.epa.gov/superfund/programs/clp.

Ill. Agency Level Performance Measures

As in previous years, Headquarters and the regions will negotiate regional targets for each ACS performance measure for FY 2012 through a formal bidding process that is captured in OCFO's ACS. This process culminates in the development of final regional commitments that have been agreed upon by both Headquarters and each Region. These individual commitments are developed against the backdrop of the Agency's 2011-2015 Strategic Plan. Detailed definitions and information requirements associated with these measures are in the FY 2011 Superfund Program Implementation Manual (SPIM), which is available at http:/ /www.epa.gov/superfund/action/process/spim 11.htm.

In May 2011, Headquarters initiated the ACS commitment process for FY 2012 by finalizing the text of all performance measures in ACS and by entering the value of zero in the "Proposed Bid" field for each performance measure.

Headquarters will use ACS reports to confirm regional GPRA targets during work planning meetings. Draft FY 2012 Regional Commitments are due and must be entered into ACS by July 8. Headquarters will discuss draft regional commitments during the annual work planning sessions and will work with the regions to try to ensure that the cumulative regional commitments meet the national commitments

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for FY 2012. In agreeing to a specific regional commitment for each of its performance measures, each Region commits to accomplishing the agreed-upon results in FY 2012.

By October 3, Regions will enter their final FY 2012 commitment into ACS for all performance measures. Headquarters and Regions must agree on the final FY 2012 regional commitments for all performance measures by October 21. Finalized commitments must be entered into ACS by October 28. Unresolved performance commitments will be elevated for resolution to the DAA/DRA during the week between those two dates.

The Superfund Remedial program will rely on the SCAP-15 GPRA Measure report and the SCAP 14 Accomplishments report to report FY 2012 measure accomplishments while the Enforcement Program will rely on the SCAP 14 Accomplishments report and the ENFR 67 report for FY 2012 GPRA measure accomplishments. All commitments and the associated resources will be subject to review during the annual midyear reviews.

Finally, in FY 2012, OSRTI will continue to track and report the measure status at sites with Superfund Alternative Agreements (SAA). Accomplishments at these sites will be tracked in the SCAP 15 reports devoted to such sites.

1. Enforcement Program GPRA Measures

a) Existing GPRA Measures

FY 2012 Superfund Enforcement Program GPRA Measure ACSCode National

Target Maximize PRP participation by reaching a settlement or taking an OSRE-01 99% enforcement action by the time of the RA start at nonfederal Superfund sites (with RA starts durin2 the fiscal year) with viable, liable responsible parties Address past costs at sites with Statute of Limitation {SOL) cases and OSRE-02 100% unaddressed past Superfund costs greater than or equal to $200,000 By 2015, obtain commitments to clean up 1.5 billion cubic yards of 300M contaminated soil and groundwater media as a result of concluded CERCLA cu yds and RCRA corrective action enforcement actions

Under the new strategic p lan, the Superfund enforcement program will continue to pursue the "Enforcement First" strategy (also see Attachment A - SEALS Major Focus and Reporting Areas for FY 2012). Under GoalS ofEPA's Strategic Plan (Enforcing Environmental Laws), one of the Enforcement's GPRA goals is to maximize PRP participation by "reaching a settlement or taking an enforcement action by the time of the remedial action start at 99% of non-federal Superfund sites (with RA starts during the fiscal year), including NPL sites and sites with Superfund Alternative Agreements, that have known viable, liable parties." There has been no change to this measure.

In addition to ensuring PRP participation in conducting or funding cleanup, another objective of the Enforcement Program under Goal 5 of the Agency's Strategic Plan is to recover costs from PRPs when EPA expends Trust Fund money. The goal here is to "address all costs at sites with SOL cases and unaddressed total past Superfund costs equal to or greater than $200,000." This goal addresses all sites

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funded with Superfund dollars, not just Superfund sites. There has been no change to this measure.

As part of the Goal 5 sub objective, Support Cleaning up Our Communities, OECA added a new GPRA measure which applies to the Superfund Enforcement and RCRA Corrective Action programs.

By 2015, obtain commitments to clean up 1.5 billion cubic yards of contaminated soil and groundwater media as a result of concluded CERCLA and RCRA corrective action enforcement actions.

The OECA GPRA measure which was new in FY 2011, is a national measure with a target of 300 million cubic yards per year. As such, the regions are not required to post targets in the Annual Commitment System. Regional ICIS data entry staff are responsible for entering VCMA information into OECA's !CIS database. Further information on calculating VCMA may be found in the "Final Methodology for Estimating Superfund and RCRA Corrective Action (CCDS) Environmental Benefits 12-12-03."

b) New Enforcement Measures

In alignment with the Assistant Administrator's external goal of pursuing pollution problems that matter to communities, OSRE is currently conducting the Site Cleanup Enforcement Performance Measures Evaluation (SCEPME) Project to better describe, characterize and analyze performance measures with the objective of enhancing the portfolio of Agency site cleanup enforcement performance measures. This process will include a review of not only GPRA measures but also performance measures from a variety of accountability systems including senior management measures, key management measures, Annual Commitment System measures and others.

Site cleanup enforcement performance measurement evaluation can include, in addition to other possible criteria, greater coverage and breadth for site clean up enforcement measures in terms of inputs, outputs, behavioral outcomes, environmental outcomes through pilot projects, models and case studies. Examples of new measure categories could include but are not limited to: refined pollutant loading measures (e.g., hazardous substance pounds or pound equivalents), exposure measures (e.g., groundwater wells protected), and economic metrics (property value appreciation of adjacent properties to remediation sites).

Under the current SCEPME proposal, three new performance measures proposals should be complete by the end of Fiscal Year 2011. At least one of these will have either a case study or pilot approved or under way. Moreover, tool development supporting the development of more outcome oriented measures will complement these efforts. OSRE is currently working in conjunction with the Office of Compliance to develop a draft calculator to assist in estimating hazardous substance loadings from the Volume of Contaminated Media Addressed.

2. Remedial Program Performance Measures

In FY 2012, the Remedial Program will continue to set commitments and report progress against all of its current six ACS measures three of which are GPRA: Remedial Site Assessment Completions, RA Project Completions, Human Exposure Under Control, Groundwater Migration Under Control,

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Sitewide Ready for Anticipated Use and Construction Completions. The proposed FY 2012 national targets for each ofthese measures are included in the following table:

Superfund Remedial Program Priority Performance Measure GPRA ACSCode Proposed FY 2012 National

Target Remedial Site Assessment Completions ./ 122 800 Remedial Action Project Completions 131 130 Construction Completions (CCs) 141 22 Human Exposure under Control (HEUC) ./ 151 10 Groundwater Migration under Control (GMUC) 152 15 Sitewide Ready for Anticipated use (SWRA U) ./ SlO 65

IV. Program and Resource Management

A. Program Management

1. Remedial and Enforcement Targets

During work planning, OSRTI and OSRE will confirm the start and completion targets for the Fund- and PRP-lead actions listed below consistent with the SPIM guidance (http://www.epa.gov/superfund/action/process/spimlO/pdfs/FYlO_SPIM.pdf.). We will use the Superfund eFacts webpage (Charts/NPL/Performance Analysis) based on the SCAP 14A logic that shows Targets, Plans and Accomplishments for the prior three fiscal years, as well as the future four fiscal years. With the exception of special accounts, this means that there will not be a specific pull date that all regions must have their CERCU S numbers updated by. Instead, regions should make sure that CERCUS is up to date three days prior to their scheduled meeting, in order to allow Headquarters time to pull the most up to date numbers and prepare for the meetings.

1. Remedial Site Assessment Decisions n. RifFS Starts

111. NPL Decision Documents (RODs, ROD Amendments, ESDs, Action Memos for NTCR) IV. RD/RA Negotiation Starts and Completions v. RD Starts and Completions

v1. RA Starts and Completions vn. Five-Year Reviews

vm. NPL Deletions 1x. Past Costs Addressed

Regions should target those FY 2011 Fund-fmanced RA start projects for which they have entered planned obligation data pursuant to the section on Planning Estimates for Remedial Construction.

Final QA of the summary level target data must be completed in CERCUS by October 7, followed by site-specific detail level targets on November 6.

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2. Five-Year Reviews

Five-Year Reviews (FYRs) continue to be a primary focus for ensuring remedy protectiveness during post construction. In FY 2012, over 224 statutory and policy reviews and 28 addendums are anticipated. Completed reviews are posted on the national FYR websites at: http://www.epa.gov/superfundlcleanup/postconstruction/5yr.htm and summarized in the annual Superfund Five-Year Review Report to Congress.

OSRTI continues to work with the regions to improve five-year review data quality. The regions are responsible for ensuring FYR planning information (due date, FYR type, and triggering action) is accurate in CERCUS. The results ofFYRs (completion date, issues/recommendations, and protectiveness statements) should be entered in CERCLIS within 10 working days of the signature date of the FYR. In addition, branch chiefs in the regions should update. the status of all outstanding issues and recommendations in CERCUS at a minimum of twice a year or as events warrant. As part of the discussion on response targets, Headquarters will confirm the regions' targets and the accuracy of the five-year review CERCUS planning data.

3. Institutional Controls

Headquarters will continue to pursue discussions with the regions on IC evaluation and implementation issues and support their data entry efforts into the Superfund Enterprise Management System (SEMS).

Headquarters and regional enforcement personnel are providing key support as the regions populate data in SEMS, and report the status of CC sites to the public via the internet. As we continue to implement the Strategy and populate the SEMS database, regions may determine that additional information or work is needed at sites to effectively review andlor implement ICs. For sites where PRPs have entered into consent decrees, the regions should use the processes and examples provided in the March 2006 memo entitled, Enforcement First to Ensure Effective Institutional Controls at Superfund Sites. Additionally, the regions should incorporate the revised IC provisions included as part of the 2009 revisions to the model CERCLA RD/RA Consent Decree (CD) and similar revisions to other model enforcement documents. As part of their Sitewide Ready for Anticipated Use determinations, regions should consider whether all ICs called for in the decision documents are in place and continue to be effective. Finally, regions should continue to improve EPA's capacity to address the challenges of using real property based ICs (e.g., implementing restrictive covenants and negative easements, and acquiring title evidence for monitoring and compliance assurance purposes) at sites by conducting training on real property law and procedure.

