superfund comprehensive accomplishments plan …superfund comprehensive accomplishments plan (scap)...

; United States; Environmental Protection;Agency

Office pf Emergency andRemedial ResponseWashington DC 20460

OSWER'Directive 920.0.3-01ADecember 1987 • : :

, Superfund

Superfund ComprehensiveAccomplishments Plan (SCAP)Manual o . ; ; y-;^£ ••: - : " " -S&^S i

fiscal Year 1988

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SUPERFUND COMPREHENSIVE

ACCOMPLISHMENTS PLAN (SCAP)

MANUAL

Fiscal Year 1988

OSWER Directive 9200-3-1A

U.S. Environmental Protection Agency

Office of Solid Waste and Emergency Response

Office of Emergency and Remedial Response

Washington, D.C. 20460

OSWER Directive 9200.3-1A

NOTICE

The information in this document has been funded, wholly orin part, by the United States Environmental Protection Agencyunder Contract No. 68-01-7376 to Booze, Allen & Hamilton. Ithas been subject to the Agency's review process and has beenapproved for publication as an EPA document.

The policies and procedures established in this document areintended solely for the guidance of Government personnel.They are not intended, and cannot be relied upon to createany rights, substantive or procedural, enforceable by anyparty in litigation with the United States. The Agency re-serves the right to act at variance with these policiea andprocedures and to change them at any time without publicnotice .

For Further Information

For further information or questions concerning this guidance,please contact Terry Ouverson in the Office of Emergency andRemedial Response, telephone FTS 8-475 9367.

11


EXECUTIVE SUMMARY

The Superfund Comprehensive Accomplishments Plan (SCAP) isthe central mechanism for planning, tracking, and evaluatingSuperfund program activities. Because of its program-wideimportance, SCAP has a dynamic, mutual relationship with otherAgency planning and management systems including:

The Agency Operating Guidance;The Superfund Budget;The Strategic Planning Management System (SPMS); andThe Superfund workload model.

Priority activities and programmatic guidance are used toguide the development of SCAP. Planning must reflect currentprogram goals under the Comprehensive Environmental Response,Compensation, and Liability Act of 1980 (CERCLA) as amended bythe Superfund Amendments and Reauthorization Act of 1986(SARA). Program goals and policies will continuously evolve asthe new legislation is implemented and past accomplishments areevaluated.

The FY88 SCAP Manual provides guidance on the SCAP planningand tracking process. In particular, the manual documents thechanges in the process that will take place with theimplementation of the new Comprehensive Environmental Response,Compensation, and Liability Information System (CERCLIS)database. The transition to CERCLIS is ongoing, and it isexpected that SCAP reports will be generated from CERCLIS forthe second quarter SCAP cycle.

The Executive Summary outlines the SCAP process and some ofthe changes that will take place during FY88. This includesdiscussion of CERCLIS1 impact on the SCAP process, the focus ofthe SCAP planning process during the year, and a review ofpolicies and procedures for changing plans through adjustmentsand amendments.

IMPACT OF CERCLIS ON THE SCAP PROCESS

HEADQUARTERS/REGIONAL ROLES AND RESPONSIBILITIES

With the implementation of CERCLIS the region isresponsible for the reporting and planning responsibilitiesthat determine (among other things) how regionalaccomplishments are reported and the adequacy of the regionaladvice of allowance. In particular, regions will beresponsible for:


Data entry on a regular basis;Data maintenance; andData integrity (QA/QC).

In addition, unlike previous years, regions will assume theresponsibility for the integrity of financial data in theCERCLIS database during FY88. Beginning in the third quarter,financial data will be transferred from the Agency's FinancialManagement System (FMS) to CERCLIS on a weekly basis. BecauseFMS is the official financial source, regions will beresponsible for reconciling data in CERCLIS with the datatransferred from FMS. Since the FMS to CERCLIS transfer willnot become operational until April, 1988, regions will beresponsible for entering first and second quartercommitments/decommitments and obligations/deobligations intoCERCLIS for quarterly SPMS and SCAP reporting, and the monthlySuperfund Progress Report (SPR) reporting.

Although many of the reporting and planningresponsibilities will shift to the regional level underCERCLIS, Headquarters (HQ) will continue to play a key role inthe SCAP process including:

Determining the Advice of Allowance (AOA) based onregional input of SCAP planned activities and assuringthat regional budgets are balanced;

Approving regional requests for changes in plansthrough the amendment process;

Entering and maintaining data for targets and measuresas well as the AOA data in the non-site specificportion of the CERCLIS database.

The implementation of CERCLIS and the shift ofresponsibilities to the regions will have positive effects onSCAP including:

More current and accessible information for regionsand HQ;

Better data integrity;

Ad hoc reporting capabilities to assist in programmanagement;

An increase in the regions' role in site specificdec i s i on-mak ing;

An integrated, program-wide system to track Superfundactivities.

iv


As a general rule, only data recorded in CERCLIS will berecognized by HQ for tracking, planning, and evaluationpurposes. This includes information used for budgetformulation, the workload model, and setting of annual andquarterly targets. In other words, if an activity actuallytook place but is not found in CERCLIS, it is as if theactivity never occurred.

THE SCAP UPDATE PROCESS

Under CERCLIS, the SCAP quarterly update cycle will be moreefficient and structured in FY88. Beginning in the secondquarter, the SCAP cycle will be divided into two separatephases. The first phase concentrates on the reporting ofaccomplishments from the previous quarter; the second phaseconcentrates on planning for the next quarter and beyond.(Note that references to a SCAP quarter refer to the quarter inwhich planning and reporting take place, not the quarter beingplanned.)

Accomplishments Reporting Cycle

Exhibit ES-1 reflects the typical schedule foraccomplishments reporting during the first phase of thequarterly update process.

The major regional responsibilities during theaccomplishments reporting phase include:

Reconciling financial data in CERCLIS with datatransferred from FMS;

Ensuring up-to-date accomplishments information inCERCLIS; and

Performing QA/QC procedures on all SCAP data inCERCLIS.

The accomplishments reporting process will begin for thesecond quarter update on December 10th and end January 19th.This process, however, will be somewhat modified as there willbe no transfer of financial data from FMS to CERCLIS.Financial information will be based on the data entered byregions into CERCLIS. The data transfer will take effect onApril 1, 1988.

Planning Cycle

The second phase of the quarterly update cycle is devotedto revising plans for the next quarter. Exhibit ES-2 outlinesthe planning phase.

Exhibit ES-1 OSWER Directive 9200.3-1A

TYPICAL SCHEDULE FORQUARTERLY ACCOMPLISHMENTS REPORTING

1st Month of Quarter

Weekl

vr

Week 2 Week 3

C Reconciliation ^of FMS/

^ CERCLIS data J

""NSite and non-siteaccomplishments

data must becurrent inCERCLIS

V,

\j

I Complete II regional data QA I

\rC Final ^\

accomplishmentreports produced

for quarterly SPMSand for previous

I month SPR J

FMS downloadto CERCLIS



Reconciliationof FMS/

CERCLIS data

-VI-

Exhibit ES-2 OSWER Directive 9200.3-1A

TYPICAL SCHEDULE FORQUARTERLY PLANNING PHASE

1st Month of Quarter 2nd Month of Quarter

Week 3 Week 4 I Week 1 Week 2 Week 3 Week 4

i

^Proposed SCAP ]update released

I to HQ by region J

Regional Memorequesting

amendmentsdue to HQ

Planning changesdue to IMC for

all changes madefor entire fiscal

year

iHQ / Regionalnegotiations

Regions complete]data entry of

changed plans J

IHQ Review of

proposed SCAPupdate

HQ / Regionalnegotiations

Regions submitneeded change

requests forcurrent AOA

based on changesin SCAP plans

Final SCAPreports available

-V11-


Major regional responsibilities during the planning phaseinclude:

Incorporating planning changes into CERCLIS; and

Negotiating with HQ on planning changes.

The second quarter planning phase will begin on January22nd and end on February 22nd when the final SCAP reports aregenerated from CERCLIS. Detailed schedules for SCAPaccomplishments reporting and planning updates are provided inChapter II, Exhibits II-l and II-2 (pp. 10 and 11).

SCAP PLANS AND THE REGIONAL ADVICE OF ALLOWANCE (AOA)

The SCAP process is the planning mechanism that drives thequarterly AOA issued by the Office of the Comptroller. Theprocess for issuing the AOA each quarter begins four weeksprior to the start of the quarter when planned obligation dataare pulled from CERCLIS and reviewed by program offices at HQ.The Resources Management Staff then receives and reviews thenecessary budget changes and prepares an official AOA requestwhich is sent to the Office of the Assistant Administrator forreview and approval. The final step in the process is theissuance of the official AOA by the Office of the Comptrolleron the first day of the quarter.

Although a number of activities are planned on a sitespecific basis in the SCAP process, only remedial designs (RDs)and remedial actions (RAs) have site specific AOAs. The tablebelow shows the breakdown of site and non-site specificplanning for SCAP and the manner in which the AOA is issued bythe Office of the Comptroller.

Activity

PA/SSILSIRI/FSERARDRAProject SupportRemovalEnforcement

SCAP Planning

Non-siteSiteSiteSiteSiteSiteSite/Non-siteSite/Non-siteSite/Non-site

Basisfor

AOA Funding

Non-siteNon-siteNon-siteNon-siteSiteSiteNon-siteNon-siteNon-site

AOA Category

Other RemedialOther RemedialOther RemedialOther Remedial

RDRA

Other RemedialRemoval AllowanceEnforcement AOA

vm


CERCLIS is designed to accommodate site and non-sitespecific planning and to generate AOA reports as well as tablesthat reflect official AOAs for each region. The data on thetables are entered by HQ. These data should correspond to theAOA issued to the regions by the Office of the Comptroller.

The AOA issued by the Comptroller's Office will consist ofsite specific funding for RDs and RAs, total funding forremoval actions, and funding for other remedial activities.The "other remedial" portion will be based on site and non-sitespecific needs identified by the regions, but HQ will not beapproving specific projects. Regions have the responsibilityfor managing the funds for all activities.

FOCUS OF THE SCAP PROCESS DURING THE YEAR

Although the reporting and planning process remains thesame from one quarter to the next, the focus of the SCAPupdates differs depending on the quarter. The focus of eachcharter during the SCAP planning year is detailed below:

Second Quarter (FY88)

Preliminary targets and measures for FY89 areproposed and negotiated between HQ and theregions; and

FTE allocations are determined based on thepreliminary targets and measures.

Third Quarter (FY88)

Major projects requiring funding in FY90 areidentified; and

Outyear budget (FY90) is projected.

Fourth Quarter (FY88)

Resources are aligned for the current fiscal year;

Final SCAP/SPMS commitments are established forFY89; and

Annual regional budgets are set for FY89.

First Quarter (FY89)

- Final accomplishments for FY88 are reported.


SCAP/SPMS TARGET SETTING

The negotiation of annual and quarterly SCAP/SPMS targetsand measures is incorporated into the planning cycle. InitialSCAP/SPMS targets and measures are provided to the regionsduring the second quarter SCAP update cycle. They are based onthe SCAP methodologies (Appendix C contains the methodologiesfor FY89). These preliminary numbers are the basis of formalHQ/regional negotiations held in January. A second round ofnegotiations occurs in the fourth quarter to arrive at finalSCAP/SPMS numbers for FY89. HQ will enter the final SCAP/SPMSnumbers into the non-site specific database of CERCLIS.

REMEDIAL OUTYEAR PLANNING

In addition to responding to the SCAP/SPMS targets andmeasures, regions must propose RI/FS candidate sites for theupcoming fiscal year. With each candidate site, regions mustalso submit a schedule of core remedial activities. Coreactivities that must be included differ somewhat depending onthe lead (Program, Enforcement, RP, etc.) for the project.Where better data are not available, regions should use thestandard timelines provided in the manual. As betterinformation on remedial project schedules becomes available,regions should update their SCAP data in CERCLIS. Keeping thedata current in CERCLIS is a continuous process that isparticularly important for outyear budget planning, theworkload model, and SCAP/SPMS target setting.

The budget planning process begins a year and a half priorto the start of the fiscal year. In April 1988, regions willbegin planning for major remedial dollar expenditures in FY90.To project the FY90 budget, regions must review core activityschedules for major activities expected to begin in that fiscalyear. Since Program lead RAs play such a major role in theSuperfund budget, it is crucial that these projects areidentified with reasonable cost estimates in the third quarterSCAP planning update. Since removals have a shorter planninghorizon, the regions are not responsible for outyear budgetingassociated with removal activities.

SCAP ADJUSTMENTS/AMENDMENTS

SCAP incorporates flexibility into the planning process byproviding adjustments and amendments which allow the regions tochange their plans during a quarter. Adjustments are revisionsthat meet all of the following criteria:


The revision does not result in a change in quarterlySPMS commitments;

It does not result in a change in annual SCAP targets;and

It does not cause the region to exceed its AOA.

Regions may adjust their SCAP plans without formal HQapproval; however, HQ should be informed of projectsubstitutions. Amendments are revisions that violate one ormore of the criteria. A region must obtain prior approval fromHQ to amend their SCAP plans.

The FY88 SCAP manual encompasses many policies, processesand procedures, the most important of which are described inthis summary. In order to acquire a more in-depthunderstanding, the manual itself should be read.

XI


I. INTRODUCTION

The Superfund Comprehensive Accomplishment Plan (SCAP)process is used by the Superfund program to plan, budget,track, and evaluate progress toward Superfund site cleanup.The SCAP planning process is a dynamic, ongoing effort that hasa significant impact on Superfund resource allocation andprogram evaluation. Planned obligations and Strategic PlanningManagement System (SPMS) targets and measures generated throughSCAP influence the Superfund budget and evaluation process.Although the process described in this manual is undertakenquarterly, SCAP planning is actually a day-to-dayresponsibility of the regions. The quarterly process simplyserves as a management tool, a "snapshot" of progress to dateand the mechanism through which Headquarters (HQ) and regionsformally negotiate plans for the future. For FY88. a newmanagement tool has been developed that will help facilitatethe planning and tracking process. The ComprehensiveEnvironmental Response, Compensation, and Liability InformationSystem (CERCLIS) will be phased in beginning the first quarterof FY88 and will serve as the conduit for the SCAP processbeginning with the second quarter. CERCLIS will provideregions with direct access to planning data and reportsallowing daily, interactive updates of planning and sitecleanup progress information.

The purpose of this FY88 SCAP Manual is to provideguidance on the operation of the planning process afterimplementation of CERCLIS. The manual describes the changingresponsibilities of HQ and the regions brought about by theimplementation of CERCLIS. It details the processes andprocedures developed to reflect shifting responsibilities forFY88.

The remainder of this chapter provides an overview ofSCAP, including its relationship to other Superfund and Agencyplanning and management systems. The chapter also includesdefinitions and conventions used throughout the manual, uses ofthe manual, changes from the FY87 manual, and information onthe manual structure and format.

BACKGROUND AND OVERVIEW

The SCAP process is crucial to Superfund program planning,tracking, and evaluation. As the Superfund program s centralplanning mechanism, it affects and is affected by all Agency

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and Superfund program specific planning and management systems,such as the Agency Operating Guidance, the Superfund budget,SPMS, and the Superfund workload models.

The Agency Operating Guidance has an impact on SCAP as itdefines Superfund goals for the upcoming year. SCAPtargets/measures are designed to reflect the Agency OperatingGuidance. In some cases new SCAP categories are developed; inother cases, the projections for SCAP activities are raised orlowered to match the Agency's goals.

A large part of the Superfund program's budget is based onthe SCAP developed 18 months prior to the fiscal year inquestion (e.g., the third quarter FY86 SCAP is the basis forthe FY88 budget). The site schedules reflected in this SCAPserve as the foundation for determining budget priorities, suchas the dollar levels to be requested in the budget and thetotal level of full-time equivalents (FTEs) to be madeavailable for distribution through the workload model. Becauseobligations associated with Fund-financed remedial actions(RAs) and remedial designs (RDs) dominate Superfund's budget,the identification of RD and RA candidates and plannedobligations through the SCAP process is critical in developingthe outyear budget.

National and regional SPMS goals are established andtracked through SCAP. They represent a subset of SCAPactivities. SPMS is used by EPA to set and monitorenvironmental objectives for a fiscal year. SPMS targets andmeasures are reported quarterly by HQ and regions to the Officeof Management Systems and Evaluation (OMSE). OMSE tracksregional progress toward SPMS goals on a quarterly basis aspart of its overall Agency performance evaluation process.(See the Superfund Evaluation Handbook — OSWER Directive9200.2-2 — for a detailed discussion of the performance reviewprocess.)

Using planned SCAP activities as output factors, theSuperfund workload model produces the distribution of FTEs foreach program and region. For example, each Fund-financedremedial investigation/feasibility study (RI/FS) has an FTEpricing factor. Regional FTEs for Fund-financed RI/FS are amultiple of the number of RI/FS identified in SCAP, andcommitted to in SPMS, that a region plans to start in theupcoming fiscal year.

For individual program areas, SCAP performs dual roles:program management through project planning and resourceallocation, and program accountability/evaluation throughaccomplishment goal setting and monitoring. Both functions areperformed through the setting of targets/measures and thereporting against those targets/measures.

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DEFINITIONS AND CONVENTIONS

The major definitions and conventions used throughout themanual are outlined below.

SCAP/SPMS TARGETS AND MEASURES

A SCAP or SPMS target (either quarterly or annual) is apre-determined numerical goal that is determined prior to thefiscal year the designated activities will take place. Anexample of a SCAP and SPMS targeted activity is a first RI/FSstart. Regions are evaluated according to their performance inactivities with established targets.

A SCAP or SPMS measure, on the other hand, is not used forevaluation purposes but rather to track other activities thatare important in monitoring overall program progress. Thereare two types of measures: projection and reporting.Projection measures have numerical goals established prior tothe fiscal year (e.g., hazardous substance releasenotifications). Reporting measures have no associatedquantitative goals; only actual accomplishments are tracked(e.g., administrative orders for RP response). A commitmentrefers to either a target or projection measure.

DEFINITION OF SCAP QUARTERS

For the purposes of this manual, a specific SCAP quarteris defined as the period when accomplishments from the previousquarter are reported and planning takes place for the nextquarter. The "second quarter SCAP," for example, refers to theperiod between January 1st and March 30th when first quarteraccomplishments are reported, and planning for the thirdquarter and beyond occurs.

MISCELLANEOUS

The use of the term "SCAP" refers to the overall processof the Superfund Comprehensive Accomplishments Plan."Integrated SCAP" refers to the system that tracks the SCAPprocess. Integrated SCAP is now a part of CERCLIS. Allreferences to "CERCLIS" are intended to address the new CERCLISdatabase.

SCAP activities are referred to as "events" withinCERCLIS, with the exception that SCAP enforcement activitiesare referred to as CERCLIS activities.

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USES OF THE MANUAL AND CHANGES FROM THE FY87 MANUAL

The FY88 SCAP process is supported by the informationcontained in this manual. The manual provides the necessaryinformation and guidelines to allow regional staff to developplanning data and track accomplishments for the SCAP process.Users of the manual must also refer to the CERCLIS UserReference Notebook and System Administrative Guide for specificguidance on SCAP data coding, entry and maintenance, plus thegeneration of SCAP reports. The CERCLIS guides must be used ascompanion volumes to the FY88 SCAP Manual.

The FY88 manual represents a significant departure fromthe FY87 version. The major force driving the revision is theimplementation of CERCLIS. In addition, other changes havebeen made in an effort to make the manual more useful for staffmembers with planning responsibilities. Briefly describedbelow are the major changes in content and structure for FY88.

The implementation of CERCLIS will shift the dataentry/maintenance responsibility from HQ to the regions. As aresult, the data flow patterns associated with the past SCAPprocess have been revised to reflect the regions'responsibility for and direct access to SCAP data and reports.QA/QC procedures have been revised to reflect the shift of dataentry from HQ to the regions.

A significant portion of the material contained in theEY87 SCAP manual has been deleted. This includesAppendix III - "Enforcement Data Quality Standards" andAppendix V - "SCAP Report Documentation and Instructions."This latter appendix was largely devoted to data entry that nowfalls under the purview of the CERCLIS guides.

Major revisions have been made to the financial managementand planning procedures. After CERCLIS implementation, newprocedures will be followed to plan and manage financial dataassociated with the SCAP process. These procedures aredescribed in detail in Chapter II. The chapter incorporatesAppendix I - "SCAP Relationship to the Advice of Allowance" andAppendix IV - "Integration of the Case Budget" from the FY87manual.

STRUCTURE OF THE MANUAL

The remainder of the FY88 manual is made up of twochapters and four appendixes. Chapter II: SCAP PlanningProcess and Procedures contains sections on:

Program Management Procedures;

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Program Specific Planning Requirements and Procedures;

SCAP Adjustments/Amendments;

OERJR Financial Planning and Management; and

OWPE Case Budget Process.

Chapter III: FY88 PROGRAMMATIC GUIDANCE provides the initialSCAP measures and targets and program guidance drawn from theAgency's Operating Guidance for FY88. Appendix A providesexamples of CERCLIS-generated SCAP reports that are used insupport of the SCAP process. Each report is accompanied by abrief description of its format, content, and use. Appendix Bprovides definitions for each of the activities included in theSCAP/SPMS targets and measures and a brief description of theplanning process associated with each. Appendix C presents themethodologies used to derive the FY89 preliminary targets andmeasures. Appendix D presents an overview of the Freedom ofInformation Act (FOIA) and FOIA's applicability to SCAP recordsand information.