4. Site Assessment/NPL Listing

Regions must work toward meeting the FY 2012 proposed commitment of 800 remedial site assessment completions and be prepared to discuss their contribution toward meeting this cumulative goal. Assessment activities and outcomes must be tracked in CERCUS as prescribed in the Superfund Program Implementation Manual (SPIM) Appendix A.

Headquarters will measure regional progress on sites still needing assessment with special emphasis on sites over one year old without any assessment started, and (as required by CERCLA section 1 06(b))

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sites over four years old without a listing decision. A listing decision is defined as a site assessment with a No Further Remedial Actions Planned (NFRAP) decision, or with a decision to study/cleanup a site via the NPL or a non-NPL cleanup approach. Regions should consider these assessment workloads when planning FY2012 assessment work; however, the primary goal within the assessment program continues to be assessing worst sites first.

Regions should work in a collaborative manner with other waste cleanup programs (e.g., removal, Brownfields, RCRA) to manage the identification and distribution of new sites to the appropriate cleanup program. Regions should follow state and tribal consultation procedures as described in the statute, NCP and current guidance, and document work-share agreements covering NPL-caliber sites being remediated by states or tribes using a non-NPL approach. Regions should consult with the lead agency on an annual basis to review progress at each NPL-caliber site covered under a work-share agreement.

NPL Listing is one of several approaches for addressing sites where assessment indicates remedial study/cleanup is needed to address human health and/or ecological risks. Once a site is determined to be NPL-caliber and a decision has been made that the Federal Superfund program should manage the site cleanup, regions should apply a strong initial presumption in favor of listing on the NPL.

B. Resource Management

1. Enforcement Resources

Starting in FY 2012, if approved by Congress in an enacted budget, Superfund Enforcement will shift from Goal 3 to Goal 5, to better align the Agency's enforcement program measures and resources. The new program code will be 501 EC7.

The FY 2012 President's Budget Request includes reductions of approximately $800,000 to the Superfund enforcement extramural resources budget. An initial allocation of$4.8M in FY 2012 extramural dollars has been prepared and will be discussed during the work planning sessions. This represents approximately 60% of requested levels.

As in prior fiscal years, extramural resources will be directed to support new site-specific enforcement activities while also recognizing need based on historical usage. For an explanation of the allocation process, please refer to Chapter 2 of the Superfund Program Implementation Manual (SPIM) FYll, section II.D.5 at http://www.epa.gov/superfund/actionlprocess/spiml l /pdfs/Chapter II SPIM 2011 FINAL.pdf .

2. Remedial Resources

OSRTI expects possible budget reductions in FY 2012 since the FY 2012 President's Budget Request contains a roughly $31 million reduction to the Superfund Remedial Program. If continuing resolutions are adopted at the beginning of the fiscal year, OSRTI will work with the regions to ensure that critical first quarter funding needs are addressed. First quarter resource needs should be highlighted during work planning discussions. In FY 2012, as in previous fiscal years, Headquarters will adjust resource allocations throughout the year based on actual end-of-FY 2010 accomplishments, site-specific circumstances, final appropriations, carryover funds, and deobligations.

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a) Pipeline Operations Site Allowance (Pipeline SA)

For FY 2012 work planning, we wiii continue to collect Pipeline action target information consistent with our standard implementation of the Pipeline allocation methodology. Due to possible budget reductions in FY 2012, regions should plan to receive between 85-90% of the resources they received in the Pipeline SA for FY 2011. OSRTI will use FY 2012 SCAP 14A site-specific detail targets in CERCUS as of November 8, 2010, for the following actions to run the Pipeline Allocation Methodology Model, which is unchanged from FY 2011 :

i. Fund RifFS Starts ii. RP RI/FS Starts iii. Fund RD Starts iv. RP RD Starts v. RP RA Starts

Site-specific targets entered into CERCUS in November must be consistent with the summary targets agreed upon during the work planning meeting (these summary targets are to be entered into CERCLIS by October 7-- see section of this memo on Remedial and Enforcement Targets). OSRTI will issue a draft allocation in mid-November and a final allocation once an Agency Operating plan is established.

b) Ongoing Construction Projects

For work planning, Ongoing Construction Projects include currently ongoing Fund-lead RAs, new and ongoing Long Term Remedial Actions (L TRAs ), Five-Year Reviews, currently ongoing Fundlead removal actions (RVs) funded through the Remedial program budget, and any ongoing or planned Enforcement Fairness projects that have been agreed to by OSRTI and OSRE.

By July 22, regions must update CERCUS with revised project schedules and associated planned obligations for a three-year period (FYs 2012-2014), by quarter, using the planned Alternate (ALT) planning status code for Fund resources. Regions should assess whether special account and Superfund State Contract (SSC) resources are available to fund a particular project and should enter planning data into CERCUS accordingly.

Planned obligations pursuant to annual funding agreements negotiated between OSRTI and the regions must use the planned Alternate (ALT) planning status code. Additional estimates exceeding a funding agreement must use the contingency (CON) planning status code for current and future years.

Based on work planning discussions, regions should update planned obligation data in CERCUS by October 7. OSRTI will use the October data to verify work planning understandings and to develop an Initial Ongoing RA Funding Plan in mid-October, which OSRTI will use as a guide to allocate quarterly resources among the regions. As OSRTI reprograms funds per the ongoing funding plan, regions should update accordingly.

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c) New Construction Projects

For work planning purposes, New Construction Projects include new remedial actions or removal actions funded through the Remedial program budget.

As with ongoing construction projects, by July 22, regions must update CERCUS with revised project schedules and associated planned obligations for a three-year period (FYs 2012-2014), by quarter, using the planned Alternate (ALT) planning status code for Fund resources. Regions should also assess whether special account and Superfund State Contract (SSC) resources are available to fund a particular project and should enter planning data into CERCUS accordingly. Headquarters plans to send a separate memorandum asking regions to identify "enforcement fairness" construction projects and resource estimates for FY 2012 by this same date, where possible.

Regions should enter planning estimates only for those projects that will be ready to start construction in FY 2012, and:

a) have been previously ranked through the National Priority Panel process and did not receive assurance of funding as of the end of July 2011 (by October 7, regions must update planned obligations for ranked projects that did not receive funding in FY 2011); or

b) will be ranked through the National Priority Panel process during FY 2012; Q!

c) will be completely financed by special accounts or a Region's 25% share of recertified resources.

d) Special Accounts

Special account management remains a high priority for the Agency. The regions have done an excellent job in planning uses for remaining resources, and we must continue to build on this success. Special account available balances in CERCUS will be updated from the Financial Data Warehouse (FDW) on July 1, and regions should enter planning information by COB July 22. Headquarters will pull CERCUS data on July 25 in preparation for summer work planning discussions. Headquarters will contact regions during the week of July 18 - 22, to schedule work planning discussions for special accounts between August 29- September 2. During work planning meetings, Headquarters review questions will focus on how special account existing balances are being used to achieve progress in site cleanup and on special accounts of several types:

1. with unassigned or negative unassigned balances (especially those which have large dollar amounts or percentages of unassigned remaining balances)

ii. which have FY 2011 and/or FY 2012 planning data for Fund resources; 111. with "Other" planning estimates or funds planned as contingencies; IV. with opportunities to reclassify and/or transfer resources to the Trust Fund; v. where zero funds have been obligated;

vi. with past planned closure dates.

Special account available balances will be updated on October 1, and regions will make final updates to their plans by October 14. Headquarters will pull CERCUS data on October 17 for reports to senior managers on plans for using special account resources and for use in the FY 2013 Congressional Justification.

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e) State Cost Share Reimbursable Accounts

Similar to special accounts, state cost share reimbursable (TR1) accounts provide a significant source of funds for site-specific remedial action and LTRA that may be used in lieu of appropriated resources. OCFO issues a monthly SSC collections and available TR1 balance report to the regions, which the regions should use to ensure that available funds are planned, obligated and expended in a timely manner. Regional program offices should also work with the regional finance offices to ensure the report is accurate, since it provides the basis for OCFO approval of requests for reimbursable authority for TR 1 funds. Regions have made excellent progress in recent years in using TRl funds and whittling down available balances, though several accounts still have significant balances available for obligation. We will use the July 2011 OCFO report for comparison with regional planned obligations for remedial action and L TRA in preparation for our work planning discussions.

t) Unliquidated Obligations

As is done each year, regions should review unliquidated interagency agreements (lAGs), grants, cooperative agreements, and contract obligations to determine whether funds can be deob1igated from these vehicles and recertified. Unless a State can legitimately document why existing balances cannot be expended or deobligated, the Region should deduct from any proposed FY 2012 resource allocation the value of unliquidated resources obligated prior to FY 2012.

In early October, OSRTI will issue a memorandum requesting regions to characterize, by early November, remedial resources obligated through FY 2009 that remain unliquidated as of the end of FY 2011. OSRTI will issue a memorandum in mid-December with draft deobligations targets to recertify resources to the National RA Pool. OSRTI will request that, by mid-January, regions submit deobligation plans to meet these targets.

Attachment

cc: James Woolford, OSRTI Elliot Gilberg, OSRE OSRTI Managers OSRE Managers Dana Tulis, OEM David Lloyd, OBLR Reggie Cheatham, FFRRO Chloe Metz, Superfund Lead Region Coordinator FY 11, Region 2 Superfund Program Branch Chiefs, Regions 1 - 1 0 Regional Counsel Superfund Branch Chiefs, Regions 1 -10 Cost Recovery Coordinators, Regions 1 - 1 0 IMCs, Regions 1 - 10 Budget Coordinators, OSRTI and Regions 1 - 10 Superfund Program Enforcement Contacts, Regions 1 - 10 Carolyn E. Williams, OSRTI Documents Coordinator

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Attachment A Superfund Enforcement and Legal Support (SEALS)

Major Focus & Reporting Areas for FY 2012 These are the FY 2012 focus areas for the Superfund enforcement and legal support programs. These focus areas will be reviewed and updated annuallv. Also shown are annuallv reported SF enforcement statistics.

Reference Major Focus Areas Data Name Source

Pre-RA Enforcement First/Polluter Pays: Reach a settlement or take an enforcement action Enforcement Action before a new RA start at 95% of non-Federal SF sites with RA starts during the FY CERCUS (GPRA) that have viable, liable PRPs.

Cost Recovery Help maximize cost recovery by addressing all past costs ~ $200K at 1 00% of sites (GPRA) with upcoming SOLs by referral to DOJ, settlement, write-off, or filing a bankruptcy CERCUS

claim.

VCMA Improve the accuracy and timeliness of VCMA data. Report the estimated VCMA I CIS (GPRA) achieved through enforcement actions. (national target: 1.58 cu yds by 2015)

PRP Searches Ensure effective PRP searches and enforcement at the earliest stage of the cleanup CERCUS (ICJ•) pipeline, including Superfund removal and RifFS stages

Compliance Enter Substantial Noncompliance status data for Superfund Enforcement Monitoring instruments in CERCUS and annually review to identify serious violations and CERCUS (ICJ•) ensure timely and appropriate enforcement response.

RD/RA Efficiently negotiate settlements in order to begin cleanups as soon as practicable. CERCUS

Negotiations (ICJ•)

Special Account Effectively manage special accounts to maximize the use of funds for PRP- or EPA- IFMS Management lead cleanup. (Reduce the balance of unplanned funds in special accounts.) CERCUS

Revitalization Facilitate the cleanup and reuse of Superfund properties by addressing, in an enforcement document, the liability concerns of non-liable parties at RAU sites CERCUS (counting site-wide RAU and acres RAU).

Institutional Ensure aiiiCs identified by an EPA document are in place at both PRP-Iead and ICTS Controls Fund-lead SF sites.

Financial Ensure that there is financial assurance (FA) in place for PRP clean-up obligations. CERCUS Assurance Report the total amount of response commitments secured through FA

Referrals Ensure timely referrals of civil actions to DOJ. (#of civil referrals to DOJ.) I CIS

Additional Superfund Enforcement Information Reported Annually by Headquarters to Congress

PRP Response Estimated$ value of all PRP work commitments and/or cash payments toward CERCUS Commitments- future response costs at a site (based on RODs, Action Memos, or BPJ) to be I CIS

completed under entered COs, AOCs, or UAOs where PRPs have agreed to comply.

Cost Recovery The dollar amount of past costs PRPs have agreed to pay to EPA through COs, CERCUS Commitments AOCs and voluntary payments during a given FY. I CIS

Oversight Costs Amounts billed to PRPs for EPA oversight performed pursuant to COs or AOCs. IFMS

Collections The amount of money deposited to the Trust Fund from: settlements, judgments, IFMS billed oversight, UAOs and voluntary payments of past costs.

.. * Integrated Cleanup Initiative obJeCtive ** OECA "injunctive relief obtained" data are derived from this data.







Appendix D: American Recovery and Reinvestment Act (ARRA)





FY 12 SPIM March 20, 2012D-i

APPENDIX D: American Recovery and Reinvestment Act (ARRA)

Table of Contents

D.A General Information .................................................................................................. D-1 D.A.1 Purpose, Contents, and Applicability .......................................................................D-1

Why is EPA issuing this guidance? ...................................................................D-1 a. What is in this guidance? ..................................................................................D-1 b. To whom does this guidance apply to? .............................................................D-2 c.

D.A.2 Responsible Officials in the Superfund Program .....................................................D-2 D.A.3 Ensuring Accountability for Recovery Act Implementation....................................D-2 D.A.4 Roles and Responsibilities of Other EPA Offices ....................................................D-2 D.A.5 EPA Governance and Risk Management Activities.................................................D-3 D.A.6 Inspector General Activities.....................................................................................D-4 D.A.7 Links to Other Information.......................................................................................D-4

D.B Superfund Remedial Program Provisions of the American Recovery and Reinvestment Act ........................................................................................................ D-5 D.B.1 Availability of Funds................................................................................................D-5 D.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program .....D-5 D.B.3 Comparison to Regular Appropriations ...................................................................D-6 D.B.4 Eligible Activities.....................................................................................................D-6 D.B.5 Distribution of Recovery Act Funds ........................................................................D-6 D.B.6 State Cost Share .......................................................................................................D-7 D.B.7 Monitoring and Evaluating Recovery Act Implementation .....................................D-7

D.C Superfund Recovery Act Communications and Reporting....................................... D-8 D.C.1 Recovery Act Press Release Procedures ..................................................................D-8 D.C.2 Recovery Act Award Notification Procedures .........................................................D-8

Monday Close of Business.................................................................................D-8 a. Tuesday Noon....................................................................................................D-8 b. Thursday............................................................................................................D-8 c. Friday................................................................................................................D-8 d.

D.C.3 Public Communication Procedures ..........................................................................D-9 D.C.4 Recipient Reporting Requirements ..........................................................................D-9 D.C.5 EPA Reporting Requirements ................................................................................D-10 D.C.6 Weekly Financial and Activity Reports .................................................................D-10 D.C.7 Agency and Program-Specific Plans ......................................................................D-11 D.C.8 Performance Measures ...........................................................................................D-11 D.C.9 Reporting and Tracking Systems ...........................................................................D-12

D.D Recovery Act Budget Execution Guidance for the Superfund Remedial ProgramD-14 D.D.1 Budget Structure and Coding .................................................................................D-14 D.D.2 Allocating Recovery Act General Resources .........................................................D-15 D.D.3 Allocating Recovery Act Management and Operation Resources .........................D-15 D.D.4 Reprogramming of Recovery Act Funds................................................................D-16 D.D.5 CERCLIS Planning ................................................................................................D-16 D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds ............................D-17 D.D.7 Cost Recovery ........................................................................................................D-17


March 20, 2012 FY 12 SPIMD-ii

D.E Recovery Act Superfund Contracts, Interagency Agreements, and Cooperative Agreements ............................................................................................................... D-17 D.E.1 Recovery Act Financial Award Vehicles ...............................................................D-17 D.E.2 Contracts.................................................................................................................D-18 D.E.3 Interagency Agreements and Interagency Assisted Acquisitions...........................D-18 D.E.4 Best Interest Reviews for Assisted Acquisitions....................................................D-18 D.E.5 Direct Cite Programs ..............................................................................................D-19 D.E.6 Cooperative Agreements ........................................................................................D-19 D.E.7 Superfund State Contract Payment Schedules .......................................................D-19 D.E.8 Socio-Economic Goals ...........................................................................................D-20 D.E.9 Bona Fide Needs Rule............................................................................................D-20 D.E.10 Infrastructure and Buy American Provisions .........................................................D-20 D.E.11 Davis Bacon Act.....................................................................................................D-21 D.E.12 Funds-In Interagency Agreements for Federal Facility Oversight .........................D-22

List of Exhibits

D.1. Attachment A: Funding Award Notification Template ..............................................................D-23

D.2. Attachment B: OMB Definition of Obligation and Outlay ........................................................D-25

D.3. Attachment C: Class Deviation Approval 3/9/09 .......................................................................D-27


FY 12 SPIM March 20, 2012D-1

APPENDIX D: AMERICAN RECOVERY AND REINVESTMENTACT (ARRA)

D.A GENERAL INFORMATION

D.A.1 Purpose, Contents, and Applicability

Why is EPA issuing this guidance?a.The U.S. Environmental Protection Agency (EPA) developed this guidance in response to the American Recovery and Reinvestment Act of 2009 ("Recovery Act" or "Act")(ARRA) which provides a supplemental appropriation of $600 million for Superfund remedial activities authorized by the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)1. The Recovery Act requires unprecedented levels of transparency, accountability, and oversight to ensure that taxpayers know how, when, and where their tax dollars are being spent. This program guidance is a resource to assist Headquarters (HQ) and regional Superfund remedial program offices in the effective management of Recovery Act activities and to help ensure that EPA expends the Recovery Act funds in an accelerated and accountable manner.

What is in this guidance?b.This guidance provides information on the implementation requirements of the Act for the Superfund remedial program, the communication and reporting processes related to Recovery Act funds, enhancements to standard budget execution procedures, and funding award implementation information.

The goal of this guidance, consistent with the Office of Management and Budget's (OMB's) accountability objectives for all agencies, is to establish and clarify the requisite steps the Superfund remedial program, in consultation with regional acquisition offices, must take to meet the following crucial accountability requirements of the Recovery Act:

- Funds are awarded and distributed in a prompt, fair, and reasonable manner; - The recipients and activities related to all funds are transparent to the public and

the benefits of these funds are reported clearly, accurately, and in a timely manner;

- Funds are used for authorized purposes and instances of fraud, waste, error, and abuse are mitigated;

- Projects funded under this Act avoid unnecessary delays and cost overruns; and

1 This document provides guidance to Regional staff and states regarding how the Agency intends to interpret and implement the American Recovery and Reinvestment Act of 2009. This document does not impose legally binding requirements, nor does it confer legal rights, impose legal obligations, or implement any statutory or regulatory provisions. This document does not change or substitute for any statutory or regulatory provisions. Any decisions regarding a particular situation will be made based on the statute and the regulations, and EPA decision-makers retain the discretion to adopt approaches on a case-by-case basis that differ from the guidance where appropriate.


March 20, 2012 FY 12 SPIMD-2

- Program goals are achieved, including specific Superfund remedial programperformance measure outcomes.

Work conducted with Recovery Act funds will supplement the current cleanup activity projected to occur using base appropriated program resources.

To whom does this guidance apply to?c.The provisions of this guidance apply to all EPA offices involved in or affected by the Superfund remedial activities funded by the Recovery Act. States should work with EPA regions to ensure funds are used consistent with the Act.

D.A.2 Responsible Officials in the Superfund Program The National Policy Managers for the Superfund remedial program are the responsible

officials for ensuring that EPA implements and expends Recovery Act funds in accordance with the requirements of the Recovery Act and the related procedures outlined in this guidance. In HQ, the responsible official is the Director of the Office of Superfund Remediation and Technology Innovation (OSRTI). In the regions, the responsible officials are the Superfund Program Division Directors.