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II. SCAP PLANNING PROCESSES AND PROCEDURES

With the implementation of CERCLIS, the Superfund planningprocess undergoes significant changes. This chapter detailsthe approach used to incorporate the CERCLIS data base into theSCAP planning process. The chapter consists of the followingfive sections:

"Program Management Procedures" describing the overallplanning process, regional responsibilities,management procedures, and data flow;

"Program Specific Planning Requirements andProcedures" discussing the planning approach to befollowed by each program area;

"SCAP Amendments/Adjustments" describing the processthat allows regions to modify their quarterly plans;

"OERR Financial Planning and Management" detailing theinterrelationship of the planning process, AgencyOperating Plans, and regional AOA; and

"OWPE Case Budget Process" providing a similardiscussion of financial planning for enforcementactivities.

1. PROGRAM MANAGEMENT PROCEDURES

This section describes the information flow and HQ/regionalresponsibilities associated with the FY88 Superfund planningprocess.

Beginning in FY88, regions are required to schedule allactivities through the RA completion stage. The differencefrom FY87 reporting procedures is that the remedial coreactivity schedules will be entered into CERCLIS rather thanrecorded onto the SCAP site summary reports. CERCLIS will beused to produce the site summary reports reflecting the abovedata. Scheduling procedures for Program, Enforcement, andresponsible party (RP) lead sites are provided in Section 2 ofthis chapter.

CERCLIS implementation places data maintenanceresponsibilities in the regions, allowing direct data access toplanning and accomplishment data. It also allows for a moreefficient SCAP update process than was possible in FY87 as it

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is no longer necessary to compress both accomplishmentreporting and planning revisions into a single period at thestart of each quarter. Direct regional access and dataresponsibility will allow the regions to report accomplishmentsas they occur. This is very important because each month HQwill draw accomplishment data from CERCLIS for the SuperfundProgress Report (SPR). If CERCLIS is not current, the regionswill not receive credit for its accomplishments.

Responsibilities assumed by HQ with the implementation ofCERCLIS include:

Entering and maintaining SCAP/SPMS targets andmeasures and AOA data in the non-site CERCLIS database;

Determining the AOA based on SCAP planned activitiesin CERCLIS;

Approving regional requests for changes in plansthrough the amendment and change request process.

Since there will no longer be a need for time-consumingexchanges of paper reports between HQ and the regions, theupdating process can be divided into two distinct phases:accomplishment reporting and planning updates. The followingschedules outline the quarterly update process to be followedfor the second, third, and fourth quarters of FY88 and thefirst quarter of FY89 (see Exhibits II-l, p. 10; and II-2,p. 11). These schedules address the routine quarterly updatesfor accomplishment reporting and planning; more frequentinteraction may be necessary during the fourth quarter toadjust plans for year-end funding needs.

OVERVIEW OF THE SCAP PROCESS

Accomplishment Reporting

Regional Generation of Draft Reports forAccomplishments Tracking

On a weekly basis, beginning April l, 1988, a data transferwill take place from EPA's Financial Management System (FMS) toCERCLIS. Data transferred at this time will includecommitments, obligations, and outlays that took place in theprevious week (see the section on Financial Data Flow, p. 41,for more information). Each quarter, regions should generatedraft SCAP reports for internal regional review of existingCERCLIS accomplishment data.

Regions should perform QA/QC checks of the draft reportsand make adjustments to the CERCLIS data base if the reports donot reflect actual accomplishments for the quarter. Since FMS

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is the official source of financial data for the Agency,regions must notify their regional FMO if an error reflected inthe reports is the result of the FMS data transfer. Regionsmust do so quickly, because until the error is corrected the"incorrect" FMS data will continue to override data entered bythe region. As Exhibit I1-3, p. 12, indicates, changes to theaccomplishments data will be recorded on CERCLIS SiteInformation Forms (SIFs), or other regional data entry forms,and entered into CERCLIS by the Information ManagementCoordinator (IMC) or designee.

Regional Submission of Accomplishments to the Officeof Solid Waste and Emergency Response (OSWER)

On approximately the eighth working day of each quarter, HQwill pull SCAP reports from CERCLIS. (See Exhibit II-l, p. 10,for reporting milestone dates.) These reports will be reviewedby HQ to evaluate regional progress toward SCAP targets andsubmitted to OSWER for reporting SPMS accomplishments. Asnecessary, HQ program offices will hold discussions with theregions. Any required changes will be entered by the regionsinto CERCLIS. Final accomplishments reports will be generatedin the third week of the quarter. It is important to note thatin addition to reporting accomplishments in CERCLIS, regionswill still have to enter data into the OMSE SPMS system.

SCAP Planning

Regional Generation of Draft SCAP Planning Reports

Once the accomplishments reporting phase has beencompleted, the focus of the SCAP process will turn to planningfor the remainder of the fiscal year and outyear scheduling.Regions have the option to begin the planning phase at anytime, but, generally, the quarterly SCAP planning process willbe initiated by the regions on the fifteenth working day of thenew quarter. At this time, the regions will generate draftSCAP reports from the CERCLIS data base for their own review.(See the CERCLIS User Reference Notebook for details on thereport generation process.) Regions must review the planningdata reflected on the reports. These planning data shouldreflect any adjustments/amendments made to the annual plan. Ifthe planning data are not current, the region must enter thenecessary changes into CERCLIS. At this point, regional plansmust include anticipated site specific removal actions.Regions should note that changes to site schedules and otherplanning data will not automatically result in changes toSCAP/SPMS targets. Although regions have the flexibility toalter plans, they are still accountable for meeting the targetsnegotiated at the beginning of the fiscal year.

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EXHIBIT II-l

SCAP ACCOMPLISHMENTS UPDATE SCHEDULE *

Report Update 2nd Q 3rd Q 4th Q 1st Q (FY89)

Data for previous monthsaccomplishments for thepreliminary SuperfundProgress Report (SPR)pulled from CERCLIS

HQ issues call memorandum

FMS downloaded to CERCLISfor final SPR and regionalreview

Non-Site based quarterlyaccomplishments must becurrent in CERCLIS

FMS downloaded to CERCLISfor preliminary reports

Complete reconciliationof FMS/CERCLIS Data**

HQ/regions produce pre-liminary accomplishmentsreports - used for pre-liminary SPR and SPMSreports

Complete regional dataQA.**

Produce final quarteraccomplishments reportsfor SPMS and final SPR

Dec 10 March 10 June 10 September 12

Dec 15

Jan 5

Jan 12

Jan 15

Jan 19

March 15

April 5

April 7

April 8

April 11

April 15

April 18

June 15

June 17

July 7

July 8

July 11

July 15

July 18

September 16

September 19

July 6 October 5

October 6

October 7

October 10

October 14

October 17

*Beginning April 1, data will be transferred on a weekly basis from FMS toCERCLIS. The data transfer is initiated by HQ. In the interim, regionswill be entering obligations, deobligations, commitments, and decommitments,

**Regions are responsible for CERCLIS data quality. If errors areintroduced through the FMS data transfer or data entry errors, regions mustinitiate the correction process by notifying their regional FinancialManagement Officer (FMO).

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EXHIBIT II-2

SCAP PLANNING UPDATE SCHEDULE

Report Update 2nd Q 3rd Q 4th Q 1st Q

Regional planning datadue to the IMC

Proposed SCAP updatereleased to HQ

Complete HQ review ofProposed SCAP update

Complete HQ/Regionalnegotiations on proposedSCAP update

HQ issues memorandumsummarizing agreed uponplanning & funding changesto regions

Regions submit any neededchange requests to currentquarter's AOA reflectingchanges in SCAP plans

Regions complete dataentry of agreed uponplanning changes

Final SCAP reportsavailable showing nextquarter's plan

Next quarter's AOArequests submitted tothe Office of theComptroller

Jan 22 April 22 July 22 October 22

Jan 29 April 29 July 29 October 29

Feb 5 May 5

Feb 12 May 12

Feb 15 May 16

Feb 15 May 16

Feb 19 May 20

Feb 22 May 23

Feb 29 May 30

Aug 5 November 5

Aug 12 November 12

Aug 15 November 15

Aug 15 November 15

Aug 19 November 19

Aug 22 November 22

Aug 29 November 29

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EXHIBIT II-3

SCAP QUARTERLY REPORTS PROCESS *OSWER Directive 9200.3-1A

Review byRegion/Required

Changes

RevisedfAOA \

Issued )

Draft Accomplishments reports for review by individualRegions(Generated by Regions)Final SPR/SPMS reports for AA/SWER and draft planning datafor Region(Generated by MES and Regions)Regional planning data submitted(Generated by MES and Regions)

(s) Planning data finalized for quarter

0 Report for BFS/FAMS development of preliminary AOA forsubmission to Comptroller

(7) Change requests submitted by Regions - as needed

© Revised Regional AOA issued - if necessary

* Assumes a minimum monthly data base update frequency-12-


With CERCLIS in place, regions will no longer mark up thedraft reports for return to HQ. As Exhibit I1-3 suggests, theregions' proposed SCAP will be entered directly into CERCLIS.Regional Project Managers (RPMs) will record their response tothe draft SCAP on SIFs or other data collection form which,after QA/QC, will be entered into CERCLIS. Data entry will beperformed by the regional IMC or designee.

HQ Generation of Official Regional Plain

On approximately the twenty-ninth day of the quarter, theManagement and Evaluation Staff (MES) at HQ will pull theproposed regional SCAP update. This draft will be consideredthe Regional Waste Management Director's and, if applicable,the Environmental Services Division Director's proposed plan.

The regional reports will be circulated to HQ programoffices for review and will serve as the basis for HQ/regionalnegotiations. To ensure consistency in the negotiations phase,the data base will be frozen prior to pulling the regionalreports. As a result, all parties (HQ and regions) will haveidentical data for use during the negotiations process.

Through the negotiations process, HQ and regions willarrive at mutually agreed upon SCAP revisions. The finalnegotiated plans for the quarter will be sent to the regions ina memorandum from HQ. The memorandum will contain a regionalsummary of the agreed upon targets and measures for theupcoming quarter. Regions are then responsible for finalizingthe SCAP reporting process by entering the agreed upon datainto CERCLIS. Again, SIFs or other data entry forms areprepared and data entry is coordinated by the IMC.

Generation of Final Quarterly Planning Reports

Final quarterly planning reports for the upcoming quarterare generated at the end of the second month of the currentquarter (See Appendix A for examples of these re;ports) . Finalreports are distributed to regional offices and HQ programoffices.

SCAP Planning and the Advice of Allowance (AOA)

As Exhibit I1-3 indicates, an AOA report will be generatedfrom the CERCLIS data base during the ninth week of thequarter. The AOA reports will reflect the final SCAP plans forthe coming quarter and will be used by the Budget andForecasting Section (BFS) and the Financial and AdministrativeManagement Section (FAMS) to prepare the AOA numbers forsubmission to the Office of the Comptroller. CERCLIS data willalso serve as the basis for the Case Budget AOA (see section onthe Case Budget process, p. 45).

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Regions are also responsible for preparing change requestsfor the current quarter if they are needed. Change requestswill be necessary if HQ/regions agree to changes in SCAP plansthat have a direct impact on the current AOA amount. Theregional Superfund program office requests that the changerequest be issued from the Regional Budget Office or FMO, whoin turn forwards the change request to the Superfund BranchChief; and to the Budget Analyst, AA/SWER. Since the AOA forRD and RA is issued on a site specific basis, any substitutionsof sites for RD/RA projects will require a change request. Achange request will also be necessary if changes in any otherremedial/removal activities would cause a region to exceed itsinitial AOA funding for the quarter. Copies of the changerequest should be submitted to both OSWER and the Office of theComptroller.

FOCUS OF SCAP QUARTERLY UPDATES

The beginning of this section provided an overview of thequarterly planning process under CERCLIS. This part examinesthe relationship of each quarter's SCAP to the overallaccomplishment tracking and planning process. Thisrelationship remains the same regardless of the mechanism used(Integrated SCAP or CERCLIS) for generating the SCAP reports.

The quarterly planning process generates data that fulfillfour functions:

Tracking of accomplishments against targets/measures;Updating planning data for the next quarter;Developing data for the upcoming fiscal year; andProviding data for outyear budget planning purposes.

Although the quarter-to-quarter planning and accomplishmentreporting process is consistent, the primary focus of eachupdate for future planning will be somewhat different. Thesecond quarter SCAP will serve as the basis for regional FTEallocations for the approaching fiscal year, so remedialproject schedules should be carefully reviewed. The thirdquarter SCAP will serve as the basis for the outyear budget socost estimates are particularly important. The fourth quarterSCAP will focus on aligning resources for the current year anddeveloping final SPMS commitments for the upcoming fiscalyear.

The fourth quarter SCAP planning cycle is important becauseof its direct impact on the next fiscal year's budget. Itforms the basis for the coming fiscal year's regional budgetand for the AOA for the first and second quarters. The fourthquarter SCAP cycle's impact on the budget is significantbecause in FY88 regions will be required to reprogram their own

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funds to meet unexpected contingencies. Only as a last resortwill funds be shifted by HQ between regions.

The AA/SWER holds quarterly meetings at HQ to reviewregional accomplishments, SCAP revisions, and activitytargets. (Regions are encouraged to hold similar meetings.)The meetings are held to resolve problems and to discuss theeffects of scheduling, cost, and lead changes. These meetingswill take place prior to any HQ/regional negotiations andbefore issuance of the revised SCAP. Preliminary and finaltargets and measures and their accompanying sites will bereviewed in the quarterly meetings. (Exhibit II-4, p. 16,provides more detail on the quarterly reporting requirements.)

PROCEDURES FOR ANNUAL TARGET SETTING

Superimposed on the quarterly planning process are theprocedures for developing the coming year's SCAP/SPMS targetsand projection measures. Initial SCAP targets/measures are setin accordance with the SCAP Methodologies. (SCAP Methodologiesfor FY89 are presented in Appendix C.)

The process for the development of a fiscal year'stargets/measures begins with the draft second quarter SCAP inJanuary of the previous fiscal year. HQ will set preliminarytargets/measures for the upcoming fiscal year by late Januarywhich wi-ll be used in deriving the preliminary FTE allocationsfor the coming year. All targets/measures are negotiable andthe numbers will be established only after discussions betweenOERR, OWPE, and the regions. Final SCAP targets will be thesame as corresponding SPMS targets and will be set with thefourth quarter SCAP in August. This too will involveHQ/regional negotiations.

The schedule for target setting for the upcoming fiscalyear is as follows:

At the beginning of the second quarter HQ will send tothe regions initial targets and projection measuresbased on the SCAP Methodologies.

Regions will respond to proposed SCAP targets/measuresin their second quarter CERCLIS update.

HQ/regional negotiations will occur during the secondquarter. (A separate negotiation schedule will besent to the regions.)

Draft final targets/measures will be set aftercompletion of the negotiations in lateJanuary/February.

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OSWER Directive 9200.3-1AEXHIBIT II-4

SCAP Reporting Requirements

QUARTERLY REPORTING REQUIREMENTS

Reporting prior quarter accomplishments for SCAP/SPMStargets and measures;

Updating remedial, enforcement, removal, and community relationsproject schedules and obligations;

Adding schedules and obligations for:

- Remedial and community relations projects for all quarters;

- Removal projects in the upcoming quarter;

- Support activities starting in the next two quarters.

SPECIAL REPORTING REQUIREMENTSFOR INDIVIDUAL QUARTERS

QUARTER 1

Reporting ofaccompllshmenmtsfrom previousFiscal Year

QUARTER 2

Revising HQprojections forupcoming FiscalYear

Completing estimatesof RA costs forupcoming Fiscal Year

Reporting allprojects Intending tostart In upcoming FY

QUARTER 3

Projectinginitial outyearRA cost estimates

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QUARTER 4

Finalizingproject schedulesfor upcoming FiscalYear


HQ will enter the negotiated targets/measures intoCERCLIS.

The draft third quarter SCAP will contain eachregion's draft final targets/measures for the upcomingfiscal year.

Based on the regional fourth quarter draft SCAP, asecond round of negotiations will occur to finalizethe targets and projection measures and the regionalbudget. At this juncture only minor changes totargets and measures should occur. These negotiationswill be conducted in July and final goals will be inplace when the fourth quarter SCAP is finalized(August).

After a regional review, final SCAP targets andmeasures and the regional budget will be sent to theAA for approval in late August. For SCAP targets thatare included in SPMS, the SCAP target will be used asthe SPMS target.

The preliminary SCAP targets and measures will include,where applicable, a candidate list of sites to support eachtarget/measure. For first RI/FS, the candidate list representssites where no remedial work has occurred or is scheduled tooccur during the current fiscal year. For SCAP activitiesbased on current project schedules (e.g., RD starts), acandidate list of sites having a status of "Approved" alongwith the projected start or completion quarter will be provided,

To adequately plan for the year, a region must makedecisions on the status of projects as well as anticipatefuture funding needs. Remedial projects should be identifiedas either "Approved" (APR) or "Alternate" (ALT). Approvedprojects represent the highest priority projects that have thegreatest likelihood of requiring funding during the fiscalyear. The number of approved projects will be used todetermine SPMS commitments as well as to develop budget and FTEprojections. Alternate projects are a pool of projects whichare moving toward the point of obligation. Alternate projectsmay be substituted to replace approved projects whichexperience slippage or are deferred because of revised projectpriorities. A region should identify alternate projects toensure that it can maintain a steady pipeline of remedialactivity.

After discussions and final agreement, HQ will respond witha memorandum to the regions providing final agreed upon targetsand projection measures. In many cases the negotiations willresult in schedule changes. These changes must be entered intothe CERCLIS site specific data base by the regions. HQ will

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enter the negotiated targets/measures into the CERCLIS non-sitespecific data base.

2. PROGRAM SPECIFIC PLANNING REQUIREMENTS AND PROCEDURES

This section provides a breakdown of planning requirementsby program area. Program specific planning requirements areprovided for the Pre-Remedial, Remedial, Removal, CommunityRelations, and Enforcement program areas, as well as adescription of planning requirements for the project supportareas and miscellaneous activities (SPCC Inspections, oil spillclean-up and monitoring). Each of these program areas has oneor more unique characteristics in SCAP planning. In general,this section will cover the following topics for each programarea:

The type of target/measure for each activity;

The timing of quarterly target setting;

The manner in which targets/measures are reported inCERCLIS;

The manner in which accomplishments are reported inCERCLIS;

The relationship of the planning data to the AOA foreach program area; and

The responsibility for outyear planning associatedwith program activities.

Because planning requirements are discussed on a programspecific basis, some activities are handled in more than oneprogram area. For example, preliminary assessment completionsare included in both the Pre-Remedial and Enforcement programareas. It should be noted that under certain circumstancesSPMS targets are a combination of separate Enforcement andProgram lead SCAP targets.

The following discussion centers on planning requirementsfor new activities. Regions must also keep in mind theplanning requirements for ongoing projects. Specifically,regions should be certain that ongoing project schedules arekept up-to-date in CERCLIS and that funding needs forcontinuing projects are considered when developing SCAPplanning data. Failure to consider ongoing projects can resultin significant shortfalls in funding provided through theregional AOA.

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Accomplishments are reported in CERCLIS by entering the LSIcompletion date into the appropriate site record.

NPL site additions are a SCAP projection measure only. Theannual projection for this category is set prior to the fiscalyear. There is no quarterly breakdown of this SCAP measure.Projections are provided for both Federal and non-Federalfacilities. A discussion of Federal facility planningrequirements is included in the enforcement part of thissection (p. 26).

NPL site additions are not planned on a site specificbasis. However, accomplishments are reported in CERCLIS at thesite level. There is no AOA funding for this category.

For 1988, a new SCAP measure has been added: HRS packagesdelivered to HQ. This is a SCAP reporting measure only; notargets or projections are developed for this category.Regions are simply required to enter the date the HRS packageis delivered to HQ in the appropriate site record in CERCLIS.

Also tracked in the Pre-Remedial program area is the aerialsurvey support function. This activity is a SCAP reportingmeasure only with no quarterly goals set. It is not plannedsite specifically and accomplishments are reported on anaggregate level. There is no AOA for this function becauseaerial surveys are funded directly by HQ. To assist HQ inplanning for the year, regions are asked to supply an estimateof the total funding needed for aerial surveys to be conductedby EMSL.

REMEDIAL PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

The Remedial Program consists of on-site remedialactivities beginning with the first RI/FS and proceedingthrough RD/RA to eventual deletion of the site from the NPL.All remedial activities are planned site specifically withquarterly and annual targets set prior to the beginning of thefiscal year.

Defining and Identifying Operable Units

An operable unit as defined by the NCP is "a discrete partof the entire response action that decreases a release, threatof release, or pathway of exposure" (NCP, §300.6). Operableunits at sites may be based on varied geographic areas,technologies required, threats posed, or distinct well-definedphases in a project. Each geographic area, technology, threat,or phase at a site, however, need not be designated as aseparate operable unit.

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PRE-REMEDIAL PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

The pre-remedial targets/measures track the initialactivities at Superfund sites. Six pre-remedial activities areprojected and tracked through the SCAP process:

Preliminary assessment (PA) completions;

Screening site inspection (SSI) completions;

Listing site inspection (LSI) completions;

National Priority List (NPL) site additions;

Hazard Ranking System (HRS) packages delivered to HQ;and

Aerial surveys.