On March 20, 2009, President Obama issued a memorandum, Ensuring Responsible Spending of Recovery Act Funds, which establishes requirements for ensuring merit-based awards, avoiding imprudent projects, and disclosing communications with lobbyists. All federal personnel involved in Recovery Act implementation must closely review this memorandum and take all necessary steps to ensure full compliance. The memorandum can be found at http://www.whitehouse.gov/the_press_office/Memorandum-for-the-Heads-of-Executive-Departments-and-Agencies-3-20-09/. On April 3, 2009, OMB issued an update to its initial guidance, providing a second installment of government-wide guidance. The April guidance supplements, amends, and clarifies the initial guidance. That memorandum can be found at http://www.recovery.gov/sites/default/files/m09-15.pdf.

D.A.3 Ensuring Accountability for Recovery Act Implementation The Superfund program will ensure that the expenditure and monitoring of Recovery Act

funds is transparent and that appropriate, qualified, and certified staff oversee the use of Recovery Act resources. Working with established Agency and Recovery Act guidelines, the Superfund program will ensure that it monitors and reports Recovery Act resource utilization and project progress in an effective and timely manner. The responsible officials for the Recovery Act funding (the Director of OSRTI and the Regional Division Directors) will have timely and regular meetings to resolve any issues related to Recovery Act-funded projects. In addition, EPA will update personnel performance standards for Agency management and staff to reflect Recovery Act management and oversight activities.

D.A.4 Roles and Responsibilities of Other EPA Offices Several EPA offices are responsible for overseeing aspects of the Agency's Recovery Act

implementation to ensure that the Superfund remedial program meets the Act's requirements:



Office of Environmental Information (OEI) manages the information to support the goals of the Recovery Act, including transparency, reporting, and accountability. OEI is responsible for facilitating the transparency of information related to Recovery Act activities, and ensuring information collection and proper dissemination.

EPA's Office of Inspector General (OIG) ensures that EPA manages its Recovery Act funds economically and efficiently. The Act specifically authorizes EPA's OIG to mitigate fraud, waste, error, and abuse in the use of Recovery Act funds.

Office of the Chief Financial Officer (OCFO) manages financial services, strategic planning, Agency budgets, annual plans, and performance and accountability reporting. Under the Act, OCFO has major responsibilities for risk management tied to the allocation and distribution of Recovery Act funds. OCFO is responsible for accounting for EPA's expenditures of these funds.

Office of Administration and Resources Management (OARM) directs the Agency's acquisition management function, consistent with the Federal Acquisition Regulations Office of Acquisition Management (OAM). OARM also manages EPA's grants and debarment activities Office of Grants and Debarment (OGD) as well as the Agency's human resource and facility management functions. OARM has developed the Agency's procurement strategy for the Recovery Act to ensure that EPA awards and distributes the funds in a prompt, fair and reasonable fashion. EPA has designated Craig E. Hooks, Acting Assistant Administrator of OARM, as the Agency's Senior Responsible Official (SRO). The SRO has responsibility and authority to coordinate Recovery Act activities across Agency programs.

Office of Public Affairs (OPA) coordinates and approves all press events related to the Recovery Act. They also shepherd press announcements through the OMB and White House approval process.

Office of Congressional and Intergovernmental Affairs (OCIR) coordinates and implements all Congressional Recovery Act notification activities.

Office of Enforcement and Compliance Assurance (OECA) assists other federal agencies in their timely compliance with National Environmental Policy Act (NEPA),acquires other necessary EPA approvals for Recovery Act funded actions, and assists with reporting and green principles coordination.

D.A.5 EPA Governance and Risk Management Activities The Recovery Act (Division A, Title XV, Subtitle B, 1521) established the Recovery

Accountability and Transparency Board to coordinate and conduct oversight of covered funds and to prevent fraud, waste, and abuse. OMB will work with agencies to meet the accountability objectives.

OMB's guidance sets out the requirement that agencies designate a senior accountable official for Recovery Act activities. EPA has designated Craig E. Hooks, Acting Assistant Administrator of OARM, as the Agency's Senior Responsible Official (SRO). The SRO has responsibility and authority to coordinate Recovery Act activities across Agency programs. In addition, EPA has established a stimulus steering committee, chaired by Nancy Gelb, which is organized into four



subcommittees and three advisory members. The following chart shows the steering committee structure and the chairpersons of each subcommittee. Each subcommittee includes an Office of Solid Waste and Emergency Response (OSWER) representative.

D.A.6 Inspector General Activities The Recovery Act allocated $20 million for the OIG to carry out Agency oversight of the

$7.2 billion of Recovery Act funding allocated to EPA (including the $600 million allocated for the Superfund remedial program). The OIG has developed an initial plan (March 2009) for oversight activities and their funds are available for obligation through September 30, 2012.

The OIG will assess whether EPA is using Recovery Act funds in accordance with the requirements and whether EPA is meeting the Act's accountability objectives. They will also monitor EPA's progress in achieving program goals and ensure that EPA accurately tracks and reports expenditure of Recovery Act funds. Their work is being closely coordinated with the Recovery Accountability and Transparency Board.

Once EPA has awarded its Recovery Act funds, the OIG will focus on performance and financial audits of the Recovery Act programs. This focus will include evaluating and auditing EPA's use of the Recovery Act funds and assessing the accuracy of the Agency's reporting information. The OIG will continue to take proactive actions to prevent mismanagement of funds and will undertake investigations tied to allegations of fraud, waste, and abuse.

D.A.7 Links to Other Information More information on the Recovery Act and related guidance and implementation

activities can be found at the following web areas:

National Recovery Act Website: http://www.recovery.gov/

EPA Recovery Act Website: http://www.epa.gov/recovery/

OSRTI Recovery Act Website: http://www.epa.gov/superfund/eparecovery/index.html

Recovery Act Plan for the Superfund remedial program: www.epa.gov/superfund/eparecovery



The American Recovery and Reinvestment Act:http://www.whitehouse.gov/the_press_office/ARRA_public_review/

OMB's Recovery Act guidance documents: - Updated guidance (April 3, 2009)

http://www.recovery.gov/sites/default/files/m09-15.pdf- Initial guidance (February 18, 2009

http://www.recovery.gov/files/Initial%20Recovery%20Act%20Implementing%20Guidance.pdf.

EPA Office of Inspector General initial plan for oversight: http://www.epa.gov/oig/reports/2009/InitialEPAOIG_StimulusPlan03-05-09.pdf

D.B SUPERFUND REMEDIAL PROGRAM PROVISIONS OF THE AMERICAN RECOVERY AND REINVESTMENT ACT

D.B.1 Availability of Funds The Recovery Act provides $600 million for Superfund remedial activities. In accordance

with the provisions of the Recovery Act, up to 3% may be retained by the Agency for management and oversight purposes. As such, EPA will allocate $18 million to internal EPA activities related to the management, oversight, and reporting of Superfund Recovery Act funds, and will allocate $582 million to remedial cleanup activities at sites.

Recovery Act resources for Superfund remedial activities were obligated by September 30, 2010. Recovery Act resources placed on contracts are available for expenditure until September 30, 2017. The Recovery Act management and oversight resources were obligated by September 30, 2011, and are available for expenditure until September 30, 2018. Recovery Act resources placed on Superfund grants (i.e. Cooperative Agreements) were obligated by September 30, 2010. In light of the current economic situation and the need for further economic stimulus, OMB has requested that all remaining Recovery Act grant funds be expended as quickly and efficiently as possible. If those funds have not been spent by September 30, 2013,agencies shall reclaim them to the extent permitted by law.

OMB Memo M-11-34 link:http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-34.pdf

D.B.2 Objectives of the Recovery Act Funding for the Superfund Remedial Program The overall objectives for the use of Recovery Act funding for the Superfund remedial

program are to further cleanup at National Priorities List (NPL) sites, maximize job creation and retention, and provide human health, environmental, and economic recovery benefits. EPA will achieve these objectives by starting new cleanup projects, accelerating cleanups at projects already underway, increasing the number of workers and activities at cleanup projects, and returning affected sites to more productive use.

Cleanup activities at Superfund sites receiving Recovery Act funds may also yield significant site-specific, non-environmental economic benefits, including improved site property values and job opportunities. EPA will ensure that it conducts Recovery Act-related activities in



a manner that considers environmental justice at sites that suffer disproportionate environmental impact to ensure that environmentally and economically distressed communities are protected.

The Superfund remedial program will also implement the Recovery Act activities in a manner that creates an overall healthier environment and lays the groundwork for more efficient, greener ways to clean up hazardous waste sites. The use of "green technology"2 can emphasize low-carbon footprint technologies to lower greenhouse gas emissions as well as provide other substantial "green benefits" such as increased energy and water efficiencies through technology and use of renewable resources; reduction of land and water contamination and air emissions; and development of new technologies for broader applications. EPA will consider, to the extent feasible and permitted by law, using green remediation practices, clean diesel technologies, and anti-idling practices at Superfund projects receiving Recovery Act funding.

D.B.3 Comparison to Regular Appropriations There are two main differences between the Recovery Act remedial program funds and

the Superfund remedial program's regular, annual appropriations:

Unlike the Agency's annual Superfund appropriations which have no required timeframe for obligation or expenditure, EPA was required to obligate the Recovery Act appropriation by September 30, 2010 (Recovery Act, Division A, Title XVI, Subtitle D, 1603) and expend Recovery Act contract funds by September 30, 2017 (September 30, 2018 for management and oversight resources; September 30, 2013 for grant resources).

The Recovery Act includes unique reporting and funds tracking requirements for activities funded under the Recovery Act (e.g., jobs created, and more frequent reporting).

D.B.4 Eligible Activities The Recovery Act neither expands nor limits eligible uses of Superfund remedial funds,

with the exception of prohibiting Recovery Act funds from uses related to casinos and other gambling establishments, aquariums, zoos, golf courses, or swimming pools. Under the Recovery Act, EPA will fund cleanup projects it traditionally funds with its annual appropriations.

D.B.5 Distribution of Recovery Act Funds EPA will distribute Recovery Act funding in a manner that promotes both a healthier

environment and jobs that benefit the environment. Recovery Act funding will support both new start and ongoing Superfund remedial projects to provide immediate short and longer-term health, environmental, and economic benefits. The Agency anticipates that Recovery Act funds will support at least 51 NPL sites in 28 states across the country. A list of the sites anticipated to receive Recovery Act funding is on the Superfund Recovery Act web area and can be found at: http://www.epa.gov/superfund/eparecovery/sites.html.

2 Green Remediation: Incorporating Sustainable Environmental Practices into Remediation of Contaminated Sites US Environmental Protection Agency, Office of Solid Waste and Emergency Response, EPA 542-R-08-002 April, 2008. Link: http://www.cluin.org/greenremediation/



For projects funded with Recovery Act resources, as with projects funded with regular appropriations, the Superfund program used one of three types of financial awards to implement remedial activities-contracts, interagency agreements or Cooperative Agreements (CA). (See section D.E for more information)

D.B.6 State Cost Share The Recovery Act did not provide a waiver from the provision in the Superfund statute

(CERCLA 104(c)(3)(C)) that requires states to pay a 10% (or more) cost share for all remedial actions conducted with federal Superfund appropriations.

In order to ensure that states will agree to satisfy the cost share and other CERCLA requirements under a Superfund State Contract (SSC) without delaying the use of Recovery Act funds for Superfund remedial activities, EPA modified the timeframe requirements associated with SSC cost share agreements. EPA's regulation normally requires that a state pay its cost share upon completion of all activities within the scope of the SSC. Recognizing the economic and budgetary constraints states currently face, EPA issued a class deviation to modify these requirements. Under the class deviation, EPA negotiated with SSC signatories to set a mutually agreeable final payment date for all SSCs signed or amended from February 17, 2009, through September 30, 2010. (See section D.E for more information)

D.B.7 Monitoring and Evaluating Recovery Act Implementation EPA HQ reviewed Recovery Act resource utilization and performance progress on a

regular basis. HQ also discussed any concerns related to Recovery Act resource utilization, activities, and progress with the regions during established mid-year and end-of-year Superfund remedial program work planning meetings.

Activity Projected Date

Evaluate Recovery Act resource utilization and performance progress MonthlyRe-allocate funds, if necessary QuarterlyComplete obligation of Recovery Act Funds to all sites (Internal OSRTI goal: September 30, 2009) September 30, 2010

All EPA Recovery Act awards (i.e., cooperative and interagency agreements, and contract work assignments or task orders) included reporting requirements. The purpose of these reports is to provide EPA with detailed project progress information in a manner consistent with the reporting requirements identified in the Recovery Act (Division A, Title XV, Subtitle A, 1512).

EPA also conducted quarterly in-depth reviews to ensure Recovery Act recipients are making sufficient progress with Recovery Act funds. These reviews allowed EPA to ensure that recipients were expending Recovery Act funds quickly and prudently. Funds that EPA identified as being at risk of not being spent in a timely matter were re-obligated to another project in order to meet the statutory deadline of obligating all funds by September 30, 2010. In order to monitor and preserve accountability for Recovery Act expenditures, the Superfund remedial program will follow OEI's Management Action Plan, "Quality Assuring EPA's ARRA Grants, Contracts, and Interagency Agreements".



D.C SUPERFUND RECOVERY ACT COMMUNICATIONS ANDREPORTING

D.C.1 Recovery Act Press Release Procedures The Administrator announced on April 15, 2009 that EPA would be distributing

approximately $600 million to 51 Superfund sites; the announcement included a site list. With the exception of three sites, the regions issued press releases for all of the sites receiving Recovery Act funds.

The process and template for subsequent press releases on Recovery Act activities has been provided to the regional Public Affairs Directors (PADs). If regions are interested in doing a press release on site-specific Recovery Act activities they should contact OSRTI (Suzanne Wells at 703-603-8863, [email protected]; and Lois Gartner at 703-603-8711,[email protected]) and the OSWER Communications Director (Marsha Minter at 202-566-0215, [email protected]).

D.C.2 Recovery Act Award Notification Procedures Prior to the funding of any Recovery Act awards including contracts, Interagency

Agreements (IAs), and CAs (but not including management and oversight funds), EPA must notified the White House in advance of the award according to this process. Note that the project was ready to be funded when White House notification is made. The template for Recovery Act financial award notifications can be found in Attachment A of this Appendix.

Monday Close of Businessa.- Regional Recovery Act points of contact (POC) sent award notifications for

contract actions to OAM (Tim Farris) and award notifications for IAs and CAs to OGD (Catherine Vass and Alexandra Raver) with a cc to OSRTI (James Woolford, Robin Richardson, Elizabeth Southerland, and Phyllis Anderson).

Tuesday Noonb.- OARM completed a table for Recovery Act awards and submitted that table to the

White House by noon. OARM copies OPA, OCIR, OCFO, Susan Hazen, the regions, and HQ program offices.

Thursdayc.- If there is no feedback from the White House, the Recovery Act awards moved to

"stand by" pending Congressional notification. Regional POCs were notified by Thursday if there was a problem. It is important to note that Congressional notification should be made prior to any public notification.

Fridayd.- If no problems had been identified, awards were signed and obligations

completed.



D.C.3 Public Communication Procedures On an ongoing basis, EPA will provide information on the performance, progress, and

accomplishments of Superfund-related Recovery Act remedial activities in a transparent fashion, as outlined in the Agency and Recovery Act guidelines. The Agency will also continue to publicize information regarding site activities as required by CERCLA.

Recovery Act progress information will be posted on the EPA Recovery Act web area at www.epa.gov/recovery as well as on the federal Recovery Act web area at http://www.recovery.gov. The Superfund remedial program has also created its own web area, located at www.epa.gov/superfund/eparecovery and will publicly post information on activities conducted with Recovery Act funds.

In addition, site-specific information for all sites receiving Recovery Act funding is available through individual site fact sheets located on the Superfund program web area at http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm. EPA's Cleanups in My Community web tool can be used to create maps of Superfund sites receiving Recovery Act resources. The Cleanups in My Community tool can be accessed by using the instructions on the following webpage: http://iaspub.epa.gov/Cleanups/.

D.C.4 Recipient Reporting Requirements The Recovery Act and OMB's guidance require extensive reporting from recipients of

Recovery Act funding. The Recovery Act defines "recipient" as any entity that receives Recovery Act funds directly from the federal government (including Recovery Act funds received through cooperative agreement or contract) other than an individual and includes a statethat receives Recovery Act funds. See Division A, Title XV, Subtitle A, 1512 of the RecoveryAct.

Section 1512(f) of the Recovery Act requires recipient reporting to begin 180 days after enactment and for reports to be submitted by recipients 10 days after the end of each calendar quarter. This results in an initial statutory reporting deadline of October 10, 2009, with quarter reports due 10 days after the end of each calendar quarter thereafter. Detailed reporting instructions are available at http://www.FederalReporting.gov.



D.C.5 EPA Reporting Requirements OMB's Recovery Act guidance sets out the schedule for Agency reporting requirements

under the Recovery Act. The following table provides a sampling of Agency level Recovery Act reports.

Reporting Requirement From To CC Projected Date

Funding Award Notification Reports

Regional POC

OAM for contracts (Tim Farris), OGD for IAs and CAs (Catherine Vass/Alexandra Raver)

James Woolford, Elizabeth Southerland, Robin H. Richardson, Phyllis Anderson

Immediate/ongoing

Regional Submissions for the Weekly Financial and Activity Reports (see sectionD.C.6)

Regions OSRTI (thru CERCLIS web module) N/A Weekly/ongoing

Weekly Financial and Activity Reports (see sectionD.C.6)

OSRTI OSWER N/A Weekly/ongoing

Award-level Reporting (as required for USAspending.gov)

TBD TBD TBD TBD

OSRTI OSWER N/A N/A Draft: May 1, 2009; Final: May 15, 2009

D.C.6 Weekly Financial and Activity Reports OMB's guidance requires all agencies receiving Recovery Act funds to submit weekly

financial and activity reports. These are broad-level reports that are posted on the federal Recovery Act web area at http://www.recovery.gov/?q=content/agency-weekly-reports. The reporting frequency and details have changed slightly over time, reflecting the information needs of the Administration and the public.

The weekly financial reports provide total obligations and gross outlays to date (See Attachment B of this Appendix for OMB's definitions of obligations and outlays). For EPA, the financial report was developed by OCFO and the information is drawn from the Agency's Compass System. The monthly activity reports provide a short bulleted list of the major activities taken to date and major planned activities. "Major" actions include those of likely interest to senior government officials, Congress, and the public. The Superfund monthly activity reports were developed by OSRTI, and then posted on http://www.epa.gov/Superfund/EPARecovery/index.html.

Currently, the Superfund monthly activity reports are at a broad program level. OSRTI anticipates collecting major activity information from the regions on a weekly basis for inclusion in the report. It is anticipated that the regions will enter major site-specific activity information into the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) using a webform. The webform will be pre-populated with Superfund site and Recovery Act program information already stored in CERCLIS. By the fifth business day of each month, the regions will input information into the webform on any major cleanup activities



achieved the previous month and any major activities anticipated in the month ahead. If there are no major activities that have occurred or are planned, then the regions do not need to enter any information in CERCLIS. On the following day, HQ will compile the regional contributions into the Superfund monthly activity report summary that will then undergo EPA review and be released to the public.

D.C.7 Agency and Program-Specific Plans Guidance issued by OMB required programs receiving funding under the Act to develop

formal Agency and program-specific plans that summarized planned implementation activities. Draft plans were due to OMB no later than May 1, 2009 and were finalized on May 15, 2009. The Agency and Superfund remedial program Recovery Act plans are posted on recovery.gov.

D.C.8 Performance Measures The Superfund program will measure its Recovery Act performance using the eight

performance measures listed in the table on the following page. These measures will be reported for the public on EPA's Recovery Act website (https://www.epa.gov/recovery).

Performance Measure Source Description/Definition Reporting

FrequencyReporting

Office

Total Number of Sites in Receipt of Recovery Act Funding

CERCLIS, Compass, eFacts

The total number of National Priorities List (NPL) sites where Recovery Act resources were obligated.