Planning requirements for the PA and SSI activities areidentical. Annual SCAP targets are set for PA and SSIcompletions prior to the beginning of the fiscal year.Separate SCAP targets are set for Field Investigation Team(FIT) and State conducted PA/SSIs. An annual SPMS target isalso set for PA/SSI completions. The SPMS target is the totalof the separate FIT and State SCAP targets. The annual SCAPand SPMS targets are broken down into quarterly targets priorto the beginning of the fiscal year.

PA/SSIs are planned on a non-site specific basis. Thequarterly and annual targets for PA/SSI records are reported inthe non-site specific data base in CERCLIS, Associated withthe targets, regions must enter a planned obligation total tocover the State conducted share of the PA/SSI completiontargets. The funding for the PA/SSI activities is included inthe "other remedial" portion of the AOA (also referred to asthe "Regular Allowance" or the non-site specific "0"Allowance). Again, the AOA reflects the planned obligationsfor the State conducted share of PA/SSIs. Accomplishments forPA/SSI completions should be recorded by regions in theappropriate site record in CERCLIS.

LSI completions have SCAP targets only; no correspondingSPMS target or measure is set. The annual SCAP target isbroken down into quarterly targets prior to the beginning ofthe fiscal year. Regions are responsible for identifyingcandidate sites to meet quarterly targets.

Planned obligations must be associated with those candidatesites where State conducted LSIs are expected. Funding forState conducted LSIs is included in the "other remedial" AOA.

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The decision to designate an operable unit can take placeat any key point in the remedial process, as deemedappropriate, but is typically defined by the scope of theROD(s). For some large and complex sites, operable units maychange as site work progresses. For example, a single operableunit at an RI/FS site may be broken into two or more operableunits at the construction stage. Although a region should useits own discretion when designating an operable unit at aremedial site, the following ground rules should be considered:

Each operable unit at the RI/FS stage must result inan ROD; subsequent RODs must address an aspect of theremedy that was not developed in the initial ROD;

Each operable unit at the RD stage must be based on aseparate design package developed at either the timeof the bid award or at the time of design approval;

RA operable units must be based on separate bidpackages;

RP takeover of Fund actions, or Fund takeovers of RPlead projects, do not constitute separate operableunits.

Remedial Investigations/Feasibility Studies

For RI/FS, targets are broken down into four categories:

First RI/FS starts at NPL sites;First RI/FS completions at NPL sites;Subsequent RI/FS starts at NPL sites; andSubsequent RI/FS completions at NPL sites.

All four categories have quarterly SCAP and SPMS targets.SCAP targets are set for each category by lead:

Federal or State;Federal Enforcement (FE); andPotentially responsible party (PRP).

The associated SPMS target for each of the four categoriesis the aggregate of the SCAP targets across all leads. ForSPMS, regions may change the lead for RI/FS starts and stillmeet the SPMS target. Although regions may change activityleads without affecting the SPMS target, care should be takenwhen substituting a Program lead RI/FS for an Enforcement leadproject.

When identifying sites for RI/FS starts, regions mustprovide a schedule and planned obligations for the followingcore activities:

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RI/FS negotiations (1 quarter);

RI/FS (8 quarters);

RD/RA negotiations (2 quarters, beginning 1 quarterprior to RI/FS completion. Negotiation should beginno later than immediately after the public release ofthe final FS. Special notice should also be issued atthat time);

RD (3 quarters); and

RA (10 quarters).

The number of quarters in parentheses following each coreactivity represents the standard timeframe for activityduration. (Note that enforcement related activities havedifferent suggested schedules outlined later in the enforcementsection, p. 29.) In providing core activities, these standardschedules should be used only if more accurate estimates arenot available. Identifying core activities and providingplanned obligation estimates are important due to the impact ofremedial projects, especially RAs, on the outyear budget. Asbetter information becomes available on project costs, dollarestimates, and project schedules, the core activity plansshould be updated.

Planned obligations are entered into the CERCLIS siterecords for RI/FS activities. The regional AOA for RI/FSactivities is the total of the approved site specific plannedobligations in CERCLIS. Although the SCAP process requiresregions to plan on a site specific basis, the AOA is issued ona non-site specific basis and is included in the "otherremedial" portion of the AOA. In other words, the Office ofthe Comptroller issues an AOA amount that covers all RI/FSactivities in the aggregate. Regions may shift funds amongRI/FS projects and other activities funded in the "otherremedial" portion of the AOA without prior HQ approval.

Under certain circumstances, regions may not be able toidentify all the sites necessary to meet quarterly SCAP targetsfor first RI/FS starts. In such cases, regions should enterRI/FS data into "to be determined (TBDs)" site records.CERCLIS provides the ability to set up temporary site recordsas TBDs until the actual site is identified.

Unlike first starts, regions may not use TBDs in planningsubsequent RI/FS starts. When multiple operable units at asite are involved, regions should schedule the subsequentstarts and associated core activities when planning the firstRI/FS start at the site to the maximum extent possible.Subsequent starts should be scheduled even if they are notplanned to begin until after the conclusion of FY88.

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The complete site remedial planning process described aboveserves two purposes. First, regions are responding to theSCAP/SPMS targets for 1988 by selecting appropriate remedialprojects to meet the goals for FY88. Second, regions areproviding outyear planning data to allow for proper allocationof resources through the budget process.

Remedial Design

Remedial Design (RD) activities have planning requirementsthat are similar to RI/FS requirements. Again, four separateactivities are tracked:

First RD starts;Subsequent RD starts;First RD completions; andSubsequent RD completions.

Annual and quarterly SCAP targets are set for RDs prior tothe fiscal year. RDs are planned on a site specific basis.Unlike RI/FS, there are no SPMS targets for RDs. SCAP targetsare set for these activities because they are key components ofthe workload model, play an important role in estimating thebudget, and assist in allocating staff resources.

Regions should ensure that RD project schedules are keptcurrent. Initial schedules for RDs are set when the RI/FSstart is planned at a site. However, these initial schedulesshould be updated in the CERCLIS data base whenever betterplanning data become available.

As with RI/FS, the AOA for Program lead RDs is pulleddirectly from the site specific records in CERCLIS. UnlikeRI/FS, the Office of the Comptroller issues the AOA for designactivities on a site specific basis. In other words, aspecific AOA amount is issued for each RD at a site. This hassignificant implications for limiting regional flexibility inchanging RD related planning data. (See Amendments andAdjustments, p. 36, for more detail on changing SCAP plans.)

Remedial Action

There are five categories for Remedial Action (RA):

First RA starts;Subsequent RA starts;First RA completions;Subsequent RA completions; andFinal RA completion.

First and subsequent RA starts have both quarterly andannual SCAP and SPMS targets set prior to the beginning of the

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fiscal year. Regions must respond to the SCAP/SPMS targets byidentifying RA projects on a site specific basis andassociating planned obligations with these sites. The regionmust also identify the planned completion date and enter thisinformation into the CERCLIS site record. Again, if betterdata are not available, the region should use the standard coreactivity schedule and assume the RA will start in the quarterof RD completion.

RA completions (first, subsequent, and final) havequarterly SCAP targets set prior to the beginning of the fiscalyear. However, the SPMS target counts only sites where all RAconstruction activity is complete. Again, all RA completionsare SCAP targets because of their impact on the workload model,staff allocations, and the budget.

Like RDs, the Comptroller's Office issues the AOA for RAson a site specific basis. Therefore, shifting funds orchanging sites for RAs requires amending the SCAP plan andsubmitting a change request to the Office of the Comptrollerand OSWER.

Regions should note that the planning horizon for RAprojects is longer than other remedial projects. The cost ofRA projects makes it imperative that scheduled start dates andplanned obligations are known well in advance of the beginningof the fiscal year. In essence, dollars associated with RAproject starts are locked-in during budget formulation one andone-half years prior to the beginning of the fiscal year. As aresult, regions should be certain that core activity schedulesare kept current in CERCLIS.

NPL Deletion Initiation

The NPL Deletion Initiation category reflects the number ofNPL sites where all response work has been completed and wherethe deletion package has been submitted to HQ. NPL deletioninitiation is both a SPMS and a SCAP target. NPL deletions arereported on a site specific basis. There is no AOA associatedwith this target.

Expedited Response Actions (ERAs)

ERAs are non-time-critical removal actions at NPL sitesthat are conducted by remedial contractors. ERA starts haveannual and quarterly SCAP targets set prior to the beginning ofthe fiscal year. Because they are removal actions, ERAs are acomponent of the SPMS target for first or subsequent NPLremoval starts. If there has been no previous removal activityat a site, the ERA start is counted toward the SPMS first NPLremoval start target.

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ERA starts are planned site specifically prior to thebeginning of the fiscal year. TBDs may be used if enough sitescannot be identified to meet the target. Funding for ERAs isprovided through the "other remedial" AOA. This is a changefrom previous years; in FY87 the ERA funding was in the removalallowance. The ERA allowance consists of the plannedobligations associated with site specific starts and planneddollars connected with TBDs.

REMOVAL PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

Requirements for the Removal program differ from theRemedial program due to the nature of removal activities. TheRemoval program responds to emergency, time-critical andnon-time-critical situations at NPL and non-NPL sites. Sinceso much of the removal work cannot be anticipated in advance,the planning horizon for these activities is significantlyshorter than for remedial activities. To accommodate theshorter planning horizon, the majority of removal planning isdone only one quarter in advance.

Prior to the fiscal year, each region is given apreliminary annual removal budget, which, in negotiations witheach region, is broken into preliminary amounts for eachquarter. During the quarterly SCAP planning period (seeExhibit II-2, p. 11) a plan for the upcoming quarter isprepared. The plan serves as the basis for issuing the AOA forthe upcoming quarter. A region begins this planning period byidentifying which sites are candidates for removal work in thenext quarter and how much money each action will require. Thisincludes ongoing actions where additional obligations will beneeded. The region then has to decided, in the context of itsremaining budget for the year, how much it can afford to do.Priorities must be set based on the nature of the threat aswell as the consequences for being able to meet SPMS start andcompletion targets. The region must also plan an adequatecontingency for emergency actions.

The region submits, through CERCLIS, its proposed plan toHQ. The plan lists anticipated obligations by identified siteplus a contingency amount. The region also has the discretionto show sites it cannot afford to do. These sites are to bedesignated using the CERCLIS "Alternate" flag. HQ will reviewthis plan and discuss any proposed changes with the region.When both sides reach agreement, the region enters the finalplan into CERCLIS and the AOA is generated.

At any time after the plan for the quarter is approved, theregion has the authority to change it. The change need not beapproved by HQ unless additional funding beyond the AOA will berequired. In this case, the region must submit, through

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CERCLIS, a new proposed plan that will be the basis fordiscussing whether an augmentation to the AOA is appropriateand possible. This proposed plan should be submitted as soonas the new need is identified. Its preparation and generationwill be facilitated if the region has kept its CERCLIS database current and not neglected to enter changes as they occur.HQ believes that except in unusual circumstances, if a regionis making a good faith attempt at its planning, adjustments tothe AOA should not be necessary more than once a quarter, if atall.

There are annual removal SCAP targets for:

First NPL starts;Subsequent NPL starts;First NPL completions;Subsequent NPL completions;First non-NPL starts; andFirst non-NPL completions.

The first four of these targets are also subcomponents of SPMStargets for removal actions (the overall SPMS targets alsoinclude RP and EPA actions). The definitions for theseactivities are contained in Appendix B. In addition, fiveother activities are tracked through SCAP:

Subsequent starts at non-NPL sites;Completions at non-NPL sites;Hazardous substance release notification,Hazardous substance investigations; andOn-scene monitoring of hazardous substance releases.

Each of these activities is an annual SCAP projection measure.The first two have quarterly planning requirements establishedone quarter in advance. The last three have no quarterlyplanning requirements. Accomplishments are reported quarterlyfor each of the activities. It should also be noted that whenplanning for removal activites, TBDs may be used only forsubsequent non-NPL activities and for USCG conducted removals.

ENFORCEMENT PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

The Enforcement ^rogram parallels many of the Program leadpre-remedial, remedi .1, and removal planning requirements withminor differences. In addition, the Enforcement programincludes a number of enforcement specific targets/measures forplanning purposes. Enforcement has pre-remedial planningrequirements associated with:

PRP search at NPL sites;PRP search at non-NPL sites;

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Federal facility PA reviews;Federal facility SSI reviews;Federal facility NPL site additions;RI/FS negotiations; andHRS packages delivered to HQ.

Unlike FY87, regions are required to report both theplanned and actual start and completion date for PRP searches.PRP searches should be initiated (at the latest) about the timea site is proposed for inclusion on the NPL. It should becompleted prior to the start of the RI/FS. This SCAP target isbased on new sites proposed for the NPL. Regions are alsorequired to record associated dates with demand letters,general notice letters, and special notice letters in CERCLIS.

PRP searches at non-NPL sites are similar to the NPLsearches except that there is a SCAP projection measure insteadof a target. Again, the activity is not planned sitespecifically, but accomplishments are reported at the sitelevel in CERCLIS. Funding is through the Case Budget. Regionsare required to plan non-NPL PRP search starts as well as toreport actual starts.

The Federal facility PA review activity is a SCAP reportingmeasure only. There are no annual or quarterly goals set forthis activity. Regions are asked to report accomplishments toHQ by entering data for this activity into the appropriate siterecord in CERCLIS. There is no requirement to plan dollarsthrough SCAP for this activity.

Federal facility SSI reviews have a SCAP projection measureset prior to the fiscal year. The annual SCAP measure isbroken down into quarterly goals. Regions are not required toplan this activity on a site specific basis, nor are plannedobligation estimates necessary. Accomplishments should bereported through CERCLIS.

Federal facility NPL site additions are also a SCAPreporting measure with annual goals but no quarterly breakdown.Site additions are reported but not planned on a site specificbasis in CERCLIS. Again, planned obligations are notassociated with this activity.

Planning requirements for HRS packages delivered to HQ areidentical to those for NPL site additions except that no annualgoals are established. This category is for reporting purposesonly, with accomplishments recorded in the appropriate siterecord.

RI/FS negotiation starts and completions will be SCAPprojection measures in FY88. These negotiations begin with thefirst face-to-face meetings with PRP(s) and conclude with a

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settlement, AOC, UOC, or with a decision to proceed with sitework through the fund. Regions should also record associateddemand letters, general notice letters, special notice letters,referrals, orders, etc.

SCAP/SPMS targets and projection measures are set for RI/FSactivities conducted by responsible parties (RP), Federalenforcement lead (FE), or those that are performed at Federalfacilities. The following RI/FS categories are associated withthe Enforcement program:

First RI/FS starts (FE and RP lead);Subsequent RI/FS starts (FE and RP lead);Federal facility RI/FS starts;First RI/FS completions (FE and RP lead);Subsequent RI/FS completions (FE and RP lead); andFederal facility RI/FS completions.

First RI/FS starts are planned and tracked for bothEnforcement and RP lead projects. Annual and quarterlySCAP/SPMS targets are set prior to the start of the fiscalyear. Separate SCAP targets are set for Enforcement and RP leadRI/FS. The SPMS target is a combination of the separateProgram, Enforcement, and RP targets. It is therefore possibleto fall short of a specific SCAP target while meeting the SPMStarget for this activity. As noted earlier, regions shouldtake care in substituting Program lead RI/FS for FE/RP leadRI/FS due to the substantial impact on the outyear budget.

Planning for first RI/FS starts is done on a site specificbasis prior to the beginning of the fiscal year. If necessary,regions should use TBD sites for planning when actual sites cannot be identified. Planned obligations should be associatedwith each site or TBD reflecting anticipated funding oroversight needs. The Enforcement AOA for this activity is thetotal of the site level dollars and is included in the otherremedial portion of the AOA. The Enforcement AOA is not issuedon a site specific basis.

As with Program lead first RI/FS starts, regions mustprovide a schedule for those sites where an Enforcement managedRI/FS has begun or is planned to begin in the SCAP targetyear. The project schedule should extend through RAcompletion. For planning purposes the lead on RD/RA activitiesshould be assumed to be RP even if the RI/FS lead is FE. Thefollowing are required:

Planned and actual dates for the start and completionof Enforcement managed RI/FS (FE or RP), that areeither ongoing during the operating year or areprojected to start during the target year.

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The planned start and completion dates for RD/RAnegotiations, along with RD/RA schedules and the datesfor relevant community relations activity.

When sites have an anticipated RD/RA settlement, theproject schedule should allow time for all therelevant community relations activities as well as thesettlement referral for concurrence.

For litigation targets, all referrals to HQ for §106,as well as §107 for both removal and remedial costrecovery.

In projecting or updating a schedule, the most current andreliable project schedule is to be used. Only in the absence ofsuch information should standard timelines be used. If thestandard timelines are used, planned dates should be updated assoon as available project information permits. The standardtimeline assumptions for FY88 are:

Activity Quarter

Pre-RI/FS negotiations 2

RI/FS (oversight) 10

RD/RA negotiations (begins 1 2quarter before the end of the RI/FSand extends 1 quarter beyond the RI/FScompletion)

Case development (ends in referral to HQ) 2

§106 Settlement Referrals for concurrence 3(time at DOJ)

Litigation (ongoing cases referred to DOJuntil conclusion) 12

RD (oversight) 3

RA (oversight) 8

Activities related to multiple operable units at a sitemust be independently planned and tracked. Regions willdevelop their Case Budget through the site specific andnon-site specific data in CERCLIS (See Case Budget section,p. 45, for further discussion.)

Subsequent RI/FS starts are planned and tracked for FE andRP lead projects. Subsequent starts have separate SCAP targetsand an aggregate SPMS target, as do first starts. Annual and

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quarterly targets are set prior to the fiscal year. Allsubsequent RI/FS starts are planned site specifically; TBDs maynot be used for this category. Planned obligations for FE leadRI/FS should be included in the appropriate site record so thatthe AOA for this activity is the total of the site specificplans. Regions are responsible for planning the subsequentRI/FS starts concurrently with the first RI/FS start at a siteto the maximum extent possible.

Enforcement also has oversight and review responsibilityfor Federal facility RI/FS starts. This is a SCAP projectionand SPMS reporting measure with both annual and quarterly goalsset prior to the year. It is planned on a site specificbasis. Obligations will be provided only for sites where anIAG has been established between EPA and a Federal entity.Accomplishments are recorded in the appropriate site record inCERCLIS.

First (and subsequent) RI/FS completions are defined as thenumber of RP or FE lead sites that will have a first (orsubsequent) completed RI/FS as determined by the EnforcementROD signature date by the Regional Administrator or AA.Planning requirements for these two activities are identical toRI/FS starts except that there are no associated plannedobligations. If support is required for an ROD, it should beplanned with the associated RI/FS.

Federal facility RI/FS completions are also planned andtracked through SCAP. There are both annual and quarterly SCAPprojection measures set prior to the fiscal year. Thisactivity is planned on a site specific basis. Again, no dollarsare associated with completions.

Enforcement and RP lead RD projects are included in theSCAP planning process and are essentially identical to theProgram lead planning requirements. There are ten categoriesfor RD projects:

RD/RA negotiation starts;RD/RA negotiation completions;RP lead first RD starts;RP lead subsequent RD starts;FE lead RD starts;FE lead RD completions;Federal facility RD starts;RP lead first RD completions;RP lead subsequent RD completions; andFederal facility RD completions.

As with RI/FS negotiations, regions have to report RD/RAnegotiation planned and actual starts and completions. AnRD/RA negotiation start is a SCAP projection measure while

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conclusion of RD/RA negotiations is a combined SCAP/SPMStarget. This target is based on HQ/regional SPMS negotiationsheld in September 1987. Regions are also to report general andspecial notice letters associated with RD/RA negotiations. Thespecial notice of RD/RA negotiations should be issued with therelease of the final FS to the public. If RD/RA negotiationshave not begun prior to this time, they should begin soon afterthe release of the FS.

Both first and subsequent RD starts with RP leads are SCAPtargets. The targets are set prior to the fiscal year and arebroken down by quarter. RD starts are planned on a sitespecific basis and should be scheduled initially at the time ofthe first RI/FS start at a site. Regions should plan foroversight at sites with an RP lead RD and request the fundswith the RD event.

Regions have the opportunity to fund RD projects at siteswhere negotiations are unsuccessful (Enforcement lead RDs).Nationally there are approximately 10 such projects availablein FY88. These projects should be kept in mind during RD/RAnegotiations — RPs should be informed that EPA is willing toproceed with RD/RA work and pursue cost recovery. Regionsidentified possible candidate sites for these Enforcement leadRDs in their October SCAP, but they are not limited to thislist. These events are to be counted toward Program lead RDtargets for SCAP purposes. Planning should be done sitespecifically along with funding requirements.

The Federal facility RD starts activity has annual andquarterly SCAP projection and SPMS measures set prior to thefiscal year. They are planned site specifically andaccomplishments are reported in the appropriate CERCLIS siterecord. Regions will receive oversight dollars only for thosesites with an IAG.

RP lead design completions are planned in conjunction withthe design starts. Planning requirements exactly follow thosefor RD starts.

The RA category has seven associated activities including:

RP lead first RA starts;RP lead subsequent RA starts;Federal facility RA starts;Federal facility RA completions;RP lead first RA completions;RP lead subsequent RA completions; andRP lead final RA completions.

With the exception of the Federal facility activity, all RAplanning requirements are identical. RP lead RA projects have

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OSWER Directive 9200.3-lA

SCAP and SPMS targets set prior to the fiscal year (thoughsubsequent RA completions have SCAP targets only). Targets arebroken down on a quarterly basis. Regions must identify sitesto meet all RA targets. Planning is site specific and isinitiated at the point of the first RI/FS start at a site. Thefinal RA completion is a SPMS target and represents the lastactivity at a site prior to deletion from the NPL. Again,since these are RP lead activities, regions should plan for RAoversight obligations.