Monthly (fifthBusiness Day)

OSRTI

Total Number of Projects in Receiptof Recovery Act Funding


The total number of projects at NPL sites where Recovery Act resources were obligated.


OSRTI

Total Number of Sites with New Construction in Receipt of Recovery Act Funding


The total number of NPL sites where Recovery Act resources were obligated for new construction.


OSRTI

Total Number of Projects with New Construction in Receipt of Recovery Act Funding


The total number of new construction projects at NPL sites where Recovery Act resources were obligated.


OSRTI

Percentage of Recovery Act Funding Obligated

CompassThe amount of Recovery Act resources obligated divided by the total amount of Recovery Act funds.

As needed OCFO



Performance Measure Source Description/Definition Reporting

FrequencyReporting

Office

Number of Projects Receiving Recovery Act Funding Achieving Completion

CERCLIS

The number of projects receiving Recovery Act funding achieving completion by the end of fiscal year (FY)2012 (Completion of projects is defined as those projects receiving Recovery Act funds which achieve a CERCLIS action for remedial action completion or remedial design completion as defined through the Superfund Program Implementation Manual).


OSRTI

Number of Sites Achieving Construction Completion (CC) with Recovery Act Funding

CERCLIS, eFacts

The number of sites receiving Recovery Act funding achieving construction completion by the end of FY 2012 (The current FY 2009 through FY 2012 CC Government Performance and Results Act (GPRA) targets for the Superfund remedial program include accomplishments anticipated at Recovery Act funded sites).


OSRTI

Number of Sites Achieving Human Exposure under Control (HEUC) with Recovery Act Funding

CERCLIS, eFacts

The number of sites receiving Recovery Act funding achieving HEUC by the end of FY 2012(The current FY 2009 through FY 2012 HEUC GPRA targets for the Superfund remedial program include accomplishments anticipated at Recovery Act funded sites).


OSRTI

EPA will use the first six measures, which are new, for Recovery Act reporting purposes only. The last two measures are based on existing Government Performance and Results Act (GPRA) measures that EPA uses for traditional Annual Performance Reporting and will now also use to track Recovery Act accomplishments. EPA chose all of the measures to reflect new and continuing cleanup activities at Superfund sites receiving Recovery Act funding.

EPA will use the Annual Commitment System (ACS) to track performance for these measures, using codes to be created specifically for this purpose (more guidance will follow from OCFO). OSRTI anticipates that these ACS codes will be similar to the parallel codes previously established for the EPA Quarterly Report (EQR). Until HQ provides further instructions, regions should continue to promptly enter their performance data into CERCLIS according to normal business operations. HQ will utilize CERCLIS data to enter accomplishments into ACS for all Recovery Act accomplishments.

D.C.9 Reporting and Tracking Systems Recovery Act funding for the Superfund remedial program will be tracked and reported

from two EPA databases. Financial data will be reported from Compass and program data will be reported from CERCLIS. The primary device used to automate reports, graphics, and charts for Superfund remedial program Recovery Act information will be the OSWER Performance Assessment Tool (PAT) and Superfund eFacts. The following diagram illustrates the flow of data between these systems to support Superfund remedial program data moving to the EPA Recovery Act web area.



Compass: This database will be the primary location of all financial information related to Recovery Act funds. Compass has been designed to contain the necessary budget structure and account coding for fiscal year (FY) 2009 Recovery Act funds (See section D.D for more details on the budget structure and account coding). Data for reporting actual obligation and expenditure data will be pulled from Compass.

CERCLIS: This is EPA's primary database to report data for NPL sites and non-NPL Superfund sites. EPA has modified CERCLIS to track budget accounting codes related to Recovery Act data elements, including fund account coding and program priority flags. The Superfund Comprehensive Accomplishment Plan (SCAP) reports in CERCLIS also reflect new account coding. In addition, CERCLIS data may be used to populate new eFacts reports, reports from OSWER's PAT, or ReportLink reports specifically designed to track sites and projects receiving Recovery Act funds. More detail will follow as EPA specifies additional job-related and progress-related requirements and procedures for reporting.

Superfund eFacts: This tool will serve as the primary internal servicing resource tool for organizing and reporting data on Recovery Act activities. Information will be extracted from both Compass and CERCLIS and used to populate eFacts to provide the required Recovery Act reports. It is important to note that eFacts reports provide CERCLIS data at a certain time (e.g., reports pulled on March 10th reflect accomplishments in the database as of March 9th). A specific Recovery Act section in the Superfund eFacts intranet web area will display frequently used charts, forms, and graphics to report the performance measures previously noted in section D.C.8. Some of these charts will allow site-specific drilldown capability to provide additional site detail. For additional information on eFacts or to obtain intranet access to eFacts, contact Sheldon Selwyn at 703-603-8776, or [email protected].

OSWER Performance Assessment Tool (PAT): This tool will serve as the primary external servicing resource for organizing and reporting data on Recovery Act activities. PAT is a central reporting mechanism for OSWER traditional performance data, which collects information from OSWER program systems, and conforms it for uniform reporting and data provisioning. OSWER has modified PAT to support not only traditional OSWER reporting, but also for Recovery Act purposes. PAT will collect Recovery Act measures data for Superfund, Brownfields, and Leaking Underground Storage Tanks, then deliver that data to EPA staff and managers via a business intelligence dashboard interface for analytic and reporting use. OSWER

Compass



developed PAT reporting tools to report Recovery Act site information for program reporting measures to include sites achieving Construction Completion, Human Exposure Under Control, and Site-Wide Ready for Anticipated Use. In addition, PAT will deliver the same data to the Agency's Recovery Act reporting facility for submission to OMB's Recovery.gov site.

D.D RECOVERY ACT BUDGET EXECUTION GUIDANCE FOR THE SUPERFUND REMEDIAL PROGRAM

D.D.1 Budget Structure and Coding To maximize the transparency of Recovery Act spending, agencies must separately track

Recovery Act apportionments, allotments, obligations, and expenditures. The following table provides an outline of the budget structure and coding that EPA has established for Recovery Act Superfund resources:

Recovery Act: Superfund Remedial ActionsAppropriation Code: TFund Code: TSBudget Fiscal Years: 2009/2010NPM: OSWERNPM Code: DPRC Codes: 302DD2Activity Codes: C,D,EAdd-On Codes:(positions 5-7 of Budget Org Field):Recovery Act: Reimbursable Superfund Remedial ActionsAppropriation Code: TFund Code: TRSBudget Fiscal Years: 2009/2010NPM: OSWERNPM Code: DPRC Codes: 302DD2Activity Codes: C, D, EAdd-On Codes:(positions 5-7 of Budget Org Field):Recovery Act: Superfund Management and OversightAppropriation Code: BFund Code: BSBudget Fiscal Years: 2009/2011NPM: OSWER:NPM Code: DPRC Codes: ZZZDJ8Activity Codes: C, D, EAdd-On Codes:(positions 5-7 of Budget Org Field): RSF



D.D.2 Allocating Recovery Act General Resources OSRTI is responsible for allocating "Recovery Act: Superfund Remedial Actions" (Fund

Code: TS) to the regions. By law, these resources were available for obligation until September 30, 2010, with contract funds available for expenditure until September 30, 2017 (September 30, 2013 for grant resources. In order to identify and track the allocation of TS funds, OSRTI developed a region-specific "FY 2009 Recovery Act Remedial Action (RA) Funding Plan". This plan contained information on a site/project-specific basis (site/RAT/ACT codes), including the total amount of funds planned for allocation to the regions during FY 2009, the actual allocated amounts, and the amounts remaining to be allocated for the remainder of the year. Although the plan primarily pertained to funding RA activity, it also supported a small number of pipeline (remedial design) activities in support of remedial action projects. Although no further obligations will take place, EPA will maintain and update the plan in subsequent years until the Agency expends or deobligates all TS funds. The plan does not include project obligations and expenditures information; however, such information can be found elsewhere, as described in the following sections.

The Recovery Act funding plan documents funding decisions and any later modifications to those decisions. Throughout the FY2009 & FY2010, OSRTI monitored this plan in partnership with the regions to accommodate changing project circumstances and to adjust project-specific funding decisions. Regions immediately discussed any modifications to the plan with their OSRTI/Assessment and Remediation Division (ARD) regional coordinator for design/construction.

The Recovery Act RA Funding Plan is updated continuously as necessary and is reviewed by OSRTI management on a bi-weekly (i.e., twice monthly) basis. OSRTI management will also review Superfund eFacts reports to monitor the financial status of each project on the Recovery Act RA Funding Plan. Also, in addition to routine staff level interaction with theregions, OSRTI will use scheduled Superfund Remedial Program work planning discussions with the regions to assess progress in using Recovery Act resources in a timely and efficient manner and meeting Superfund program and Recovery Act objectives.

D.D.3 Allocating Recovery Act Management and Operation Resources *Note: this section is pending further edits*

OSRTI is also responsible for allocating "Recovery Act: Superfund Management and Oversight" ("BS") resources to the regions. These resources were available for obligation until September 30, 2011. Because BS resources are used for management and oversight purposes, they were allocated on a region-specific rather than site-specific basis over a three year period. Pursuant to the pending Program/Project Description Book narrative for the new Recovery Act Program/Project "J8", Superfund management and oversight resources were used to:

Coordinate, monitor, and evaluate an analytical, technical, and financial aspects of Recovery Act funded Superfund remedial cleanups, including making site visits and overseeing contracts, contract modifications, IAs, and CAs;

Provide liaison to states and communities affected by Recovery Act funded Superfund remedial cleanups, including managing state cost share agreements (SSCs or CAs);



Provide high level review and analysis of project and financial information submitted to EPA and reported to Agency management and the public (e.g., Recovery.gov);

Provide resources to states and tribes through support Agency CAs to support Recovery Act funded Superfund remedial cleanups; and

Modify existing information technology (IT) systems to address collection and reporting requirements of Recovery Act required data and information.

OCFO has subdivided the BS budget into three portions, to be allocated each of three years. In FY 2009, OSRTI will reprogram the FY 2009 BS resource allotment to the regionsbased on the following methodology:

Each region will first receive a fixed share (5%) of FY 2009 BS resources, based on the presumption that each region has a minimal BS requirement, regardless of the amount of Recovery Act remedial resources it receives.

The remainder of "BS" resources will be allocated to each region based on the total amount of Recovery Act remedial construction resources it will receive based on the OSRTI Recovery Act Remedial Construction Funding Plan.

HQ intends to retain this methodology for allocating subsequent years BS resources but minor adjustments will be considered based on regional utilization and changes in regional plans.

D.D.4 Reprogramming of Recovery Act Funds *Note: This section is pending further edits*

OSRTI reprogrammed BS resources from another 9R account in Compass to the appropriate region pursuant to the Management and Operations (M&O) methodology described in the previous section. As noted in the table above, OSRTI reprogrammed all BS resources to the "ZZZDJ8" Program Results Code (PRC) and will use the "RSF" add-on code in the fifth through seventh positions of the Budget Organization field of the Compass account number.

A region could choose which Budget Object Class (BOC) and which Allowance Holder should receive BS resources ("A" or "O" account). "A" account resources are for extramural (BOCs 36, 37, 41) remedial program purposes only and their use must be planned out in CERCLIS. Payroll (BOC 10) and site travel resources (BOC 28) should be reprogrammed to the "0" account, though other BOCs may also be used in the "0" account. Although OSRTI expects that most BS resources will be used site-specifically, BS resources may also be used non-site-specifically but they must directly support implementation of Recovery Act Superfund remedial program activities. Regions may only use BS resources for costs incurred from 3/15/2009 forward. Site travel resources may only be used at sites that are receiving TS funds.

D.D.5 CERCLIS Planning The CERCLIS database will be used to plan obligations of TS and BS resources.

Appropriate revisions to CERCLIS planning screens and reports contain the required codestructures.



Management and Oversight (Fund Code: BS) resources have significantly more coding requirements than TS resources. The BS resources not only use different fund and PRC codes (akin to Environmental Programs and Management (EPM) resources), but also require the use of add-on codes in the Budget Organization field of the Compass account number that override the Site Allowance code. CERCLIS has been modified to automatically assign the appropriate PRC and add-on codes to any planned obligation that used the BS fund code.

Since BS resources are three-year appropriations, both the BFY (budget fiscal year) and EFY(end fiscal year) must also be included in the Compass account number. Procurement officials must take care to add the appropriate data ("2011") into the EFY field (or alternatively "2009-20011" into the BFY field, as appropriate) in procurement request forms and when entering commitment and obligation information for BS resources into Compass. Once a regionobligates Recovery Act BS resources, it must make a corresponding adjustment to its approved planned obligation financial transaction data in CERCLIS. Planning data may not be modified at the time of resource commitment.

D.D.6 Projects that are Unable to Use Allocated Recovery Act Funds On September 30, 2010, budget authority to incur new obligations against the Recovery

Act appropriation of TS resources expired. Once this budget authority ended, no new obligations can be incurred against the appropriation. Expired obligated contract balances (unliquidated obligations) and unobligated balances will remain available until September 30, 2017(September 30, 2013 for grant resources), to liquidate obligations (expended funds) that were properly incurred prior to September 30, 2010.

D.D.7 Cost Recovery For cost recovery purposes, the Recovery Act is a supplemental appropriation and thus

should be treated the same as the annual Superfund remedial program appropriation. Any cost recovery funds must be returned to the Trust Fund for future appropriations as required by 26 U.S. C. 9507 or, if future work is anticipated at the site, placed into a special account, under the authority of CERCLA 122(b)(3). Unlike annual Superfund remedial program "no-year" appropriations, by law Recovery Act funds had to be obligated by September 30, 2010, and therefore, expenditures of contract stimulus funds were included in any reclassification of special account resources unless they could have been recertified and obligated before September 30, 2010 and liquidated by September 30, 2017 (September 30, 2013 for grant resources). There are no stimulus-specific coding requirements for recoveries of EPA costs incurred using Recovery Act funds or for the establishment of special accounts using such recoveries.

D.E RECOVERY ACT SUPERFUND CONTRACTS, INTERAGENCY AGREEMENTS, AND COOPERATIVE AGREEMENTS

D.E.1 Recovery Act Financial Award Vehicles The support for Superfund remedial program activities under the Recovery Act occurred

through three types of financial awards: EPA contracts, interagency agreements, and CAs. The following table identifies the type of financial vehicle in conjunction with the anticipated recipient and description.



Type of Financial Vehicle Type of Recipient/Beneficiary Description

EPA Response Action Contracts (RACs), Site-Specific Contracts, and Emergency and Rapid Response Services (ERRS) Contracts

ContractorsUse of existing competitively awarded contracts and some new awards to site-specific contracts

IAs with the US Army Corps of Engineers (USACE), primarily Interagency Assisted Acquisitions (IAAs)

ContractorsUse of IAs with existing competitively awarded contracts and some new awards

CAs states, political subdivisions, or tribes

All CAs with states, political subdivisions, or tribes are non-competitively funded

Each of these vehicles has unique programmatic and administrative procedures as described in the following sections. For acquisition or contract guidance, please refer to the contract guidance issued by the OAM. http://oamintra.epa.gov/files/OAM/recoveyact.pdf. For IA and CA guidance, there are separate guidance documents prepared for each by the OGD. (http://epa.gov/ogd/).

D.E.2 Contracts Typically, Superfund remedial activities are conducted using RACs, site-specific

contracts, or task orders awarded under the ERRS contracts. Information regarding other vehicles for Superfund remedial work appears in subsequent sections.

When adding funding to an existing contracting vehicle, regions needed to issue a new tasking document to the contractor to ensure segregation of Recovery Act activities and funds and to comply with OMB's contract guidance. Regions could "cross-over" to another region to obtain additional contract capacity, although the region should consult the headquarters RAC liaison in OSRTI prior to making a RAC "cross-over" decision.

D.E.3 Interagency Agreements and Interagency Assisted Acquisitions Superfund remedial program activities conducted through IAs are typically agreements

with the U.S. Army Corps of Engineers (USACE) for their support in the acquisition and management of remedial contracts (i.e., IAAs). For ongoing work, the regions may choose to amend existing IAs, provided that the amendment is within scope of the existing IAs, or award new IAs. If the region intends to use an IA amendment, that IA amendment must show how the Recovery Act work will be segregated and tracked. Regions should work with the USACE to ensure site-specific monthly progress reports adequately segregate Recovery Act funded activities and associated costs. The Interagency Agreement Shared Service Center (IASSC) Web site, http://intranet.epa.gov/ogd/IASSC/main/index.htm contains the applicable IA forms and terms and conditions for IAs with the USACE.

D.E.4 Best Interest Reviews for Assisted Acquisitions USACE's IAs utilizing contractors for remedial work are considered IAAs. Only new IAs

with contracting require best interest determinations. OSWER requested a class best interest determination, which OAM approved on April 7, 2009. OAM has provided a cover memorandum outlining the roles and responsibilities of project officers and contracting officers in implementing the determination. The class determination and the form for Contracting Officer



(CO) review can be found on the IASSC Web site. Additionally, as part of the class determination, regions must continue to follow the justification and documentation requirements of OSRTI's April 3, 2008 policy on selecting another federal agency to acquire and manage remedial contracts. http://www.epa.gov/superfund/cleanup/pdfs/rdra/iagpolicy2008.pdf

D.E.5 Direct Cite Programs Obligation and payment of Superfund Remedial Program work through IAAs with the

USACE follow a unique procedure. http://www.epa.gov/superfund/cleanup/pdfs/rdra/payment.pdf.

Under the "EPA/U.S. Army Corps of Engineers Payment Process, Direct Cite/Revised Reimbursement Methods," issued March 21, 1990, the USACE receives the contractor invoices and after review and approval, submits them to EPA's Cincinnati Financial Management Center for payment directly from EPA's appropriation. A copy of the payment request is sent by USACE to the Remedial Project Manager for review. The USACE staff time, or in-house costs, is reimbursed by EPA through the standard intergovernmental payment process. Regions may use the Superfund Remedial Program Recovery Act appropriation (TS) for both revised reimbursable and direct cite costs.

D.E.6 Cooperative Agreements Superfund Recovery Act remedial activities may also be conducted through CAs with

states, tribes or political subdivisions. EPA's OGD has issued guidance regarding the use of Recovery Act funds under grants and CAs. This guidance, which includes standard terms and conditions for Recovery Act funds, can be found on the OGD website: http://epa.gov/ogd/.Integrated Grants Management System (IGMS) will use program code 2S to track all Recovery Act-related CAs.

D.E.7 Superfund State Contract Payment Schedules On March 9, 2009, EPA issued a class deviation to permit an additional option for the

timing of EPA's invoice to the state for final payment under the state's payment schedule. The two options for EPA to invoice a state for its final payment, with the exception of any change orders and claims handled during reconciliation of the SSC, are: 1) upon completion of activities in the site-specific statement of work (SOW) (currently permitted), or 2) after the final payment date as negotiated by the signatories in the SSC (additional option), whichever is later. This class deviation will permit signatories to an SSC to negotiate a payment schedule that extends beyond the completion of activities in the site-specific SOW. The payment schedule negotiated should generally not exceed five years after completion of SOW activities.

While EPA issued this class deviation to facilitate Recovery Act implementation, it is only available for SSCs signed or amended from February 17, 2009 through September 30, 2010, at which time the deviation will expire (See Attachment C of this Appendix). Note: Although a state cost share is required for remedial actions under both the SSC and a cooperative agreement, under a cooperative agreement states generally satisfy the cost share requirement without making payments to EPA. Therefore, this guidance does not address a state payment schedule under a cooperative agreement.



D.E.8 Socio-Economic Goals EPA regions are encouraged to award Superfund remedial program appropriations,

including Recovery Act funds, to contractors meeting EPA's socio-economic goals. The Administration and the Agency would like to see overall improvement in this area; therefore, Regions should keep the utilization of such contractors in mind when determining their Superfund remedial program contracting strategy.