Federal facility RA starts are SCAP projection and SPMSreporting measures that are planned site specifically prior tothe fiscal year. Regions are responsible for identifyingFederal facilities for RA starts on a quarterly basis to meetthe SCAP/SPMS measures.

A new remedial activity SCAP target has been added forFY88, Interagency Agreements established for RI/FS, RDs, andRAs. This activity is planned and reported site specifically,and quarterly and annual targets are established prior to thefiscal year.

The final remedial activity from the enforcementperspective is NPL deletion initiation. Again, both SCAP andSPMS targets are set prior to the fiscal year. Deletioninitiation is planned on a site specific basis andaccomplishments are reported through CERCLIS site records.

Like the remedial area, the Enforcement program has anumber of removal activities that parallel the Program leadactivities. There are four removal start activities with an RPlead, including:

First NPL removal starts;Subsequent NPL removal starts;First non-NPL removal starts; andSubsequent non-NPL removal starts.

Planning for first removal starts begins with the settingof SCAP and SPMS targets prior to the beginning of the fiscalyear. The annual SCAP target is separate for RP lead projects,but the SPMS target consists of three components: Fund leadfirst removals, ERAs, and RP lead first removals. QuarterlySCAP targets are set prior to the planned quarter; there are noquarterly SPMS targets.

Activity planning is site specific, but sites for first NPLremoval starts are selected only one quarter in advance. Inother words, sites for second quarter removal activity areselected in the first quarter of the fiscal year. Again, sincethis is an RP lead activity no ADA funds are associated withthe activity.

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Subsequent NPL removal starts are identical in theirplanning requirements to first starts.

First non-NPL removal starts with an RP lead differ fromfirst NPL starts only in SPMS coverage. There are no SPMStargets or measures for this category; it is a SCAP targetonly. Subsequent non-NPL removal starts have a SCAP projectionmeasure only.

Associated with each of the removal start categories is anRP lead removal completion activity. Annual and quarterly SCAPtargets are set for first and subsequent NPL removalcompletions. Quarterly targets are set prior to the quarter.These two activities also have annual SPMS targets. Non-NPLfirst and subsequent completions do not have annual SPMStargets. First non-NPL completions have annual and quarterlySCAP targets. Subsequent completions are SCAP projectionmeasures only. All accomplishments for completions arereported through the CERCLIS site records.

The Enforcement program also has a number of enforcementspecific activities that are planned and tracked through theSCAP and SPMS system. There are six such activities,including:

Cost recovery cases referred to HQ (> $200K);Administrative cost recovery settlements (< $200K);§106 case resolution/trial;§107 case resolution/trial;§106 RD/RA referrals without settlement; andAdministrative order for removal actions.

Planning requirements for §107 cost recovery referrals(> $200K) and administrative cost recovery settlements(< $200K) are identical. For both NPL and non-NPL sites, SCAPand SPMS annual targets are established. These targets arebroken down by quarter for both SCAP and SPMS prior to thefiscal year. Planning for these activities is done on a sitespecific basis. For referrals, regions have to report plannedand actual starts while for administrative settlements regionsmust plan these as completions. Regions should ensure thatadequate funding is provided through the Case Budget for theseactivities (especially for ongoing litigation).

The §106 case resolution/trial activity is a SCAP/SPMStarget with both annual and quarterly goals set prior to thefiscal year. Regions are required to plan this activity on asite specific basis. Site planning is done prior to the fiscalyear in response to the targets. Accomplishments are recordedin the CERCLIS site record. Funding for this activity isprovided through the Case Budget. Regions should ensure thatadequate funding is provided (especially for ongoinglitigation).

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OSWER Directive

The §107 case resolution/trial activity is planned in thesame manner as the §106 activity.

§106 RD/RA referrals without settlements have a SCAP targetonly, without an accompanying SPMS target or measure. Targetsfor this activity are set annually with a quarterly breakdownprior to the fiscal year. Regions must plan this activity sitespecifically, but TBDs may be used if specific sites can not beidentified to meet all targets. Again, this is an item includedin HQ's Case Budget. Accomplishments are reported sitespecifically.

State Enforcement

Regions are required to track response progress at Statelead sites. This universe includes State Enforcement (SE)leads where there is a cooperative agreement with the State andState/RP (SR) lead sites where RPs are responding to a State(non-CERCLA) order, decree or agreement and no Fund dollars oroversight are involved. Regions should report on the "SE"sites as they would Enforcement or RP lead sites (i.e.,events/activities for RP search through deletion). Theseactivities will not count towards any target in FY88; howeverthey will count towards the 175 RA start target required bySARA. While it is recognized that information at "SR" leadsites is difficult to obtain, regions are requested to reportthrough CERCLIS any information they have on these sites.Additional guidance on State Enforcement leadreporting/oversight requirements will be provided in the springof FY88. Regions should review the June 6, 1987 memorandumfrom Lloyd Guerci, Director, CERCLA Enforcement Division, onTracking State Enforcement Activities at NPL sites foradditional information about reporting requirements for SE leadsites.

COMMUNITY RELATIONS PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

The Community Relations program is designed to ensure localcommunity input into the planning process for remedialactivities at sites. The Community Relations plan coversactivities at a site from first RI/FS starts through deletion.For FY88 SCAP purposes, one activity is planned and tracked inthis program area: community relations plan implementationstarts (CR starts).

The CR start activity is a SCAP projection measure only;there are no associated SPMS targets or measures. The SCAPmeasure is annual with no quarterly breakdown. The CR startmust be planned concurrently with the RI/FS start at a site.If the RI/FS start is a TBD, then a CR plan should beassociated with the same TBD record. Planned obligations

-34-


should be included with the site or TBD record in CERCLIS. TheAOA for CR starts is the total of the site and TBD planneddollars and is part of the "other remedial" portion of theAOA. Accomplishments should be reported in the appropriatesite record.

MISCELLANEOUS PROGRAM PLANNING REQUIREMENTS AND PROCEDURES

There are three miscellaneous activities that are plannedand tracked through the SCAP process. These include:

SPCC inspections/reviews;CWA funded clean-ups of oil spills; andOn-scene monitoring of responses to oil spills.

All three activities are annual SCAP projection measures.They are planned on a non-site specific basis and do notrequire regions to plan obligations. Accomplishments arereported in the aggregate, not at the site level.

PROJECT SUPPORT

The project support functions in this category includeTechnical Assistance Grants, Core Grants, geophysical support,topographical mapping, management, design, and technicalassistance. For geophysical support and topographical mapping,planning is done on a non-site specific basis with twoexceptions. Projects major in scope (over $50K), or fundeddirectly by the regions through lAGs or Cooperative Agreements,must be planned and entered into the CERCLIS data base on asite specific basis. In all other cases, these two supportactivities are non-site specific. That is, each region will beasked to identify the number of sites where these activitieswill take place, but individual sites will not be identified.Absent other information, regions should assume a funding levelof $10K/site. Funding for these two activities is the sum ofthe site specific data plus the non-site totals.

Planning Technical Assistance Grants, management, design,and technical assistance is done on a site specific basis. Forthe Technical Assistance Grants program, regions should assumeplanned funding levels of $50K/site when more accurateestimates are not available. Planned obligations for theseactivities are entered into the associated site records withinCERCLIS.

The final project support function, the Core Grantsprogram, is planned on a non-site specific basis. Regionsshould assume funding levels of $250K/State. All projectsupport activities (Technical Assistance Grants, Core Grants,

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geophysical support, topographical mapping, management, design,and technical assistance), whether planned for site or non-sitespecifically, are included in the "other remedial" or non-sitespecific portion of the AOA.

3. SCAP ADJUSTMENTS/AMENDMENTS

After targets have been finalized and planned fundinglevels developed, the SCAP process provides the flexibility tomodify plans during a quarter. Modifications to plannedtargets are termed either adjustments or amendments.Adjustments are revisions in plans that meet all of thefollowing criteria:

The revision does not result in a change in quarterlySPMS commitments;

The revision does not result in a change in annualSCAP targets; and

The revision does not cause the region to exceed thequarterly AOA.

For example, a one-for-one substitution of a first RI/FS start(i.e., changing sites) would qualify as an adjustment. If anadjustment has any effect on a target, even if it does notchange the overall number (e.g., site substitution) amemorandum must be sent to HQ notifying this change.Adjustments should also be reflected in CERCLIS by updating thedata base on an ongoing basis.

Amendments are any other changes in SCAP targets thatviolate one or more of the above criteria. In other words, ifthe revision causes a change in a quarterly SPMS target, annualSCAP target, or would result in the region exceeding the AOA,it is an amendment to the SCAP. For example, a change in thesite for an RD project is an amendment because RDs are plannedand the AOA is issued on a site specific basis. The new sitesubstituted for the RD project would not have an associated AOAamount.

The distinction between adjustments and amendments isimportant because only amendments require HQ concurrence. Theprocess described below must be followed when amending SCAPplans.

AMENDMENTS THAT AFFECT THE AOA

Amendments to SCAP plans that affect the AOA are processedthrough the Office of the Comptroller and OSWER using a change

-36-


request. The following procedure for handling change requestsshould be used:

The region should first contact the appropriate HQprogram office (removal/remedial) to discuss theplanned change.

The program office (removal/remedial) will determinethe urgency of the request and notify FAMS of thepending request.

After verbal approval from the program office, theregion prepares a formal change request (EPA 2410-20)and sends copies via facsimile to the Superfund BranchChief, HQ Budget Division; and to the Budget Analyst,AA/SWER.

After receipt in OSWER, the change request isforwarded to OERR for review and concurrence.

After OERR/OSWER concurrence, the approved changerequest is forwarded to the Office of the Comptrollerfor execution.

The Office of the Comptroller sends a confirmationnotice to the region.

Although regional change requests should be entered intoCERCLIS immediately after they are requested from the region,the region should not initiate any obligations against thechange until actual confirmation is received from the Office ofthe Comptroller. Regions are responsible for keeping therelevant officials informed of change requests, including theRegional Financial Office and IMC.

AMENDMENTS THAT DO NOT AFFECT THE AOA

Amendments to annual SCAP targets or quarterly SPMS targetsor measures that do not affect the AOA require a memorandumfrom the Regional Director to the HQ OSWER Office Directorexplaining the reason for the change. This memorandum isrequired regardless of when the amendment occurs (i.e., duringthe update cycle or mid-quarter). Amendments to annual SCAP orquarterly SPMS targets should be recorded in CERCLIS after theregion issues the change request or memorandum to the OSWERDirector.

4. OEKR FINANCIAL PLANNING AND MANAGEMENT

This section describes the financial planning andmanagement procedures for OERR, focusing on changes in

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financial management procedures which will result from CERCLISimplementation. Exhibit 11-5, p. 39, depicts the financialdata flow for the OERR Remedial and Removal programs. Theflowchart indicates the interrelationship of the IntegratedSCAP planning process, FMS, and CERCLIS. The primary focus ofthe following discussion is the impact of this SCAP process onthe regional AOA. The negotiation, target setting, and SCAPmanagement procedures are discussed in separate sections.

Extramural response funds will be allocated to the regionsbased on SCAP. The planned obligations included in the fourthquarter SCAP update (developed in July-August) determine theinitial allocation of funds, by quarter, to the regions for theupcoming fiscal year. The actual allocation of funds is donethrough the Agency's Phase III Operating Plan. This plan issubmitted to OMB in mid-September for apportionment of funds.After OMB review and concurrence, the Operating Plan issubmitted to the Congress for approval of significantre-programming of funds. It includes necessary revisions toPhase II and additional details not addressed in previousoperating plans (e.g., quarterly distribution of all resources,contract plans, ADP timeshare).

THE ADVICE OF ALLOWANCE (AOA) PROCESS

The Office of the Comptroller issues the quarterly AOAusually on the first working day of each quarter. The AOA isbased on the Phase III Operating Plan which identifiesprojected obligations for each quarter of the fiscal year. ThePhase III Operating Plan for FY88 is based on the final SCAPplans developed in the fourth quarter of FY87. Funds availablefor obligation, however, are limited to projected needs for theupcoming quarter. AOAs for regional response activities arebased on the planned obligations contained in the CERCLIS database three weeks prior to the start of each quarter. BFSforwards the planned obligation totals for regional responseactivities to FAMS. After review, FAMS sends the AOA requestto the Assistant Administrator (AA)/SWER. From the AA'sOffice, the AOA request is forwarded to the Office of theComptroller at HQ where the AOA is prepared and sent to theRegional Financial Officer. HQ will enter the final AOA intothe non-site specific portion of the data base. If necessary,revised AOAs are issued based on the final SCAP approved forthe quarter.

SCAT'S RELATIONSHIP TO THE ADVICE OF ALLOWANCE

The SCAP process is the planning mechanism used by theSuperfund program to identify funding needs for the fiscalyear. The planned obligations identified through the SCAP

-38-

FMS

Exhibit II-5

NEGOTIATE TARGETS ANDFUNDING LEVELS

ISSUE ADVICE OF ALLOWANCE

FINALIZE REGIONAL SCAP

PREPARE FUNDING DOCUMENT(E.G. AG GRANTS)

DETERMINE AVAILABILITYOF FUNDS

ASSIGN DCNAND ACCT #


SUPERFUNDFINANCIALDATA FLOW

APPEND DCN ANDACCT # TO OPERABLE

UNIT AND EVENT

ENTER COMMITMENTS• REQUIRED FOR FMS• OPTIONAL FOR CERCLIS

CERCLIS

REPORTS

• F I N A N C I A LS U M M A R Y

• M A I N T E N A N C E• O T H E R

I

•[DATA T R A N S F E R : COMMITMENTS

TACHIEVE FINAL APPROVAL OF

FUNDING DOCUMENT ANDOBLIGATE DOLLARS

IENTER OBLIGATIONS AND DAT!• REQUIRED FOR FMS• IF FMS LAGS REQUIRED

FOR CERCLIS

1DATA TRANSFER: OBLIGATIONS

IAPPROVE AND SIGN INVOICE

I ~ENTER OUTLAYS

• REQUIRED FOR FMS• OPTIONAL FOR CERCLIS

1 ,, DATA TRANSFER: OUTLAYS l

1

-39-

OSWER Dir«CtlV«r9200.3-lA

process are the basis for the AOA issued by the Office of theComptroller. Within the SCAP process, obligations are plannedeither site or non-site specifically. That is, some plannedobligations are associated with a specific site, while otherplanned obligations are estimates of total funding required foran activity within a region. Similarly, some of the funds madeavailable through the issuance of the AOA are designated foruse at specific sites while other AOA funds are aggregatedollar amounts without associated sites.

The AOA issued by the Office of the Comptroller is brokendown into the following categories:

Site allowance;

Remedial Design (site specific); andRemedial Action (site specific);

Other remedial ("regular" or "0" allowance); and

Removal ("A" allowance).

Regions are required to manage the funds issued in the AOA. HQapproval is not needed to shift funds between projects in the"other remedial" portion of the AOA. HQ approval is requiredfor changes to the RD and RA (site specific) allowance. Thisincludes any allowance changes, including RD or RA changes, ordeleting or adding funds to the allowance.

The CERCLIS data base has been designed to accommodate siteand non-site specific planning. Planned obligation data willbe used to develop the regional AOA for submission to theOffice of the Comptroller. CERCLIS will aggregate plannedobligation data and a report can be generated to allowcomparison of planned obligations with the region's officialAOA.

Within CERCLIS, site specific planned obligations will beentered directly into the appropriate event record for thesite. Where a site cannot be identified, CERCLIS has thecapacity to allow the regions to enter planned obligationsusing a set of pseudo EPA identification numbers. Each regionhas been provided 100 pseudo ID's for use in such cases. Forexample, RI/FS are planned site specifically, but it may not bepossible to identify all of the actual sites where RI/FSactivities will begin in the planned quarter. The plannedobligations for RI/FS, where an actual site cannot beidentified, are entered using pseudo ID's. For AOA purposes,CERCLIS will automatically aggregate the site specific plannedobligations including the dollars planned using the pseudoID's. For obligations that are not planned on a site-specificbasis (e.g., PA/SIs), a provision has been made to enter total

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funding levels into a non-site record in the CERCLISNon-Site/Incident Data Base. This portion of CERCLIS ismaintained by HQ and was constructed to handle reporting onactivities that are planned and/or tracked on a non-sitespecific basis. Planned obligation totals contained in thisarea of the data base will be provided for CERCLIS AOA reportgeneration.

Also included in the Non-Site/Incident Database is an AOAdata file that contains the Comptroller-approved AOA (includingapproved amendments to the AOA). HQ will enter the officialAOA numbers into this data file. The data file will allowregions to compare their aggregate planned obligations providedon the AOA report with the HQ version of the "official AOA."If discrepancies between the two occur, regions must initiatecontacts with the appropriate program office and the Office ofProgram Management to determine the reason for the variance.If the discrepancy is due to a change in the region's plansthat affects the AOA, the region must initiate the amendmentprocedure by issuing a change request form.

FINANCIAL DATA FLOW AFTER AOA ISSUANCE

The remainder of Exhibit II-5 indicates the process inwhich the regions make commitments, obligate funds, and outlaydollars after CERCLIS implementation. It portrays theprocedure to follow in establishing the necessary links betweenEMS and CERCLIS so that data can be transferred from EMS.These processes and procedures are described briefly below.

Preparing Funding Documents

Preparation of a funding document is the first step in theprocess of committing and obligating funds made availablethrough the AOA. This funding document may use a variety ofcontractual vehicles including lAGs, Cooperative Agreements(CAs), or contracts. It is initially prepared by the programoffice responsible for the funded event. A single fundingdocument may contain multiple events, but each event must showa separate funding level. The funding document must beprepared in a manner that will allow the assignment of a uniqueAccount Number (AN) for each event and a unique DocumentControl Number (DCN) for each obligation made for that eventlisted on the document. Listing several events on one documentwith only a bottom line funding level will be unacceptableunder CERCLIS because funding obligations are tracked at theevent level.

The regional Financial Management Officer (FMO) or designeereviews the funding document to determine if sufficient fundsare available in the AOA to cover the commitment. If funds are

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available, the FMO assigns the AN, DCN, and other pertinentdata, and enters the commitment transaction into FMS. Again,if multiple events are listed on the funding document, a uniqueAN/DCN combination must be assigned to each event.

A key step in the handling of funding documents is theassignment of operable unit and event codes by the IMC ordesignee. These two items are the first step in establishingthe financial transaction link between FMS and CERCLIS. Sinceassigning operable unit and event codes is such a key step inthe CERCLIS process, the regional IMC must be included in thesign-off process for all funding documents.

Under normal operating conditions, CERCLIS will alreadycontain certain planning information related to the event(s)listed on the funding document. During the SCAP process, theregion will have identified sites for various planned eventsand entered the EPA ID, Operable Unit (OU), and event codes(into CERCLIS). For some unanticipated events (e.g. emergencyremovals), the funding document may be the first notificationto the IMC of a pending event at a particular site. Therefore,EPA ID, OU, and event codes will not exist within CERCLIS.Depending on whether the event on the funding document wasplanned or unanticipated, some or all of the following datamust be entered into CERCLIS:

EPA ID;*Operable Unit;*Event;*Account Number; andDocument Control Number.

* These items must be entered if the event was not previouslyplanned and entered into CERCLIS.

These data need to be recorded and entered into CERCLIS inorder to link FMS financial records with CERCLIS. The IMC mustensure that each unique pair of AN and DCN related to aspecific event is entered into CERCLIS. At this time, certaindata are optional for entry into CERCLIS by the regions. Theseinclude commitment/obligation date and amount, financial type,contract/vehicle, and contractor name.

Beginning April l, 1988, an automated transfer of financialdata will take place from FMS to CERCLIS each week. During thetransfer, an automated matching process will occur linking theFMS AN/DCN with the identical unique pair in CERCLIS. If thenecessary financial information has not been entered intoCERCLIS, the FMS/CERCLIS link will not be established and,therefore, the automated transfer process will be unable totransfer the transaction data associated with the particular

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AN/DCN pair. In cases where the link cannot be established,CERCLIS will generate an error report noting the problem areas.

Once the funding document has been approved within aregion, it is sent to the appropriate parties for finalapproval and obligation of the dollar amount. Contracts areexecuted and dollars obligated on the date the HQ ContractsOfficer signs the document. At that point, the region canenter the obligation date and amount into CERCLIS. CAs areexecuted and dollars obligated when the CA is signed by theRegional Administrator. Funds are obligated for lAGs whenthese agreements are signed by the other participating agency.

It is important for the regions to note that they areultimately responsible for the accuracy of the CERCLIS database. Regions will have to ensure that both the planned dataentered as part of the SCAP process and the actual datatransferred from FMS are accurate and current. FMS is theAgency's official source of financial data. Therefore, datatransferred from FMS will overwrite data entered by the region(i.e., commitment and obligation dates/amounts). A weeklyexception report can be generated by the region to aid inidentifying errors or differences between FMS and CERCLIS.Errors that have been carried over from FMS must be correctedin both FMS and CERCLIS. The regional IMC or designee shouldcoordinate with the Regional Financial Officer so that theappropriate changes are made in FMS.

FMS TO CERCLIS FINANCIAL DATA TRANSFER SCENARIOS

Provided below are three possible scenarios resulting fromthe FMS to CERCLIS weekly transfer of financial data. They arepresented here to help regions anticipate data transfer errorsand develop reconciliation procedures to handle problems indata quality. In reviewing the three scenarios, regions shouldkeep in mind that the linking process (FMS to CERCLIS) is basedon matching unique AN/DCN combinations. Within CERCLIS, uniqueAN/DCN combinations are associated with a specific obligationfor a specific event (activity) at a site and operable unit.

In the first scenario, a match is made between a unique FMSAN/DCN combination and CERCLIS. The event record in CERCLIScontained no other financial data prior to the transfer (e.g.financial type, date, amount, etc.). In other words, theregion is relying on the FMS transfer to update CERCLISfinancial data and, therefore, has entered only the minimumnecessary data for linking FMS/CERCLIS. After the transfer, thefollowing will occur within CERCLIS:

The FMS transaction record is transferred andassociated with an event in CERCLIS;

-43-


An indicator or "flag" in CERCLIS will be activatedwith a value of F to indicate the data are from theofficial FMS source; and

A weekly transaction report is produced that lists alldata that have been transferred from FMS and a list ofall ACN/DCN non-matches.

Regions must compare the weekly transaction report withsource documents (e.g., document control register, fundingdocument) to determine if there are any discrepancies in thetransferred data. If no differences are apparent, no furtheraction will be required.

If an error is identified, the region must initiateprocedures to change the data brought over from FMS. Since FMSis the official source of financial data, the region will be"locked-out" of the transaction record in CERCLIS. Therefore,a change must be made in the FMS data. At a minimum, thefollowing steps are necessary:

The IMC must contact the regional FMO with adescription of the error and supporting documentation;

The FMO must contact the FMS Data Administrator toexplain the need for revisions to FMS; and

The regional FMO must prepare the necessarydocumentation to support the FMS change process.

Changes to the CERCLIS data base will occur when a subsequentFMS weekly download contains the corrected data.

The second scenario involves the transfer of data whereboth FMS and CERCLIS contain a complete transaction record.That is, the region has entered into CERCLIS all the actualdata associated with a commitment or obligation. If the FMSand CERCLIS records match exactly, the net result will be achange in the record flag from "C" (CERCLIS regional dataentry) to "F" indicating the data are from the official FMSsource.

On the other hand, if both FMS and CERCLIS contain the sameAN/DCN pair, but some other piece of financial data differs(e.g., obligation amount), the following will result:

FMS data will overlay or replace the region's entryinto CERCLIS;

The flag will change from "C" to "E" indicating anerror in the data transfer; and

-44-


An edit report will be produced identifying alltransaction records where the "E" flag occurs andshowing which financial information differed.

Again, regions will be responsible for determining whetherFMS or CERCLIS is the source of the incorrect data. If theincorrect source is CERCLIS, the corrected data should bereentered into CERCLIS. The next FMS transfer will change theflag to "F." If the incorrect source is FMS, the region mustinitiate the FMS change process described above.

The final scenario results when the automated transfer of atransaction cannot occur because a match for the AN/DCNcombination cannot be found in CERCLIS. This may result fromimproperly coded data, lack of AN/DCN in CERCLIS, or data entryerrors.

When the FMS/CERCLIS link cannot be established for atransaction, the edit report will indicate that no "home" wasfound for the data. The region must then identify the cause ofthe error using the source documents for the transaction. Oncethe error is identified, the region must enter the correctinformation into CERCLIS or initiate the FMS change process.

In addition to protecting the integrity of CERCLIS data,reconciliation of CERCLIS to FMS is necessary for SCAP/SPMSaccomplishment reporting. Only data flagged "F" for FMS or "C"for regional CERCLIS entry will be counted toward SPMS goals.Therefore, regions must be sure that data errors are correctedas quickly as possible, so that data with an "E" flag inCERCLIS are changed to "F."

As discussed earlier, regions do not have the option toenter outlay data into the CERCLIS data base. Outlay data areentered into FMS when invoices have been approved, signed, andpaid. These data will be transferred from FMS as part of theweekly update. Like commitment/obligation data, regions areresponsible for QA/QC of outlay data.

5. OWPE CASE BUDGET PROCESS

This section describes the financial planning allocationsand management procedures for OWPE including delegations andCERCLIS integration for FY88. Exhibit II-6, p. 47, shows theinteraction between the regional and HQ responsibilities forCase Budget data flow.

Extramural Case Budget funds will be allocated to theregions based on the targets and measures listed in CERCLIS.Each activity has a pricing factor from the budget process thatwas utilized during the allocation process. Some activities

-45-


are fully funded (PRP Search, Negotiations, Removal Oversight(O/S), Long-term response (LTR), 107 Administrative) and someactivities are quarterly funded (RI/FS O/S, RD O/S, RA O/S,§106 Litigation, §107 Litigation). Other priority activitiesare added to this calculation (administrative record, Federalfacility NPL listing support, and State ManagementAssistance). The region's SCAP request for Case Budget dollarsshould be equal to or less than the allocation dollars.Adjustments may still be made by HQ on dollars approved perproject and contract mechanisms. Allocations will be reviewedand adjusted quarterly based on changing targets.

DELEGATION

The functions in FY88 being delegated are fiscalresponsibility and contract management. Under fiscaldelegation, regions will be responsible for obligating fundsfor all actions except TES 3 and TES 4. This includesmechanisms such as CAs and contracts (e.g., small purchases,ARCS, regional contracts, new TES contracts, and REM) . Theregion must request a quarterly AOA from OWPE by the 10th ofthe month previous to the start of the quarter for all contractmechanisms other than TES 3 and TES 4. These requests shouldcoincide with the contract mechanism and dollars indicated onthe SCAP/CERCLIS. A quarter's AOA will be subject to fundsremaining in the regional AOA.

The region will be responsible for entering obligationsinto CERCLIS for all actions exept TES 3 and TES 4. HQ willenter TES 3 and TES 4 actual work assignments issued into theobligation column in CERCLIS. All regional transactions shouldbe entered by the 7th of the following month. The regions areresponsible for verifying the information in FMS and CERCLISfor the transactions they obligate/deobligate or outlaysincurred.

The CERCLIS data base has been designed to accommodate siteand non-site specific planning and obligations. WithinCERCLIS, the site-specific planned obligation will be entereddirectly into the appropriate Event or Enforcement activityrecord for the site. For non-site specific activities theregion must enter the number of sites involved and the contractmechanism. This will be used to determine if the dollarsexceed the budget pricing factor and capacity allocation.

If a regional obligation is made and is not going to beexpended in that year, the funds can be deobligated and willrevert back to that region's AOA. If the deobligation occursafter the fiscal year, the region should request those fundsback from the Office of the Comptroller. The reallocation ofthese funds usually involves carry-over funds. It does takeadditional time for a determination if the funds will be given

-46-

EXHIBIT II-6

CASE BUDGET DATA FLOW


REGIONALRESPONSIBILITIES

HEADQUARTERSRESPONSIBILITIES

ALLOCATIONSTO RECKONS

SCAPCASE BUDGETREQUEST

(3)

REQUEST FORNON-TES ADVICEOF ALLOWANCE

(5) ENTER "APR"FOR DOLLARS

WTTMN ALLOCATION, |"ALT FOR ALL

OTHER DOLLARS

ENTRY OFNON-TES

OBUOATONB(CJta.

E

R

C

L

I

S

(4) REVIEW OFREGIONALREQUEST;POSSIBLE

ADJUSTMENT TODOLLARS AND/OR

CONTRACTMECHAMSM

(7) UPLOAD OF TES3ANOTES4

WORKASSIGNMENTS

ISSUED

-47-


back to the original source. Efforts should be made todeobligate funds, if necessary, within the same fiscal year.

To assist in this process, the following information shouldappear on obligating documents: EPA IDtt, site spill IDtt,CERCLIS Event or Enforcement activity codes and operableunit tt, Work Assignment tt, and dollars. A cross walk isprovided in Exhibit I1-7, p. 54, showing how CERCLISEnforcement Activities and Remedies used to be coded in SCAP.Note that the old SCAP codes are obsolete, and many CERCLISRemedies have no activity link in SCAP. Account numbers mustbe established for each transaction before commitment andobligation. A CA is considered obligated when it is signed bythe Regional Adninistrator. An IAG is considered obligatedwhen it is signed by the other agency. Contracts areconsidered obligated when the Contracting Officer signs theobligating document. Regions are also responsible forreviewing and recommending payment of the invoice/voucher(outlays) for these mechanisms. Once invoices are paid, thesedollars are entered into FMS. If the obligation was genericand the invoice is site specific, EMS shows the fundsdeobligated from the generic account and obligated anddisbursed from the site specific account. The regions shouldverify that the outlay data is correctly downloaded from FMSinto the correct place in CERCLIS. OWPE will phase in thecapability to interface with FMS, making this process easier toimplement.

CONTRACT MANAGEMENT DELEGATION

For TES 3 and TES 4, Project Officer approval authority forWork Assignments is being delegated to the regional projectofficers in the regions. With respect to the SCAP process,this involves three items. First, the regions will beresponsible for assuming that all forms are completed withsufficient information to track the transaction in CERCLIS.The Work Assignment form has been revised to include spaces forEPA IDtt, Site spill IDtt, Event and Enforcement activity codes,and operable unit tt. The work assignments issued for TES 3 andTES 4 will be entered into the obligation column by HQ.CERCLIS may be adjusted later to allow the regions to enterthis data as committed for their own use.

Secondly, the regions will be given a capacity allocationfor TES 3 and TES 4. Decisions must be made within the regionson which projects should be completed by TES 3 and TES 4without exceeding their allocation. Any changes must also bemade in CERCLIS. The other change in TES 3 and 4 managementinvolves assigning Work Assignment numbers. The numbers willbe regionally oriented and will be issued by the regions whenthe work assignment is originated. These numbers are criticalin matching obligations and outlays.

-48-


Regions should use the new "TES" contracts for fourthquarter activities and use ARCS, lAGs, or CA for RD/RAoversight whenever possible. Activities should be listed sitespecifically in CERCLIS/SCAP to the extent possible.

BUDGET PRICING FACTORS

Administrative Records

Enforcement Case Budget funds are used for any RP leadactivity. All new start or ongoing Federal, FE, or State andSE lead projects should be funded by OERR through the RI/FS orremoval funding. Administrative records for sites that are notongoing RI/FS or removals for which the administrative recordshave not yet been compiled and are needed to support §106unilateral orders or §107 referrals will be funded by theEnforcement Case Budget in FY88. Any dollars needed forcompletion on ongoing administrative records compilation willalso be found by Case Budget within the regional allocation.For any sites funded through Case Budget, the mechanism neededshould be designated on the SCAP (i.e., TES 3, 4, 8(a) minoritycontracts, CAs). In addition, regions may use funds to coverthe costs of establishing records management systems throughthe Enforcement portion of SCAP only. These funds would becounted against the Enforcement Case Budget regionalallowance. OWPE administrative record funds, for other than RPlead RI/FS starts, should be listed on the non-site specificportion of CERCLIS.

PRP Search/NBAR

These two line items are meant to capture the notice lettersupport, financial assessment, records compilation, titlesearch, de minimis, determination, and NEAR allocations. ThePRP search for remedial activities is budgeted at $50K. ThePRP searches for large removals are estimated to cost $13K;however, for small removals when the owner or operator is knownor cost recovery is not expected, the PRP search dollars may becloser to $1.3K.

The CERCLIS Enforcement Activity Code 'RP' should be usedfor removal searches. Enforcement Activity Code 'NS1 should beused for remedial search activities. Regions are encouraged toinitiate PRP searches using 'NS' when the initial scoringpredicts the site to be listed on the NPL. Continuing PRPsearch activities, after the PRP search has formerly beendesignated as completed should be coded as a second PRPsearch. NEAR should be used for allocation type categories(i.e., NEAR, NPAR, de minimis). The lead for these activitiesshould be designated as FE or SE.

-49-


RI/FS Negotiations

These dollars represent the funds for negotiationsincluding support for negotiation meetings and developingnegotiation support documents (i.e., a detailed scope of work,forward planning/records compilation) and the issuance ofadministrative or consent orders. The dollars allocated tothis category are generally limited to $50K. These funds arenot expected to fund all of the initial activities of aFund-financed RI/FS.

Oversight

The FY88 budget pricing factors for PRP oversight are asfollows: $50K for removal, $200K for RI/FS, $150K for RD, and$300K for RA. The pricing factors are expected to provideoversight support for the duration of the activity. RI/FS arebudgeted to be ongoing for 10 quarters, RDs for 3 quarters, andRAs for 10 quarters. It is important to note that oversightcosts vary from project to project and these pricing factorsrepresent an average. Any costs significantly over the pricingfactor should be reviewed closely. Subsequent starts are notbudgeted separately in the Case Budget; however, they are givenconsideration for allocation purposes. TES work assignmentsshould not be processed until the settlement document is signedto avoid having funds and contract capacity tied up foranticipated rather than actual needs. Dollars should not beput into the ROD line item. Enforcement support during RODpreparation should be in the RI/FS for RP lead sites or inRD/RA negotiations for other lead activities.

For RP removal oversight, TES capacity needs should belisted on the non-site specific portion of SCAP. Genericassignments can be submitted to the Contractor Officer (CO) inadvance for emergency removals only. Advance submission willallow the assignment to be activated immediately after theorder is signed. The CO will hold the assignment until theregional Project Officer notifies the CO that the order hasbeen signed by EPA. To activate the assignment they will needthe site name and the site ID number.

The "ALT" code may be used in CERCLIS for potentialtakeover sites when the regions want to request or trackdollars.

RD/RA Negotiations

The pricing factor for RD/RA negotiations for FY88 is$3OK. Review of an RP remedy or RP comments to a recommendedremedy is generally included in the response to public commentsin the RI/FS budget. This category is mainly for negotiationsessions and response to additional RP inquiries. Any cost

-50-


associated with issuing unilateral administrative orders atthese sites is also included in the $30K pricing factor.

O&M/LTR, Deletion

The budget for O&M/LTR for FY88 is $40K per year per site.The Case Budget for deletion of RP lead activities is combinedwith the activity preceding deletion.

Section 106

There is a $20K budget for case development and $264K forlitigation support for cases referred to DOJ. It is assumedthat litigation will be ongoing for 3 years. The $264K is forthe 3 year period.

Section 107

Cost recovery is a budget activity for FY88. Costs areestimated at $12K for administrative cost recovery and $113Kover 3 years for judicial cost recovery per new site.

Community Relations

The Case Budget is used to pay for community relations (CR)for removal, RI/FS, and RD/RA activities when an RP lead isexpected for the response activity. The CR plan should befunded concurrently with the negotiations and can be combinedinto one TES work assignment. The CR's implementation shouldbe funded concurrently with the oversight work assignment. TheEnforcement Case Budget does not fund CR at Federal, State, orFE lead sites. The CR lead for EPA activities should bedesignated as RP for activities funded by the Case Budget.This is to easily differentiate activities funded by eitherOERR or OWPE.

A reminder for CR implementation: it is EPA'sresponsibility to implement §117(b) of SARA which regxiires thatEPA publish a notice of availability of the final RA Plan(e.g., ROD), response comments made on the proposed plan, anddraft FS, and make the final plan and responsiveness summaryavailable to the public. Finally, EPA is responsible forproviding a discussion of any significant changes (and thereasons for such changes) to the proposed plan. RPs may, atthe direction and with the oversight of the regional office,participate in the implementation of community relations (i.e.,preparing fact sheets for review and approval by EPA andattendance at public meetings). EPA envisions that this RPparticipation in community relations will likely occur when theRP is performing the RI/FS at the site. [NOTE: Communityrelations activities at Federal facility sites may include bothoversight and implementation. EPA is responsible for ensuring

-51-


that Federal facilities on the NPL are not inconsistent withEPA's community relations regulatory and policy requirements.]

Technical Assistance Grants

Funds have been budgeted for Technical Assistance Grants.Case Budget funds for Technical Assistance Grants should onlybe requested for RP lead sites. The allocation of funds will bemade on a case-by-case basis and must be requested for eachsite on the quarterly SCAP request, two quarters in advance.The dollars allocated for this category nationally in FY88 are$605K. These dollars will be held in HQ and will not countagainst regional allocations for FY88. Once grants have beenreviewed, dollars will be transferred to the regions forobligation.

State Activities

There is presently $4M in the FY88 budget for Stateactivities including Management Assistance and Stateenforcement activities. Each region has been allocatedapproximately $400K for these activities but the funds will beheld in HQ until actually needed. Management Assistance fundscan be given to the State for State participation insite-specific RP lead activities that EPA is overseeing or fordevelopment of State enforcement capabilities. ManagementAssistance site-specific costs are generally two to fourpercent of the remedial planning costs (i.e., for a $600K RI/FSbeing conducted by the RPs, the Management Assistance cost forthe State would generally range between $12K-24K).

Dollars are only available in FY88 for State leadenforcement activities from this $4M State activities pool.Funds for EPA oversight of the State will need to come out ofthe regional allocation. Each region may use part of theirallocation for this purpose if they can be sure that all otherpriorities are met. [NOTE: In FY89, State enforcement outputswill be incorporated into targets and commensurate funds willbe available.]

In order to increase State activities in the SuperfundEnforcement program and to increase the TES capacity availablein FY88, regions are encouraged to issue CAs to the States forthird party oversight in lieu of using the TES contractor.These are funded from the appropriate category of activities inSCAP (e.g., RI/FS, RD, RA, PRP removals). The pricing factorsfor the activity would be the same (i.e., $200K for RI/FS,$150K for RD oversight, and $300K for RA oversight). Note thatthe dollars needed for EPA participation are also included inthe pricing factor for FY88, and therefore as a guide, the CAshould be issued according to the pricing factor less thedollars needed for EPA participation. This should still be

-52-


sufficient since State activities generally cost less thancontractor support. These funds are not counted against the$4M for State activities.

Federal Facilities

The Federal Facility Task Force within OWPE is coordinatingthe oversight of efforts by the Federal facilities at NPL sitesand NPL listing. The Case Budget has about $200K in FY88 forall Federal facility oversight. FIT is the main mechansim forPA/SSI and NPL listing. In addition, TES has been trained forNPL listing activities since there is a shortage of FITpersonnel to meet the statutory deadline. TES is the mainmechansim for oversight of Federal facility NPL sites in FY88.Funds have been provided for this activity in the regionalallocations. The current lead for the sites is Federalfacility, not RP.

-53-

EXHIBIT II-7 OSWER Directive 9200.3-1A

CERCLIS/SCAP CROSSWALK FORENFORCEMENT ACTIVITIES AND REMEDIES

KNVUHUEMENT ACTIVITIES (C1701)

Litigation CERdiTSACTIVITY

Activities CODE

Claim in Bankruptcy CB

Preliminary Injunction PI

Section 106 Litigation SX

REMEDIES (Sought by Enforcement Activities)

- Prepare Cost Documentation Package

- Preliminary Injunction- Temporary Restraining Order

— Document Exchange- Expedited Response Action- Feasibililty Study- Initial Remedial Measure- Interest— Lien on Property- Operations and Maintenance• Other

- Premium- Remedial Design- Remedial Action- Remedial Investigation- Removal Action- RI/FS- Site Access— Temporary Relocation

(C2731)

CERCLISREMEDYCODE

PC

PITO

DEERFSIMINLPCMOHPIPRRDRARIRVCOSETR

SCAP LINK (Previously usedto represent thisactivity in SCAP)

No SCAP Link

No SCAP LinkNo SCAP Link

No SCAP LinkNo SCAP Link•27'• 441

No SCAP LinkNo SCAP Link• 471•69'

No SCAP LinkNo SCAP Link•43«•45'• 25'•05»•29'


-54-

EXHIBIT II-7 (Con't) OSWER Directive 9200.3-1A

ENFORCEMENT ACTIVITIES (C1701)

T.i t-i gat--i nr\ r!RBTT.Tfi

ACTJLVJ.TfActivities CODE

Section 106/107Litigation CL

Section 107 Litigation SV

Temporary RestrainingOrder TE

REMEDIES (aougnt by Enforcement Activities)

- Same as Section 106 Litigation, plus:- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS- Temporary Restraining Order

- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS- Temporary Restraining Order

- Preliminary Injunction- Temporary Restraining Order

(C2731)

CERCLISREMEDYCODE

VSVAVDYMTOTO

VSVAVDVMTOTO

PITO

SCAP LINJ

•85«• 85'•85'•85'•85'

NO SCAP

•85«•85"• 85'• 85'•85'

NO SCAP

NO SCAPNO SCAP

^ ( previous J.y useato represent thisactivity in SCAP)

Link

Link

LinkLink

-55-


KNTORCEMKNr ACTIVITIES (C1701)

Negotiation RRCTiTflACTIVITY

Activities CODE

Cost Recovery Nag. NE

RD/RA Negotiations AN

Removal Negotiations RN

RI/FS Negotiations FN

Notice LetterActivities

Notice Letters Issued ME

REMEDIES (Sought by Enforcement Activities) (C2731)

- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS

-Remedial Design-Remedial Action

- Expedited Response Action- Removal Action- Site Access- Temporary Relocation

- Feasibility Study- Remedial Investigation- RI/FS

N/A

REMEDYCODE

V8VAVDVMTO

RDRA

ERRVSETR

F8RICO

8CAP LINK (Previously usedto represent thisactivity in 8CAP)

• 80*• 80*• 80'•80*•80'

• 37'•37«

• 03"• 03'• 03'•03«

•19'•19'