EPA anticipates the use of standard reporting tools for tracking progress in achieving socio-economic goals, including the Federal Procurement Data Systems’ New Generation (FPDS-NG). Thus, obligations using the EPA treasury symbol established for the Superfund remedial program's Recovery Act appropriation will be used to track and report socio-economic contract utilization. Obligations under both EPA contracts and USACE contracts will be entered into FPDS-NG using the EPA treasury symbol by the respective agencies and credited towards EPA's socio-economic goals. Obligations through CAs are not reported in FPDS-NG and, thus, are not included in EPA's socio-economic calculations.

D.E.9 Bona Fide Needs Rule All funds appropriated under the Recovery Act were obligated by September 30, 2010 to

meet bona fide needs that arose prior to that date. If the Bona Fide Needs Rule is satisfied, the work may extend beyond September 30, 2010, unless the funds are used for severable services. If Superfund remedial activities are deemed to be non-severable, the contractor may perform work and costs may be incurred after September 30, 2010. See section D.D of this Guidance for more details on OSRTI's goals for timely obligations and expenditures.

The Bona Fide Needs Rule applies differently to Superfund CAs and EPA contracts andIAs. For Superfund CAs, the award of the cooperative agreement meets a bona fide need to provide financial assistance to the eligible recipient that arises on the day of the award. The fact that the cooperative agreement recipient performs the work funded by EPA after September 30, 2010 does not implicate the "severable versus non-severable services" concept that applies to contracts and IAs. If a contractor's services for Superfund remedial activities under EPA contracts or IAs are non-severable, the Agency must have obligated funds prior to September 30, 2010 even though the contractor performs all or part of the service after that date.

The severable versus non-severable services analysis may be made on a case by case basis in consultation with the Office of General Counsel.

D.E.10Infrastructure and Buy American Provisions Division A, Title XVI, 1605 of the Recovery Act (Buy American) requires that Recovery

Act funded projects for the construction, alteration, maintenance or repair of a public building or public work, use only iron steel and manufactured goods produced in the United States. OMB has implemented this provision for direct procurement in Federal Acquisition Regulation; FAR Case 2009-008, American Recovery and Reinvestment Act of 2009 (the Recovery Act)-Buy American Requirements for Construction Material, 48 CFR Part 25, Subpart 25.6. The Buy American provision as applied to assistance agreements is implemented in 2 CFR Part 176, Subpart B and the provisions contained therein are uploaded into IGMS as terms and conditions for all Recovery Act assistance agreements. Under Superfund CAs, projects that are subject to



the Buy American provision include, but are not limited to, projects for the construction, alteration, maintenance, or repair of caps, wells, reservoirs, water distribution systems, and water treatment plants. The Recovery Act provides some exceptions to the Buy American requirement. The exceptions involve complex issues that are addressed in the OMB regulations and are beyond the scope of this guidance3.

Some Superfund remedial activities conducted by states and local governments pursuant to a CERCLA 104(d) cooperative agreement may be considered infrastructure investments for purposes of the Recovery Act under the Agency's interpretation of the term "infrastructure."

Examples include, but are not limited to, projects where the principal purpose is to construct a cap to be directly incorporated into a public building or public work project as defined in 2 CFR 176.140(a)), or to extend a municipal water supply to residents and businesses affected by contaminated drinking water. If a project is an infrastructure investment, the grantee must comply with Division A, Title XVI, 1602 (Preference for Quick-Start Activities). If the grantee is a state or local government and the project is an infrastructure investment, then the grantee must also comply with Division A, Title XV, Subtitle A, 1511 (Certifications). Also, if the grantee is a state or local government conducting a project that constitutes an infrastructure investment, there are additional reporting requirements for the infrastructure investment imposed under Division A, Title XV, Subtitle A, 1512(c)(3)(E). The Recovery Act terms and conditions uploaded into IGMS define infrastructure investment and set forth the reporting, preference for quick-start activities, and certification requirements applicable to infrastructure investments. The Recovery Act does not require infrastructure investment certification or reporting requirements for contracts and IAs.

D.E.11Davis Bacon Act As a practical matter, the Davis Bacon Act applies to expenditures of Superfund

Recovery Act funds to the same extent as it does to remedial activities funded from EPA's annual Superfund appropriation. Division A, Title XVI, 1606 of the Recovery Act (section 1606). section 1606 requires that contractors and subcontractors on projects funded directly by or assisted in whole or in part with Recovery Act funds pay prevailing wages as determined by the Secretary of Labor under the Davis Bacon Act. However, pursuant to CERCLA, section 104(g)(1), the Davis Bacon Act already applies to "construction repair, or alteration work" funded with annual Superfund appropriations.

Detailed information on how EPA applies the Davis Bacon Act to Superfund Remedial work is found in the January 27, 1992, memorandum entitled "Superfund Guidance on the Applicability and Incorporation of the Davis Bacon Act and Service Contract Acts into Superfund Acquisitions" ("1992 Davis Bacon Guidance"). EPA will continue to insert the Davis Bacon clauses required by FAR Part 22 when applicable into Agency contracts funded with Recovery Act appropriations. EPA will include the term and condition that OMB prescribed at 2 CFR 176.190 for compliance with the Davis Bacon wage rate requirements in section 1606 of the Recovery Act for Superfund CAs awarded with Recovery Act funds.

3 The Buy American provision, however, will not be applied if doing so is inconsistent with United States obligations under international agreements. Additionally, EPA, in certain circumstances, may waive the Buy American provision.



D.E.12Funds-In Interagency Agreements for Federal Facility Oversight EPA's Federal Facility program oversees Superfund cleanups at certain properties owned

and operated by other federal Agencies. EPA may receive Recovery Act funds from other federal Agencies to support increased oversight requirements for accelerated cleanup actions at their facilities. These funds would be transferred to EPA through IAs for Regional Oversight Contract support and/or EPA intramural expenses. Funds-In agreements for Federal Facilities are outside of the scope of this guidance. Regions should work with their Federal Facility Restoration and Reuse Office (FFRRO) counterparts for additional information.



Exhibits

D.1. ATTACHMENT A: FUNDING AWARD NOTIFICATION TEMPLATE

For clarification, the table categories are:

- Agency Name- Submission Date- Submitter Name- Submitter Contact Info- Funding Notification Amount- Award Type- CFDA Program Number (if applicable)- CFDA Program Title (if applicable)- Program Description- US Indicator- Place of Performance County- Place of performance state- Place of Performance Zip Code- Place of Performance Congressional District- Program Source/Treasury Account Symbol: Account Code- Program Source/Treasury Account Symbol: SubAccount Code (Optional)






D.2. ATTACHMENT B: OMB DEFINITION OF OBLIGATION AND OUTLAYThe table below defines Obligations and Gross Outlays for purposes of the reporting

required in the Office of Management and Budget (OMB) guidance. Please note that the title “Total Expenditures” has now been updated to Total Gross Outlays (As noted in OMB Circular A-11, Gross Outlays are also called Disbursements).

Term Definition

Obligations, as adjusted A binding agreement that will result in outlays, immediately or in the future. Budgetary resources must be available before obligations can be incurred legally. This term includes obligations as well as recoveries of the current and prior year obligations. Recoveries of prior year obligations are reported as budgetary resources in budget execution reporting rather than as obligations. Here is a link to the definition in OMB Circular A-11. http://www.whitehouse.gov/omb/circulars/a11/current_year/s20.pdf

Gross Outlays, as adjusted Amount of obligations paid. Includes payments in the form of cash (currency, checks, or electronic fund transfers) and in the form of debt instruments (bonds, debentures, notes, or monetary credits) when they are used to pay obligations. This term includes obligations paid as well as refunds of payments made in current and prior years. Refunds collected from prior year obligations that have been paid are reported as budgetary resources in budget execution reporting rather than as gross outlays. Here is a link to the definition in OMB Circular A-11. http://www.whitehouse.gov/sites/default/files/omb/circulars/a11/current_year/app_f.pdf






D.3. ATTACHMENT C: CLASS DEVIATION APPROVAL 3/9/09

MEMORANDUM March 9, 2009

SUBJECT: Class Deviation from 40 C.F.R. §35 .6805(j)(3)

FROM: Howard F. Corcoran, DirectorOffice of Grants and Debarment

TO: James E. Woolford, DirectorOffice of Superfund Remediation and Technology Innovation (OSRTI)

This responds to your request (copy attached) for a class deviation from the requirements of 40 C.F.R. §35.6805(j)(3) under the regulation, "Subpart 0 -- Cooperative Agreements andSuperfund State Contracts for Superfund Response Actions". This provision requires EPA toinvoice a state for its final payment, with the exception of any change orders and claims handledduring reconciliation of the Superfund State Contract (SSC), upon completion of activities in thesite-specific Statement of Work (SOW). Specifically, OSRTI is requesting an exception fromthese requirements to add an additional option for when EPA invoices a state for its finalpayment under a SSC for all SSCs signed or amended from February 17, 2009 - September 30,2010. An exception would permit EPA to invoice a state for its final payment on a final payment date as negotiated by the signatories to the SSC.

As explained in your request, OSRTl believes a deviation is necessary because states willneed to match 10% (or more) of the American Recovery and Reinvestment Act of 2009 (ARRA) funding amount ($600 million), in addition to the normally appropriated funding (approximately $600 million for FY 2009 and FY 2010) for Superfund remedial cleanup. During the current recession, this places a huge burden on the states to pay their cost share match by completion of activities in site-specific SOWs for Superfund remedial clean-ups. If states cannot provide theassurances for matching funds, EPA may not be able to obligate the ARRA's $600 million by September 30, 20 10.

The requirements in 40 C.F.R. §35.6805(j)(3) are regulatory and not a statutory mandate.Under these circumstances, to expedite the award of the ARRA funds, I am approving yourrequest. If you have any questions, please contact me at (202) 564-1903.

cc: Lauren Willis, OGCSteve Pressman, OGCJanet Kasper, OIGDoug Ammon, OSRTIAngelo Carasea, OSRTIBarbara McDonough, OSRTIPhyllis Anderson, OSRTIElizabeth Southerland, OSRTIRobin Richardson, OSRTISue Priftis, OPMDenise Benjamin-SirmonsCatherine VassJeanne Conklin