No SCAP Link

-56-

EXHIBIT II-7 (Con't) OSWER Directive 9200.3-lA


rfERTT.TR

ACTIVITYOrders OODE

Administrative Orderon Consent AC

Unilateral AdministrativeOrder UA


- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS- Document Exchange- Expedited Response Action- Initial Remedial Measure- Interest- Lien on Property- Operations and Maintenance- Other- Premium— ponArii »1 TV»«H <jn

— P«n<vH»l Arrtvinn

- Remedial Investigation- Removal Action- RI/FS- Site Access- Temporary Relocation

(C2731)

CERCLISREMEDYCODE

VSVAVDYMTODEERIMINLPOMOHPRRDRARIRVCOSETR

Same as AO on Consent


'87''87'•87'•87'•87'

No SCAP Link•17'•44'

No SCAP LinkNo SCAP Link1471•69«

No SCAP Link'43'1451

•25''05''29'


Same as AO on Consent

-57-

EXHIBIT 11-7 (Con't) OSWER Directive 9200.3-1A


CERCLISACTIVl'l c

Other Activities CODE

Issue Cost RecoveryDecision Docunent DD

Issue Demand Letter DL

Issue InformationRequest Letter IL

Issue Notice of Section122 Waiver NW

Issue Special Notice SN

Prepare CostDocumentation Package PC

RP Search Activities

Non-NPL Removal RPSearch RP

NPL RP search MS


CERCLISREMEDYCODE

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A


'69'

• 69'

•69'

• 69'

• 69'

• 69'

• 01"

•13'

-58-



CERCLISAurJ.VJ.TSf

Settlement Activities CODE

Administrative/Voluntary Cost Rec. AV

Consent Agreement CA


- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS- Prepare Cost Documentation Package

- Cost Recovery of Oversight- Cost Recovery of RA- Cost Recovery of RD- Cost Recovery of Removal- Cost Recovery of RI/FS- Document Exchange- Rxperti *•«** Response Action- Feasibility Study_ Ini'titll P W*'"'3 ! Mn oiira

- Interest- Lien on Property— Operations and Maintenance- Other- Premium

(C2731)

CERCLISREMEDYCODE

VSVAVDVMVOPC

VSVAVDVMVODEERFSIMINLPOMOHPR

SCAP LINK

•87'• 87'•87''87'•87'

No SCAP

'87'•87'•87''87'•87'

NO SCAP•17'' 27'1441

NO SCAPNO SCAP1471

• 69'NO SCAP

(Previously usedto represent thisactivity in SCAP)

Link

Link

LinkLink

Link

-59-



Settlement Activities

Consent Agreement(continued)

Consent Decree

Federal ComplianceAgreement

Federal InteragencyAgreement

Federal Memorandum ofAgreement

Federal Memorandum ofunderstanding

Judgement

rHBTT.TH

ACTIVITYCODE

CA

CD

FC

FI

FA

FU

JG


(ipprr.TflREMEDY

— Pcmofl'iiii Design RD- Remedial Action RA- Remedial Investigation RI- Removal Action RV- RI/FS CO- Site Access SB- Temporary Relocation TR

Same as Consent Agreement






SCAP LINK (Previously usedto represent *•>*•{«activity in SCAP)

• 431•45'•25'• 05«'29'




Rama us rv-inafln*- Arnmuiiiit'




-60-


III. FY88 PROGRAMMATIC GUIDANCE

This portion of the FY88 SCAP Manual outlines priorityactivities and highlights programmatic considerations thatshould be used to guide development of SCAP. This guidancereflects current program goals under the ComprehensiveEnvironmental Response, Compensation, and Liability Act of 1980(CERCLA) as amended by the Superfund Amendments andReauthorization Act of 1986 (SARA). Program goals and policieswill continue to evolve as the new legislation is implemented.

The development and implementation of policies in responseto the new authorities of SARA will continue to be ofimportance in FY88. These include: 1) changes to the Removalprogram which will result in more extensive cleanups and otherresponses to releases from uncontrolled hazardous waste sitesand spills of hazardous substances and oil; 2) completingongoing RD and construction projects, meeting cleanup standardsand mandatory schedules, and considering permanent,cost-effective actions for remedy selection in the Remedialprogram; and 3) maintaining a strong enforcement presence andencouraging response and involvement by PRPs, Federalfacilities, and States. In addition, goals that crosscutprogram areas include: improving State participation,enhancing public participation, streamlining and improvingproject management, and ensuring adequate technical andanalytic support for site work.

The following pages provide more detailed guidance for eachof the program areas. (See Appendixes B and C for a definitionof each activity type and the methodologies for the derivationof regional targets and measures for FY89).

1. PROGRAMMATIC GUIDANCE FOR THE FY88 PRE-REMEDIALAND REMEDIAL PROGRAM

The discussion below provides programmatic details on theactivities that make up the Pre-Remedial and Remedialprograms. The discussion highlights major activities for FY88and indicates the preliminary targets and measures for thefiscal year. Exhibit III-l, which follows, provides a regionalbreakdown of targets and measures for FY88.

Projects in the design and construction phase will continueto be the highest priority for Agency action. These projectsshould follow the planned schedules as closely as possible.The funding priorities for the Remedial program should focus on

-61-


EXHIBIT III-l

FY88 ANNUAL SCAP AND SPMS TARGETS AND MEASURES FORPRE-REMEDIAL AND REMEDIAL ACTIVITIES

REGIONACTIVITY

*PA COMPLETIONS

- EPA/FIT- State

*****FED. FAC. PACOMPLETIONS

*SSI COMPLETIONS

- EPA/FIT- State

I

260

100160

-

54

3618

II

210

110100

-

135

5085

III

280

100180

-

128

11018

IV

107

4760

-

160

9070

V

446

75371

-

190

10090

VI

200

20180

-

230

40190

VII

175

9877

-

80

1070

VIII

94

886

-

30

2010

IX

459

459

-

50

4010

X

201

20181

60

5010

TOTAL

2432

10371395

1117

546571

***LSI COMPLETIONS 16

****FED. FAC. SI REVIEW 15

****NPL SITE ADDITIONS 19

163

- Non-Fed. Fac.- Fed. Fac.

*****HRS PACKAGE TO HQ

*****AERIAL SURVEY

*RI/FS FIRST STARTS 2(excluded Fed. Fac.)

9 13 12 26 7

15 15 15 20 20

21 30 59 45 26

18 25 47 37 193 5 12 8 7

6 4

10 10

20 12

15 45 8

9

15

40

2812

19 17 14 30

*SCAP AND SPMS TARGET**SPMS REPORTING MEASURE/SCAP TARGET***SCAP TARGET ONLY****SCAP MEASURE/PROJECTION ONLY*****SCAP REPORTING MEASURE ONLY

4 106

15 150

24 296

17 2267 70

105

ProgramEnforcement

- PRP

****FED. FAC. RI/FSSTARTS

110

1

856

5

746

2

437

0

1587

0

301

1

211

0

112

1

233

8

111

7

442734

25

-62-


EXHIBIT III-l(Continued)


REGIONACTIVITY

*RI/FS SUBSEQUENTSTARTS

- Program- Enforcement- RP

*RI/FS FIRST COMPLE-TIONS

- Fund RODs- Enfor. RODs- RP RODs

*RI/FS SUBSEQUENTCOMPLETIONS

- Fund RODs- Enfor. RODs- RP RODs

****FED. FAC. RI/FSCOMPLETIONS

***RD FIRST STARTS

- Program/FE- RP

***RD SUBSEQUENT STARTS

- Program- RP

****FED. FAC. RD STARTS

I

1

100

9

612

4

400

0

6

42

8

53

0

II

10

442

18

1017

7

601

2

22

148

13

103

1

III

3

111

15

924

8

206

1

15

105

2

11

0

IV

0

000

19

3115

2

200

3

28

1018

2

11

0

V

0

000

25

12310

8

701

1

24

195

10

82

0

VI

0

000

13

526

9

414

2

12

57

3

30

0

VII

6

501

10

433

2

200

0

8

53

7

52

0

VIII

13

922

5

032

5

410

1

6

24

8

80

1

IX

2

020

11

533

4

220

2

7

52

2

20

1

X

1

010

6

303

3

102

0

6

51

1

10

0

TOTAL

36

20106

131

571955

52

34414

12

134

7955

56

4412

3


-63-




REGIONACTIVITY

***RD FIRST COMPLETIONS

Program- RP

***RD SUBSEQUENTCOMPLETIONS

Program- RP

*RA FIRST START

- Program- RP

*RA SUBSEQUENT STARTS

- Program- RP

****FED. FAC. RA STARTS

***RA FIRST COMPLETIONS

- Program- RP

***RA SUBSEQUENTCOMPLETION

- Program- RP

*FINAL RA COMPLETION(SPMS only)

- Program- RP

I

4

13

1

01

4

13

1

01

0

4

22

0

00

0

00

II

23

185

4

31

22

175

3

30

0

6

42

7

61

1

01

III

12

84

5

41

8

44

3

30

0

7

61

0

00

3

21

IV

11

110

1

10

9

90

0

00

2

1

01

0

00

1

01

V

8

80

1

10

7

70

2

20

0

4

40

1

01

0

00

VI

9

72

1

10

6

42

1

10

1

4

40

0

00

2

20

VII

4

22

2

20

2

02

2

20

0

2

11

2

20

0

00

VIII

6

42

3

30

6

33

2

20

1

0

00

0

00

0

00

IX

2

20

4

40

3

30

2

20

0

1

10

1

10

0

00

X

2

20

1

10

1

10

1

10

0

2

20

1

10

1

10

TOTAL

81

6318

23

203

68

4919

17

161

4

31

247

12

101

8

53


-64-




ACTIVITYREGION

II III IV V VI VII VIII IX TOTAL

*DELETION INITIATION 0 16

- Fund- Enforc./PRP

ERA STARTS1

00

10

21

00

0 02 0

124

13


1 Removal actions and ERAs are included in the official SPMS target for NPLremoval actions. The distribution between first and subsequent starts isbased on specific sites named for ERA targets.

-65-


the need to fund the construction pipeline. Projects nearestthe RA stage will continue to receive both funding andstaffing, followed by RD projects and ongoing RI/FS projects.New RI/FS starts receive a lower priority to ensure thatongoing projects meet or exceed the SARA requirements.

PRELIMINARY ASSESSMENTS (PA)

The national target for PA completions is 2,432. Theregional distribution is shown in Exhibit III-l. Thisdistribution is based on a proportional distribution of 2,000sites estimated to be added to CERCLIS during FY87. Theadditional 432 sites are the remaining pre-SARA CERCLIS sitesthat need PA completions by January 1, 1988. These sites weredistributed on the same basis as the post-SARA sites as aninterim approach. This increment will be re-distributed basedon a specific analysis by HQ and the regions on remainingpre-SARA sites requiring a PA. Regions should indicate howmany PAs are projected to be performed by States versus EPA/FIT,

There are two major objectives for the PA program in FY88.The first objective is to meet the specific requirement of§116(a) of SARA for completing PAs at pre-SARA CERCLIS sites byJanuary 1, 1988. This means that first quarter FY88 activitymust be focused on this goal and PAs at post-SARA sitesdeferred, if necessary. The next objective is to be able tomeet the requirements of §116(b) of SARA by completing PAs atpost-SARA sites within one year of being added to CERCLIS.

SCREENING SITE INSPECTIONS (SSI)

The national target for SSI completions is 1,117. Thebasis for the regional distribution shown in Exhibit III-l isthe FY87 SCAP distribution of PAs. This assumes that the SSIrequirement correlates with PAs performed in the previousyear. Regions should indicate how many SSIs are projected tobe performed by States versus those performed by EPA/FIT.

The SSI target is limited by the available FTEs for thisactivity. The program will emphasize quality products, and theregions should average about 350 technical contractor or Statehours and .015 FTE on EPA oversight, review, and acceptance offinal product.

LISTING SITE INSPECTIONS (LSI)

LSI completions have a national target of 106, and theregional distribution is shown in Exhibit III-l. It is basedon the regional distribution of proposed and final NPL sites.It is assumed that the NPL distribution will hold for thefuture, but the regions are invited to present their views onfuture distributions of sites within their region.

-66-


The FY88 LSIs will be the field effort to support FY89proposals to the NPL using the revised HRS. The LSIs are notRI/FS substitutes and, consequently, the expenditures must beefficient and focused. Two important goals are to limittechnical hours for each LSI and to minimize subcontractingexpenditures.

FEDERAL FACILITY SITE INSPECTION REVIEWS

The national target for Federal facility screening siteinspection reviews is 150. Final regional distribution isdetermined based on overall regional projects and discussionswith each region. Input from regions on this activity isencouraged. This activity is for review of Federal facilitytechnical reports and not for inspections conducted by EPA.

NPL SITE ADDITIONS (NON-FEDERAL FACILITY)

The national target for NPL additions is 226 sites. Thenational target is distributed proportionally among regionsbased on projections reported by regions on NPL submissions andestimates of sites that pass QA. It is important to rememberthat the regional targets are sites that are proposed, notsubmitted.

The FY88 proposal for the NPL is scheduled for the firstquarter. Data collection and NPL package preparation should becompleted by November.

FEDERAL FACILITY NPL SITE ADDITIONS

The national target for Federal facility NPL site additionsis 70 sites. Final regional distribution will be determinedbased on overall regional projections and discussions with theregions. Input from regions on this activity is encouraged.

The anticipated approach to NPL listing will be foragencies to prepare the technical reports and organize at leastan index for relevant HRS data. EPA will prepare the HRSscoring packages. The regional effort will be to coordinateactivities, carefully QC the final package, and resolve QAissues.

SCHEDULING AND REPORTING RA STARTS

It is especially critical to overall program performancethat event milestones related to the Congressionally mandated175 RA starts (§116(e) of SARA) be carefully managed andtracked. Regions need to accurately determine the number oflikely projects and develop schedules and action plans forthese candidate sites. Federal, State, RP, State Enforcement,or Federal facility lead sites with an RA start after

-67-


October 18, 1986, count toward the statutory mandate. Theseschedules should include all key milestones leading toconstruction award. Action plans should describe the projectdelivery approach, identify issues that could delay the RAstart, and assign responsibilities for resolving site issues.Quarterly reports will be developed that will use informationfrom CERCLIS to monitor overall progress toward the 175 RAstart goal.

HOW TO HANDLE CORE GRANTS

In keeping with the intent of SARA, EPA has developed theCore Grants Cooperative Agreement (CGCA) concept to help ensureeach State has the funds to support a program to implementCERCLA activities.

The CGCA must be a separate agreement. It cannot be partof a multi-site/multi-activity cooperative agreement (MSCA), beadded by amendment to an existing cooperative agreement, nor beadded by amendment to any contract for a site specific activitya Regional Administrator has approved.

CGCAs are negotiated with States and funded annually. EachState may receive up to $250K during the first few years, whilethe CGCA concept is being implemented. The exact amountprovided will be based on:

The State's CERCLA program objectives;

The number of sites in CERCLIS without pre-remedialactivities and the number of NPL sites that are notscheduled for Federal, State, or RP funding;

The level of sophistication of the State's CERCLAimplementation capability.

Funding requests must be made via the SCAP process.

As EPA and the States gain experience and a track recordfor CGCAs is established, the $250K maximum ceiling for coregrants may be adjusted.

IMPACT ON FUNDING STATUS OF RP PROBABILITY

While developing site schedules and corresponding fundingpriorities, the regions should pay particular attention to theprobability of an RP takeover, or the potential for a mixedfunding response, for RD and construction activities. Fundresources should be targeted for sites where the region hasdetermined that there is very little chance of RP involvement.If the region believes that there is a high probability of anRP takeover, the site should be targeted as RP lead or as an

-68-


alternate for FY88 funding. When a region is uncertain about asite's likelihood for RP takeover, that site should beconsidered as a possible alternate for FY88 funding. Ifsettlement is not achieved, administrative or judicialenforcement may be appropriate.

TECHNICAL ASSISTANCE GRANTS

The current schedule calls for a proposed rule concerningTechnical Assistance Grants (TAGs) to be published in theFederal Register by February, 1988. A TAG may be funded up toa maximum of $50K per site. The regions should be prepared toreceive inquires regarding eligibility requirements during thesecond and third quarters. The initial applications willprobably be received in the third quarter, with the award beingmade in the fourth quarter of FY88. The region should notassume that every community will request the grant. Recently,there have been several instances where the RP has given thecommunity money to fund a technical expert.

2. PROGRAMMATIC GUIDANCE FOR THE FY88 REMOVAL PROGRAM

The primary objective of the Removal program continues tobe timely, effective response to hazardous substance releasesthat pose a threat to public health or welfare or theenvironment. "Classic" emergencies are clearly the regions'top priority. Regions should also have the resources necessaryto conduct time-critical removals, where there is noalternative capable responder. In cases where a threat exists,but the action is not time-critical, the regions must carefullyassess the EPA resources available before committing to aresponse.

Planning for removal actions in FY88 will be more difficultthan ever before. On the one hand, SARA provides broaderremoval authority and imposes new requirements that include:

An increase in statutory time and dollar ceilings;

Additional conditions under which statutory limits canbe exceeded;

Broader authorities that address larger contaminationproblems;

Consideration of alternative technologies; and

Assurance that removals are consistent with possiblelong term remedial actions.

-69-


On the other hand, removal funding stayed basically level, soregions did not get an increase in dollar resources sufficientto cover the potential increase in costs caused by the new SARArequirements.

REMOVAL ACTIONS

More than ever before, each region must carefully manageits removal budget. The $90 million in available funding willcover only approximately 190 removal starts, in contrast to theover 250 started in FY87. Each region has been given aproposed annual budget and must manage its money throughout theyear so as not to exceed it. Certainly there may be unusualcircumstances which require a region's proposed budget to beaugmented at some point, just as other regions may find towardthe end of the year they will have a surplus due to a lowerthan expected number of actions. HQ will work with all regionsto deal with any problems that arise. However, the assumptionis that each region will do a responsible job of fundsmanagement that will preclude major shortfalls.

Responsible management means having to make some toughdecisions. Each region should recognize right now that itprobably does not have sufficient funds to address all actualor threatened releases that meet the removal criteria in theNCP. Regions may have to defer non-time critical actions inorder to maintain a sufficient contingency for classicemergencies. Regions may have to depend more upon State andlocal authorities to address the real, but smaller threats thatregions now occasionally handle. In setting responsepriorities, regions should keep the following points in mind.

1. NPL sites have a higher priority for response thannon-NPL sites when the magnitude of the threat isroughly the same. OSWER wants to continue theincreased emphasis on using removal authorities, whereappropriate and in accordance with the NCP and otherguidance, to deal with problems at these prioritysites.

2. The regions are encouraged to use alternativetechnologies during removal responses, wherepracticable. Cost must be one of the factors used inmaking this decision. Regions should not consider orcommit to employing technologies that are moreexpensive than available funds allow.

3. In cases where the removal work would be implementinga remedy contained in an ROD, the region may have toget remedial funds transferred to the removalallowance. OSWER encourages the removal organizationsin the regions to discuss this alternative with their

-70-


remedial counterparts. It may not always beappropriate, but it should certainly be considered.

OSWER requires site-specific planning for removalactivities only one quarter in advance. Nevertheless, eachregion must prepare its quarterly update, which is the basisfor its new quarterly allowance, in the context of what islikely needed for the remainder of the year. Regions shouldkeep in mind the SPMS targets for NPL starts and stabilizations(see Exhibit III-2). Each region should be regularlyreassessing its priorities and actively balancing its funds.HQ is ready to help if unavoidable problems arise in awell-managed regional program.

RELEASE INVESTIGATIONS

The purpose of a release investigation is to provide aninitial indication of the need for a Federal response. Releaseinvestigations should generally include, but are not limitedto: evaluation of the magnitude of the hazard; indication ofthe source and nature of the release; determination of theexistence of a non-Federal party (or parties) ready, willing,and able to undertake a proper response; and evaluation offactors necessary to determine whether removal action isnecessary. In FY88, resources will be available to conductonly 700 investigations nationwide. This is a reduction in thenumber undertaken in years past and regions need to reestablishrelease investigation priorities accordingly.

ON-SCENE MONITORING

On-scene monitoring occurs where the State, localauthorities, or private parties have responded to a hazardousmaterials site or a spill without use of CERCLA funds, and theOSC or Technical Assistance Team (TAT) provides on-sceneoversight or technical advice in order to ensure that adequatecleanup takes place. In FY88, only 150 actions will be fundednationwide. Regions should focus on those situations wherethere is a substantial threat to public health or theenvironment.

3. PROGRAMMATIC GUIDANCE FOR THE FY88 ENFORCEMENT PROGRAM

The following provides an overview of the FY88 guidance forthe Enforcement program. It includes a breakdown by region ofthe SCAP/SPMS targets and measures for FY88. See Exhibit II1-3for a breakdown of Enforcement SCAP/SPMS targets and measures.

-71-


EXHIBIT III-2

FY88 ANNUAL SCAP AND SPMS TARGETS AND MEASURES FOR REMOVAL ACTIVITIES

REGIONACTIVITY

*FIRST NPL REMOVALSTART !

- Fund- RP

***FIRST NON-NPLREMOVAL START

- Fund- USCG- RP

*SUBSEQUENT NPLREMOVAL START

- Fund- RP

****SUBSEQUENT NON-NPLREMOVAL START

- Fund- USCG- RP

*FIRST NPL REMOVALCOMPLETION !

- Fund- RP

***FIRST NON-NPLCOMPLETION

- Fund- USCG- RP

I

6

51

15

1203

1

10

0

000

4

31

9

702

II

6

51

22

1516

1

10

0

000

5

41

20

1703

III

3

21

35

20015

2

11

0

000

4

22

27

2007

IV

6

51

42

3417

1

10

0

000

3

30

28

2404

V

7

61

25

2005

1

10

1

100

10

91

24

2004

VI

2

11

14

1013

0

00

2

002

4

13

10

1000

VII

2

11

12

606

3

12

1

100

3

12

17

1205

VIII

3

21

10

1000

0

00

0

000

3

21

10

1000

IX

8

62

16

1114

0

00

0

000

6

42

10

802

X

3

21

5

311

1

10

1

001

2

11

4

301

TOTAL

46

3511

196

141550

10

73

5

203

44

3014

159

131028


-72-


EXHIBIT II1-2(Continued)

FY88 ANNUAL SCAP AND SPMS TARGETS AND MEASURES FOR REMOVAL ACTIVITIES

REGIONACTIVITY I II III IV V VI VII VIII IX X TOTAL

*SUBSEQUENT N P L REMOVAL 1 1 1 1 1 1 0 0COMPLETION 1

- Fund- RP

****SUBSEQUENT NON-NPLREMOVAL COMPLETION

- Fund- RP

0 0 0 0 0

0 0

0 0 0 0 01 0 0 0 0

0 0 0 10 0 0 0

0 0 0 0 0

0

1

00

0 0 00 0 0

***"HAZARDOUS MATERIAL 701 1250 1160 1884 1200 1100 312 333 740 312 8992NOTIFICATIONS

***"HAZARDOUS MATERIALS 34 53 64 148 96 148 37 60 42 18 700INVESTIGATIONS

****ON-SCENE MONITORING 26 16 17 30 18 17 10 4 7 5 150HAZARDOUSSUBSTANCES

****AERIAL SURVEY 15 12 15 20 8 25 10 8 10 5 128

*SCAP AND SPMS TARGET**SPMS REPORTING MEASURE/SCAP TARGET***SCAP TARGET ONLY****SCAP MEASURE/PROJECTION ONLY

^ Removal actions and ERAs are included in the official SPMS targets forNPL removal actions. The distribution between first and subsequentstarts is based on specific sites named for ERA targets.

-73-


EXHIBIT III-3

FY88 ANNUAL SCAP AND SPMS TARGETS AND MEASURES ENFORCEMENT ACTIVITIES


***IAGS AT REMEDIAL TBD TBD TBD TBD TBD TBD TBD TBD TBD TBD 23SITES

***NPL SITES WITHCOMPLETED PRPSEARCHES

15 30 24 19 40 11 85 25 12 189

****NON-NPL SITES WITH 15 22 30 39 30 13 9 5 19 5 187COMPLETED RPSEARCHES

CONCLUSION OF RD/RA 12 23 15 23 27 18 4 4 10 6 142NEGOTIATIONS

*COST RECOVERY CASES 6 8 510 5 3 41 5 2 49REFERRED TO HQO200K)

*§107 CASE RESOLUTION 3 7 5 1 5 5 0 2 1 4 0 4 2(ADMINISTRATIVE COSTRECOVERY SETTLEMENTS«200K)1

*§106 CASE RESOLUTION/ 0 0 1 0 0 0 0 1 0 1 3TRIAL

*§107 CASE RESOLUTION/ 4 8 4 3 4 1 2 1 1 2 3 0TRIAL

***§106 RD/RA REFERRALS 1 5 1 3 6 1 0.1 1 1 20WITHOUT SETTLEMENT

*****ADMINISTRATIVE ORDER - - - - - - - - - -RP RESPONSE

- NON-NPL

*SCAP AND SPMS TARGET**SPMS REPORTING MEASURE/SCAP TARGET

***SCAP TARGET ONLY****SCAP MEASURE/PROJECTION ONLY

L Administrative cost recovery settlements and §107 case resolution/trialcombined represent the SPMS target for SE-5A and SE-5B reportedseparately against a combined SPMS target.

-74-


The following Enforcement program priorities for FY88 should beconsidered when revising targets and measures:

Initiating and completing PRP searches earlier andmaking them more comprehensive in order to promotemore PRP participation in RI/FS, as well as RD/RA, andto assure effective cost recovery;

Referring cost recovery cases ready for referral,especially actions where RAs have begun, and removals(greater than $200K) and RI/FS where a statute oflimitations is a factor;

Initiating and setting deadlines for concluding RD/RAnegotiations;

Making effective use of new SARA settlementauthorities to maximize RP, RD, and RA starts (e.g.NEAR, mixed funding, and deminimis authorities); and

Referring §106 actions for RD/RAs where remedialaction funds are not available through SCAP (i.e.enforcement and RP activity sites).

In addition, two other program areas need additionalattention:

Better oversight of State Enforcement lead activities(please refer to the June 8 memorandum on tracking SEactivities at NPL sites from Lloyd Guerci, Director,CERCLA Enforcement Division, to Regional BranchChiefs); and

Federal facility oversight, especially for those siteson or proposed for the NPL, including entering intoand overseeing lAGs.

PRP REMOVAL ACTIVITY

For non-NPL sites, PRP searches should be initiated as soonas a removal candidate has been identified. The PRP searchshould be completed before most removals, or at leastconcurrently with the removal action so that preparation forpossible cost recovery can be initiated.

Notice to PRPs should be given before removals in everyinstance unless time does not allow. For certain largeremovals which represent major response efforts, the* specialnotice procedures of §122(e) should be employed. Where specialnotice is not employed, written notice under §l22(a) must begiven.

-75-


Regions should issue administrative orders at every removalaction where viable PRPs have been identified, timepermitting. It is expected that administrative orders(unilateral or on consent) will be issued at 40 to 50 percentof all sites where removals are undertaken. In some cases, aunilateral order can be converted to a consent order, but thisshould be done without delaying PRP response. Oversight costsshould be taken into account in negotiations, particularly inlarge removals.

Once RP lead removals have begun, EPA should have an activeoversight role, including on-scene presence. Contractorassistance is available if needed. Where RPs are not complyingwith the order, regions should be prepared to quickly moveforward with Fund-financed response. When appropriate, regionsmay seek judicial action for preliminary relief to compel RPresponse.

Where RPs comply generally, but violate terms (deadlines,etc.) of the order, regions should be prepared to enforce theterms of the order via stipulated penalties, statutorypenalties, or other sanctions.

PRE-RI/FS ENFORCEMENT ACTIVITY

For sites likely to be added to the NPL, PRP searchesshould start concurrently with the LSI or initiation of thelisting process.

The PRP search should be managed — including follow up,civil investigator assistance, and Office of Regional Counselreview — to assure that: (1) PRPs, particularly generators,are identified early, (2) general notice is issued well beforeRI/FS special notice, (3) information related to PRPs isobtained for special notice months before the RI/FS specialnotice, and (4) special notice is issued over 90 days beforethe planned RI/FS obligation date. Information requests,issued early, must be followed up to assure as comprehensive adata base as possible. General notice must be issued well inadvance of the RI/FS special notice to enable PRPs to organize;to the extent available, information required for specialnotice should be presented to PRPs before the actual specialnotice or is issued.

Both PRP searches and pre-RI/FS negotiations should bescheduled sequentially and planned enough in advance to avoiddelaying a scheduled RI/FS start date. In addition, costs forpast response actions such as removals should be documented inadvance and included in RI/FS negotiations. Regions should beprepared to move quickly through the negotiation process. Thiscan be accomplished through:

-76-


Providing a draft order and statement of work for theRI/FS with the special notice; and

Establishing interim milestones to judge whether realprogress is being made. These should be shared withthe negotiating parties.

The regions have the option of starting discussions withRPs before, as well as during the initial 60-day moratoriumperiod. For more information, refer to the October 19thmemorandum from J. Winston Porter to Regional Administratorstitled "Interim Guidance on Notice Letters, Negotiations, andInformation Exchange."

RI/FS SETTLEMENTS AND OVERSIGHT

Settlements with RPs for RI/FS may be accomplished throughan administrative order or consent decree, although the formeris preferred. In any case, the settlement document shouldinclude either a work plan prepared by EPA or a detailedStatement of Work with a work plan to be developed according toEPA guidance manuals. A well-defined schedule should also beincluded, which lists deliverables and milestones.

Under the new law, EPA is required to use third partyassistance in oversight of RP lead RI/FS, through TES or REM,or other Federal agencies (Corps of Engineers) or States. Atthe time of settlement, a detailed oversight plan should bedeveloped which includes either a manual or automatic trackingsystem and identifies in-house and extramural support needs.Oversight should include active field oversight as well asdesktop review of engineering reports and other deliverables.Oversight must be tracked and billed to RPs. In addition,regions must ensure compliance with the cleanup standards in§121 for ongoing and new RP lead RI/FS. RPMs must keep up withprogress on RP lead RI/FS as if it were an EPA contractorperforming the work. Where delays or inadequacies are noted,prompt action, including enforcement actions, whereappropriate, should be taken.

PRE-RD/RA ENFORCEMENT ACTIVITY RD/RA NEGOTIATIONS ANDOVERSIGHT

Prior to completion of the draft FS, regions shouldundertake considerable planning and review, including(1) review of PRP search information for completeness;(2) consideration, where appropriate, of mixed funding anddeminimis settlement options and discussions with PRPs beforethe special notice; (3) documentation of past costs (e.g.,RI/FS) for inclusion in RD/RA negotiations; (4) preparation ofa special notice letter and accompanying draft consent decree;arid (5) preparation for issuance of a §106 administrative order

-77-


where the case does not settle and there are viable PRPs, andreferral of a §106 judicial action for any site that does notsettle and for which there are not funds for RD/RA.

Special notice for RD/RA should be planned and issued inaccordance with the notice guidance. RPs will have 60 days inwhich to submit a settlement proposal after receiving notices.Again, regions have the option of beginning discussions withRPs before or during this 60-day period. If a valid proposalis submitted in that timeframe, another 60-day period followsfor negotiations- In order to proceed through negotiationsexpeditiously, the regions should prepare a draft consentdecree early on, and establish interim milestones in the RD/RAnegotiation process. In accordance with the streamlinedsettlements guidance, Regional Administrators may extend thisperiod for up to 30 days. Further extensions require theapproval of the AA/SWER.

All settlements for RD/RA, under SARA, will be in the formof consent decrees. While SARA allows EPA to perform RD workduring the special notice moratorium, as a matter of policythis should be avoided unless there are extraordinarycircumstances. The concurrence of the AA/SWER will be requiredin such cases.

All RODs (whether for Program lead or Federal Enforcementlead sites) should be evaluated for their enforcementpotential. Where negotiations are unsuccessful and there areviable PRPs who could fund the RA, an administrative ordershould be issued to require implementation of RD/RA (or incases where RD has begun, for implementation of RA only).Administrative orders are to be issued prior to bringing §106judicial actions. Approximately 40 percent of RODs (Fund orEnforcement) should be candidates for administrative orderissuance. Where there is a partial settlement, actions againstnon-settlers should be pursued promptly.

Oversite of RP lead RD/RA should be similar to that for RPlead RI/FS, with possibly more use of the Corps of Engineers.Regions should seek payment of oversight costs in all suchsettlements, as well as past costs of RI/FS and other removalresponse costs.

§106 JUDICIAL ACTIVITY

Referrals for §106 action for RD/RA are an integral part ofthe Superfund Enforcement program because there is not enoughFund money to clean up all sites. Given the number of RODssigned late in FY87 and scheduled for FY88, even assuming asignificant settlement rate, many sites will go without fundingafter the budgeted number of RDs and RAs are funded. These arepresumed to be §106 judicial action referrals. In FY89, thenumber of these candidates increases further.

-78-


For Enforcement or RP lead RI/FS, regions should expectthat, absent settlement, these sites will be referred as §106judicial actions. In addition, on Program lead RI/FS, regionsshould expect that where there are available PRPs, absentsettlement or funding, these sites will be referred as §106actions. §106 actions are expected to become easier with thenew law, given review of remedial decisions on the record, andthe general success in motions for summary judgment onliability.

Changes in site classifications from enforcement to Programlead may be appropriate based on nonviability of RPs or relatedreasons. In these cases, the concurrence of the Director,OERR, and the Director, OWPE, will be necessary (OSWERDirective 9840.3).

COST RECOVERY

For each RA ready for cost recovery (each completedremoval, completed RI/FS, and each RA started), regions shouldhave a completed PRP search and information about the viabilityof the PRPs; funds obligated/expended; removal, RI/FScompletion dates and RA start dates; and possible statute oflimitations dates. The regions should have strategies thatinclude the following elements:

Where there are viable PRPs, costs should bedocumented and a demand letter sent as soon aspossible but no later than one year after the case isready for filing;

Referrals for all removals greater than $200K andRI/FS must be planned in order to be filed in courtwithin one year but in no event later than three yearsfrom the date of completion, unless there was a§104(c)(1)(C) waiver or there clearly will be physicalinitiation of on-site construction of the RA withinthree years;

Referrals for RAs should be planned for referral inthe year the RA began;

Where there is a partial settlement, an action againstnon-settlers should be pursued promptly; and

Based upon relevant factors including ongoingcaseload, mandatory new referrals, and resources, theregions must develop and implement a strategy thatincludes follow-up on some cases less than $200K(referrals, arbitration, etc.). When a case is notreferred, the region must document why.

-79-


Where there are not viable PRPs, regions must document thisconclusion. Particularly for large RAs, before a case iswritten off for lack of viable PRPs, the PRP search is to bereviewed and upgraded as necessary.

As part of cost recovery management and preparation forcivil referrals, regions should plan upgrading of PRP searches,assembly of administrative records, cost documentation, anddemand letters. In addition, planning for RI/FS and RD/RAnegotiations should include cost documentation of past removaland RI/FS costs. Finally, accounts receivable, includingoversight cost recovery, must be managed.

FEDERAL FACILITIES

As required by §120 of SARA, regions will be establishingthe Federal Agency Hazardous Waste Compliance Docket. Specificguidance on definitions, contents, structure, and compilationof the docket is being developed by the Federal Facility TaskForce.

EPA responsibilities for NPL (proposed or final) Federalfacilities include:

Development and oversight of lAGs for conduct of RI/FS;

Joint selection of the remedy with the Federal Agency;and

Development and oversight of lAGs for conduct of RD/RA.

National guidance on issues which arise from theseresponsibilities are being developed by the Federal FacilitiesTask Force.

-80-


Exhibit III-4

FY88 SCAP AND SPMS TARGETS AND MEASURESFOR COMMUNITY RELATIONS AND MISCELLANEOUS ACTIVITIES


****Community Relations 7 18 17 14 35 4 9 4 16 9 133Plan Implementation

MISC1SLLANEOUS PROGRAMS

****SPCC Inspections/ 90 83 55 100 83 88 7 70 45 29 650Reviews

****0il Spills Cleaned 26 3 29 11 10 3 49 2 3 100Up Using CWA Funding

****On-Scene Monitoring 26 26 27 79 14 79 10 16 16 7 300of Responses toOil Spills

* SCAP AND SPMS TARGET** SPMS REPORTING MEASURE/SCAP TARGET*** SCAP TARGET ONLY**** SCAP MEASURE/PROJECTION ONLY

-81-

APPENDIX A

CERCLIS REPORTS

109510

I N D E X O F E X H I B I T S

PageNumber

A-l SCAP/SPMS Targets and AccomplishmentSummary Report A-3

A-2 SCAP/SPMS Measures Report A-5

A-3 SCAP/SPMS Targets and Accomplishments —Site Summary Report A-6

A-4 SCAP/SPMS Measures —Site Summary Report A-7

A-5 SCAP NPL Site Summary Report A-9

A-6 SCAP Non-NPL Site Summary Report A-ll


APPENDIX A. CERCLIS REPORTS

There are nine CERCLIS-generated reports which aredescribed below. There is a non-site specific report thatis to be used to plan obligations for non-site specificactivities. There are two site specific reports that showmajor activities that have occurred, are ongoing, or areplanned at NPL or non-NPL sites. There are six summarylevel reports. Two show specific sites where an activityis planned, ongoing, or has occurred. One of thesereports focuses on SCAP and SPMS targets. It shows, for agiven activity during the fiscal year, the sites wherethat activity was or is planned and whether the activityhas been accomplished. The second site specific summaryreport shows for some SCAP enforcement activities, sitesthat are being counted as accomplishments. These activityreports are complemented by four summary level reports.One report, for SCAP/SPMS targets, shows the targets andaccomplishments for a given activity at an aggregatelevel. The second report, for SCAP measures, shows onlyaggregate accomplishments. The third report is afinancial summary report displaying obligation and outlayinformation. The last report is a national level summaryreport aggregating across the regions the targets andmeasures.

Following is a discussion of the individual CERCLISreports, and the differences between these reports and theISCAP reports.

1. SUPERFUND FINANCIAL SUMMARY REPORT

The Financial Summary Report is not included in thisappendix because the portion of the CERCLIS data base thatgenerates this report was not fully implemented at thetime of this printing. As there will be little differencebetween the CERCLIS and ISCAP reports, the ISCAP reportwill be summarized. That report is broken into threesections. The top section shows the funds that have beenobligated in prior fiscal years, actual obligations forthe current fiscal year, and planned obligations byquarter for the current fiscal year. The middle sectionof the report shows regional cumulative extramuralallowances while the bottom part displays quarterly outlaytargets and accomplishments. The obligation authorityshown in the regional allowance section represents what aregion would receive should all its planned activitiesoccur.

A-l


This report to shows the current status of obligationsand outlays in a region. Actual obligation and outlaydata for this report are provided through CERCLIS.Planned obligation information is derived from sitespecific and activity specific (e.g., PA or SSI) plans.Targets for outlays are based on the outlay model(currently under development) and projects planned orunderway.

Enforcement RI/FS obligation and outlay data willrepresent all previous fiscal years. However, datarelating to TES Contract and Interagency Agreementobligations and expenditures supporting enforcementactivities and RP oversight will reflect only FY88.

2. ACTIVITY SUMMARY REPORTS

There are a total of five activity summary reports.Three reports show aggregate activity totals. Two ofthese reports are region specific - one for SCAP/SPMSactivities that have quarterly targets/measures and onefor SCAP activities that require only reporting ofaccomplishments. Regions will be required to keep theCERCLIS data base up to date so that these activityreports will reflect a true picture of accomplishments todate. The next two reports show, for appropriate SCAPtargets or measures, sites where particular activitieshave occurred or are planned to occur. The last reportprovides a national summary of all SCAP targets andmeasures.

SCAP/SPMS TARGETS AND ACCOMPLISHMENTS SUMMARY REPORT

The SCAP/SPMS Targets and Accomplishments SummaryReport (p. A-3) displays quarterly targets andaccomplishments for SCAP activities which have quarterlyand/or annual targets. The purpose of this report is toprovide a summary picture of how a region is progressingtoward its targets. Targets for this report are thoseestablished in regional/HQ negotiations and from currentproject schedules. Accomplishments that are based on siteand activity specific information are derived fromobligation data, pollution reports and other information(e.g., hard copies of documents) that have been receivedat HQ.

The only difference between the ISCAP and CERCLISreports is that the Fiscal Year Target column has beendeleted from the CERCLIS report.

A-2

12/14/8709:04:26

ACTIVITY TARGETPRE-REMEOIAL

EXHIBIT A-l

3UPERFUNDFY 1967

SCAr/SPHS TARGETS US ACCOMPLISHMENTS 3USURT SEFCS7RE0ZON

SCAP/SPHS TARGET ACCOMPLISHMENTS

PACE 1 . OSWER Directive 9200.3-1A

PA COMPLETIONSSI COMPLETIONSEXPANDED SITE INSPECTION

REMEDIAL

000

FIRST RI/FS STARTSPROM ANENFORCEMENTPRP

SUBSEQUENT RI/FS STARTSPROSRAMENFORCEMENTPRP

FIRST RI/FS COMPLETIONSPROGRAMENFORCEMENTPRP

SUBSEQUENT RI/FS COMPL.PROGRAMENFORCEMENTPRP

FIRST RO STARTPROGRAMPRP

SUBSEQUENT RD STARTPROGRAMPRP

FIRST RD COMPLETIONSPROGRAMPRP

SUBSEQUENT RD-COMPLETIONSPROGRAMPRP

FIRST RA STARTPROGRAMPRP

_§3_

301I

10

0000

31z

000

EI0

000

101

000

TOTAL

100100

TOTAj.

PERCENTOF TARGET

3011

73

110

51

116.6100.0100.0133.3

100.0100.0

100.0

133.3150.0

0.0

100.0100.0

133.3150.01Z5.0

100.0

100.0

116.675.0

200.0'

100.0100.0

125.0100.0133.3

A-3


SCAP/SPMS MEASURES REPORT

The SCAP/SPMS Measures Report (p. A-5) shows quarterlyaccomplishments information for SCAP activities that haveno quarterly targets but have annual budget projections asto expected level of activity.

This report contains removal activities that are to beaggregately reported by the regions each reportingquarter. The removal measurements addressed in thisreport are:

- Hazardous Substance Release Notifications

- Removal Investigations

On-Scene Monitoring of Responses.

A column has been added to the CERCLIS reportindicating whether HQ or regional makeup of a specificactivity occurred.

SCAP/SPMS TARGETS AND ACCOMPLISHMENTS SITE SUMMARY REPORT

The SCAP/SPMS Targets and Accomplishments Site SummaryReport (p. A-6) complements the Target Summary Report. Itshows, for each activity, sites where that activity hasoccurred this year (i.e., accomplishments) and sites wherethe activity is scheduled to occur (i.e., target sites).The report also shows, for the fiscal year, the totalplanned obligations for the activity at a given site theoriginal planned start quarter (for all the start targets)and the original planned completion quarter (for all thecompletion targets). All data are derived from sitespecific information entered into CERCLIS by theresponsible regions.

In addition to EPA ID, Operable Unit indicator andEvent Type being included to the CERCLIS report, columnsfor targeted planned start and targeted planned completionhave been added.

SCAP/SPMS MEASURES-SITE SUMMARY REPORT

The SCAP/SPMS Measures-Site Summary Report (p. A-7)complements the Measures Summary Report. It is limited tosites associated with Enforcement measures. The reportshows, for particular enforcement activities, sites wherethat activity has occurred this year (i.e.,accomplishments). The report indicates, for the fiscalyear, planned start and completion quarters and actualstart and completion dates. All data are provided throughthe site summary reports.

A-4

12/14/87

ACTIVITY HEASLBF

EXHIBIT A-2

SUPERFUNDFY 1907 THROUGH 4TH QUARTER

SCAP/SPHS MEASURES REPORTRESIGN

ACCOMPLISHMENTS KRCENT Of RG/HQ

OSWER Directive 9200.3-1APACE 1

NPL ADDITIONS

NON NPL PRP REMOVAL SEARCHES

NEGOTIATION STATUSINITIATEDONGOINGPLANNED

NPL FED FACILITY ACTIVITY

ADMINISTRATIVE COSTRECOVERY « SOOK)

ADMINISTRATIVE ORDERS ISSUEDNON-ACCESS 106

ADMINISTRATIVE ORDERS ISSUED3013. 104

RESPONSE COST RECOVERED

JUDICIAL ENFORCEMENT ACTIONS(106 REFERRALS!

RELEASE INVESTIGATIONS

RELEASE NOTIFICATIONS

ON-SCENE MONITORING OFHAZARDOUS SUBSTANCES

SPCC INSPECTIONS

ON-SCENE MONITORING/OIL SPILLS

OIL SPILL CLEANUPS

CEPP STATE EMERGENCY

~* _1

•

Bai•0

0

0

0

0

0

0

0

0

0

0

0

.an- .0

t

ta0

0

0

3

e

0

0

0

0

0

0

0

0

0

1J 1 .0

0

680

0

0

3

t

0

0

0

0

0

0

0

0

0

Tfi J0

1

481

0

0

0

0

0

0

0

0

0

0

0

0

0

Ut LAh ni3

17at0

0

6

Z

0

0

0

0

0

0

0

0

0

0

0

o •00

0

0

0

0

0

0

0

0

0

0

0

0

0

R6

HG.

HO,Hfl.wHQ

H9,

H9

HG.

H«

RG

R6

RG

RG

RG

RG

RG

RGPLANNING COMMISSIONS

A-5

EXHIBIT A-3 OSWER Directive 9200.3- lA

12/15/8715:04:19

ACTIVITY TARGET

EPA 10

FIRST RI/F3 STARTSPROGRAM

FIRST RI/FS STARTSENFORCEMENT

FIRST RI/FS STARTSPRP

SUPERFUNDFT 1987 THROUGH 4TH QUARTER

SCAP/SPMS TARGETS AND ACCOMPLISHMENTS - SITE SUMMARY REPORTREGION

SCAPOP EVT TARG PLAN ACTUAL

SITE NAME ST UNIT TYPE Lfi SJARJ. START START

TOTALS

SUBSEQUENT RI/FS STARTSPROGRAM

PAGE

SCAPTARG PLAN ACTUALCOMP. COMP. COMPLETE

TOTALS

01 C01 S

01 C01 FE

01 C01 RP

01 COI RP

01 COI RP

01 COZ RP

04 COI F

02 COI F

02 COI F

02 COI F

03 COI F

02 COI F

87/4

87/3

87/3

87/4

87/4

3

87/2

87/3

87/3

87/3

87/3

87/4

6

09/29/87

05/21/87

04/03/87

09/29/87

09/15/87

05/29/87

4

01/22/87

05/21/87

06/19/87

05/21/87

05/21/87

09/04/87

6

89/3

89/2

90/1

90/1

90/4

90/3

88/3

89/2

89/2

89/3

69/3

68/3

SUBSEQUENT RI/FS STARTSPRP

02 RI1 RP 87/4 09/04/67 86/2

INDICATES AN ACTIVITY ACCOMPLISHED BUT NOT TARGETED

A-6

OSWER Directive 9200. 3-1A

12/14/87•9:04:13

EXHIBIT A-4

SUPERFUNDFT

SCAP/Sm MEASURES - SXTf SUMMARY REPORTRESKM

CUM DRIB. CUM ORIQ.NE00TXATXCM PLAN PLAN PLAN PLAN ACTUAL ACTUAL

ACTIVITY HEA9UW «TTt NAME

NPL AOOmONS

NON NPL PRP REMOVAL SEARCHES

TOTALS

NEGOTIATION STATUSINITIATED RO/RA-NB02

RO/RA-NB01

RO/RA-N602

RO/RA-NB03

RZ/FS-N601

RI/TS-NBOt

RI/FS-NB01

RI/FS-NB01

RO/RA-NM1

RO/RA-NB03

RI/FS-NM1

RD/RA-NBOC

RI/TS-NMl

RZ/PS-NM1

RO/RA-NM1

» ^i^

F

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

FE

PE

FE

87/3

86/4

88/1

86/4 86/4 87/4

88/1

87/t 87/2 87/4

86/2 86/2 87/4

87/2 87/2

87/2 87/2 88/2

87/2 87/2 88/1

88/1

87/2 87/2 87/4

87/2 87/2 88/2

87/2 87/2 87/4

88/1

87/4 87/4 88/1

•MMdfc

87/3

86/4

88/1

87/4

88/1

87/4

87/4

87/4

88/1

88/2

88/1

87/4

88/2

87/4

88/1

88/1

12/15/86

12/01/86

12/01/86

12/01/86

10/01/86

03/01/87

01/22/87

06/12/87

OS/21/87

06/30/87

OS/11/87

•4/02/87

OS/05/87

Of/01/87

08/26/87

12/01/86

OV01/87

OV27/87

07/01/87

3

06/26/87

07/21/87

06/15/87

09/04/87

05/21/87

06/2 V87

09/15/87

A-7


The CERCLIS report has expanded upon the ISCAPreport's two columns — planned start and completion dates— to include both original and current planned scart andcompletion dates. Also, the Activity column in ISCAP hasbeen replaced with a column titled Negotiation Type inCERCLIS.

SCAP NATIONAL SUMMARY REPORT

The SCAP National Summary Report is not included inthis appendix because the portion of the CERCLIS data basethat generates this report was not fully implemented atthe time of the printing of this manual. The ISCAP reportwill probably not differ greatly from the CERCLIS report,and so will be summarized here. The ISCAP NationalSummary Report is broken into two parts. The first partshows national totals for all the SCAP targets. Thesecond part shows national totals for all the SCAPmeasures. The format of the two parts mirrors the formatsfor the region specific target and measures summaryreports.

3. SITE REPORTS

There are two site reports - one report is for NPLsites and a second is for non-NPL sites. Generally thereports show planned and actual SCAP activities at a givensite. The NPL site reports are more comprehensive in thatthey show, at a minimum, eighteen "core activities" thatwould occur at a "typical" NPL site. The non-NPL sitereport, on the other hand, shows only activities that haveoccurred or are planned for all non-NPL sites.

SCAP NPL SITE SUMMARY REPORT

The SCAP NPL Site Summary Report (p. A-9) is theresult of a combined effort between OERR and OWPE toreflect HQ information on response activities at a sitewhether the lead is Federal, State*, Enforcement orpotentially responsible party. It shows actual andprojected removal, enforcement, community relations, andremedial activities and associated outlays and obligations.

The purpose of the report is to show all the majorresponse activities at NPL sites. For every NPL site,eighteen core SCAP activities are shown. Additional SCAPinformation for removals and other support activities are

State Enforcement lead site data is not yet integratedinto the OWPE's Case Management System. Regionsshould, however, report all the data they have on StateEnforcement sites. Guidance on State Enforcement leadsites is forthcoming.

A-8

10/25/87

FEDERAL FACILITY: NOEPA ID:

TAKEOP OVERUNIT ACTIVITY UQ FLAG

EXHIBIT A-5

SCAP NPL SITE SUMMARY REPORTSTATUS AS OF 10/25/67

REGION:FMS ID:NPL STATUSi FNPL UPDATE:


ENFORCEMENT SENSITIVE informationFor INTERNAL USE only

PAGE 1SITE CLASSIFICATION: FEDERAL ENFORCEMENTSITE CATEGORY: LANDFILLDATE PROPOSED:DATE FINALIZED:

PUN ACTUALSTRT 3TART

NPL-SRCH01 FE

RI/FS-NG FE

01 REM-CR 1 F

01 MORKPLAN 1 F

01 RI/F3 1 F

01 ROD IF

01 TA IF

RD/RA-N601 FE

RD/RA-NG02 FE

01 RD 1 RP

01 DA IF

01 RA 1 RP

01 0 AND M 1 RP

U-ORDER 01 FE

02 RD 1 RP 67/4

02 RA 1 RP 69/1

02 0 AND M 1 RP 90/4

S106-L 01 FE

S107-L FE

S106/7-L01 FE

00 DLTN-COM

00 DELETION

PRIOR CURRENT OUTLAYS PLAN PLANPLAN ACTUAL YEAR YR OBL TO DATE CNTR PLAN OBL(tK) COMP FINCOUP COMPLETE OBLOK) OK) OKI VHCL FY/Q AMOUNT CfiDJ STAT

05/15/64 0 0 0 0

NOTE

67/3 06/19/67 90/4

63/4 83/4 09/01/63

63/4 09/27/83 65/4 09/23/85

85/4 D9/23/85

65/2 02/15/65 65/4 09/23/65

06/30/85 10/03/66

05/01/65 67/4

09/01/66 88/2

65/3 04/26/85

68/2 69/2

89/3

88/4

90/4

0

0

430

0

8

0

0

0

3

0

0

0

0

0

0

10

0

0

0

0

0

0

0

8

0

0

0

0

0

0

0

0

422

0

6

0

0

0

3

0

0

0

0 IAG 68/1

0

0

0

0

0

0

0

0

0

0

0

0

0

0 Y

100

0

0

0

FUND.BY REH I

ENTIRE SITE

ENTIRE SITE

COMPLIANCE OVERSIGHT



CAP

C8S33S2

ISsssssss

ICC

A-9


shown as they are planned or occur. Regions should planthese activities at least one quarter in advance.Resources for ORD supported activities (e.g., aerialsurveying) will be provided just prior to the plannedstart quarter indicated on the report.

The report shows remedial and enforcement projectschedules along with projected obligation needs (RI/FSthrough deletion) at all Fund lead sites where a RI/FSbegan prior to FY88 or is planned to begin in FY89.

The NPL site report represents the latest SCAP plan atthe site and provides regions and HQ with the means toplan and budget for response activities. Consequently, itis crucial that a region keeps its SCAP related data inCERCLIS up-to-date for adequate FTE and resourceallocation. The plan also supports the ability to performanalyses such as duration comparisons for activities atdifferent site types.

This report will reflect any accomplishments oradjustments made by the regions during the first twomonths of the quarter. Appropriate regional staff shouldreview and update site activity information, especiallyprojected start and completion dates and plannedobligation dates and amounts.

SCAP NON-NPL SITE SUMMARY REPORT

The SCAP Non-NPL Site Summary Report (p. A-ll) is forsites which have planned, ongoing, and actual activitiesfor the current fiscal year. The focus of information onthis report is on non-NPL removal and enforcementactivities. Several sites with their associatedactivities are shown on a page because there are normallyfewer than five activities at the non-NPL sites. For agiven site, the report shows the actual, ongoing, orplanned activities and obligations. Any comments areshown to the left of the activity name.

A Takeover Flag column has been added to the CERCLISreport, as well as the replacement of Activity Link columnwith Operable Unit column.

NON-SITE SPECIFIC REPORT

The CERCLIS version of this report was not yetgenerated at the time of this manual's printing. TheISCAP report indicates funding needs for non-site specificactivities. Extramural dollar requirements are shown inthe appropriate quarter. Remedial activities that appear

A-10

EXHIBIT A-6 OSWER Directive 9200.3-1A

12/14/8709:04:23

SITESPILL/EPA ID

SITE NAMESCAP NOTE

SCAP NON-NPL SITE StfflARY REPORTSTATUS AS OF 12/14/87

RESIGN t

TAXfOP OVER PLAN ACTUAL PLANUNIT ACTIVITY IB FLA6 STRT START COUP

PAGE IENFORCEMENT SFW?!TIVE informationFor INTERNAL USE only

OBLIGACTUAL TO DATECOtIP

OUTLAYS PLAN PLAN PLANTO DATE CKTR 08L OBL(tK)

(»K) VHCL fjf/q AMOUNT

00

m-SMCHOl HRVL-NE6 01 FE

r

87/402/15/8502/27/85

02/15/8506/14/85

00

133

00

130

00 Itt1-RHVL01 FS107-L 01 FE

02/21/85 06/19/6588/2

2650

2850

RVL-SUCH01 PCRVL-NE6 01 FE

00 RMVL 01 F00 RMVL 02 RP

000001

RVL-SRCH01 FERVL-NE6 01 FEItfff-RMVLOl FIMT1-RMVL02 FOTHER 1 FES107-L 01 FE

RVL-SRCH01 FERVL-NE6 01 FE

00 Mtl-RMYLOl FS107-L 01 FE

87/1

87/4

87/2

88/1

07/09/66

08/15/8403/15/8309/17/84

09/30/65

05/15/8504/15/85

86/487/287/487/4

87/4

07/01/67

02/15/8508/15/6404/10/8301/11/85

05/15/8509/OV85

00500

0054000

00

6310

0 TES 3 87/4020

0054000

00

6230

20000

000000

0000

A-ll


on this form include State PA/SSI's, management assistance(MA) and Corps of Engineers technical assistance (TA) anddesign assistance (DA). Enforcement activities reflectrequirements for training through contractors, incidentalADP, and administrative and management assistance(ADMIN). These enforcement activities are consideredextramural funding. Multi-Site Cooperative Agreements(MSCA) are also shown on this report. Resourcerequirements for ORD support (management and equipment)are indicated on this report.

A-12

APPENDIX B

SCAP/SPMS ACTIVITY DEFINITIONS

109511


I. PRE-REMEDIAL ACTIVITY DEFINITIONS

Preliminary Assessment (PA) Completions

The preliminary assessment is the first stage of siteassessment which determines whether a site should berecommended for further CERCLA action. Federal, State, andlocal government files, geological and hydrological data, anddata concerning site practices are reviewed to complete the PAreport.

For SCAP/SPMS purposes a PA is complete when the report isreviewed and accepted by the region and the PA completion dateis entered into CERCLIS. Although a site can have multiplePAs, only the first completed PA counts toward the target.

Planning Retirements :

1. Is the activity a Target or Measure 1. Target - SCAP/and for SCAP or SCAP/SPMS? SPMS1

2. Are annual Targets/Measures set? 2. Yes

3. Are quarterly Targets/Measures set, 3. SCAP and SPMS,and if yes, when? prior to FY

4. Is the activity planned site 4. Nospecifically, and if yes, when?

5. Are accomplishments reported on the 5. Sitesite or aggregate level?

6. What is the basis for the AOA? 6. Non-site specificplans

Comments:

1. The SPMS target is the sum of EPA/FIT and Stateconducted PA completion SCAP targets.

2.- State conducted PAs are funded in the "other remedial"portion of the AOA; FIT funding is held at HQ.

B-l


Preliminary Assessment (PA) Completions at NPL FederalFacilities

The definition for PA completions at Federal facilitiesparallels the definition for standard PA completions with theexception that only PA reports received from Federal facilitiesare counted.

Planning Retirements:

1. Is the activity a Target or Measure l. Reporting measure -and for SCAP or SCAP/SPMS? SCAP

2. Are annual Targets/Measures set? 2. No

3. Are quarterly Targets/Measures set, 3. Noand if yes, when?



6. What is the basis for the AOA? 6. N/A

B-2


Screening Site Inspection (SSI) Completions

The screening site inspection involves collecting fielddata from a hazardous substance site for the purpose ofcharacterizing the magnitude and severity of the hazard posedby the site and/or to support enforcement. An SSI shouldprovide adequate data in order to determine the site's HazardRanking Score (HRS).

For SCAP/SPMS, an SSI is complete when the SSI report isreviewed and accepted by the region and the SSI completion dateis entered into CERCLIS. Although a site can have multipleSSIs, only the first completed SSI counts toward the target.

Planning Requirements:

1. Is the activity a Target or Measure 1.and for SCAP or SCAP/SPMS?

2. Are annual Targets/Measures set? 2.

3. Are quarterly Targets/Measures set, 3.and if yes, when?

4. Is the activity planned site 4.specifically, and if yes, when?

5. Are accomplishments reported on the 5.site or aggregate level?

6. What is the basis of the AOA? 6.

Comments:

Target - SCAP/SPMS1

Yes

SCAP and SPMS,prior to FY

No

Site

Non-site specificplans

The SPMS target is the sum of the EPA/FIT andState-conducted SSI SCAP targets.

State conducted SSIs are funded in the "other remedial'portion of the AOA; FIT funding is held at HQ.

B-3


Listing Site Inspection (ESI) Completions

Listing site inspections involve the collection andanalysis of additional site data including informationpertinent to hazardous waste sources, migration pathways, andreceptors. The data collected is generally beyond thatrequired for HRS scoring and will expedite the remedialinvestigation/feasibility study (RI/FS) project planning phaseat NPL sites.

An LSI is complete when the LSI report is reviewed andaccepted by the region and the LSI completion date is enteredinto CERCLIS. There can be only one LSI completion per sitecounted against this target.


1. Is the activity a Target or Measure 1and for SCAP or SCAP/SPMS?

2. Are annual Targets/Measures set? 2

3. Are quarterly Targets/Measures set, 3and if yes, when?

4. Is the activity planned site 4specifically, and if yes, when?

5. Are accomplishments reported on the 5site or aggregate level?

6. What is the basis for the AOA? 6

Comments:

Target - SCAP

Yes

SCAP, prior to FY

Yes, prior to FY

Site

Site specificplans1

1. Funding is contained in the "other remedial" portion ofthe AOA. It is the aggregate of the plannedobligations for each site.

B-4


Federal Facility SSI Review

A Federal facility SSI review is complete when the regionhas reviewed and accepted the SSI review from the facility andthe SSI completion date is entered into CERCLIS. Only the firstcompleted review at a facility is counted.


1. Is the activity a Target or Measure 1. Projectionand for SCAP or SCAP/SPMS? measure - SCAP


3. Are quarterly Targets/Measures set, 3. SCAP, prior to FYand if yes, when?




B-5


National Priorities List (NPL) Additions

After PA and SI activities are completed, a site can benominated and listed on the NPL, based on its HRS score. Asite is counted as proposed when it is-included in a FederalRegister notice of candidate NPL sites.








B-6


NPL Site Additions at Federal Facilities

The definition for this activity parallels that of NPLadditions with the exception that only sites at Federalfacilities are included.






5. Are accomplishments reported on 5. Sitethe site or aggregate level?


B-7


HRS Packages Received at HQ

This activity is a count of Hazard Ranking System finalpackages received at HQ. The HRS package is prepared at theconclusion of the SSI but is not counted until it is receivedand accepted by the appropriate HQ program office.


1. Is the activity a Target or Measure 1. Reportingand for SCAP or SCAP/SPMS? measure - SCAP


3. Are guarterly Targets/Measures set, 3. Noand if yes, when?




B-8


Aerial Surveys

This category is a count of the number of aerial surveysundertaken to provide support on remedial projects. Only onesurvey per site is counted. The aerial" survey activity iscounted when complete documentation is delivered to theappropriate division in the region and the date of the surveyis entered into CERCLIS.


1. Is the activity a Target or Measureand for SCAP or SCAP/SPMS?

2. Are annual Targets/Measures set?

3. Are quarterly Targets/Measures set,and if yes, when?

4. Is the activity planned sitespecifically, and if yes, when?

5. Are accomplishments reported on thesite or aggregate level?

6. What is the basis for the ADA?

Comments:

1. Reportingmeasure - SCAP

2. No

3. No

4 . No

5. Aggregate

6. Non-sitespecific plans

l. Aerial surveys are funded in the "other remedial"portion of the AOA.

B-9


II. REMEDIAL ACTIVITY DEFINITIONS

First Remedial Investigation/Feasibility Study (RI/FS) Starts

The intent of an RI/FS is to draw up a carefully scoped,permanent solution to a contamination problem. An RI/FS startinvolves the development of work plans and plans for sampling,operations, quality assurance projects, health and safety, andcommunity relations. It also involves determination of a lead(i.e., State, Federal, or PRP) and selection of contractors.

Starts are counted depending on the lead. A Program orEnforcement lead RI/FS start is counted when:

Either a contract has been signed by the PCMD or acooperative agreement has been signed by the RegionalAdministrator to conduct an RI/FS;

Obligations have been recorded in FMS or have beenreported and documented in supplemental regionalreports as of the end of the reporting period or havebeen reported in Technical Enforcement Supportcontract status reports; and

There is no prior CERCLA settlement with a PRP for anRI/FS.

For Program and Enforcement lead RI/FS, the start date isdefined as the first obligation date for an RI, FS or RI/FS.State lead or State Enforcement lead RI/FS, where the State hastaken the lead at an NPL site for an RI/FS through a Programfunded cooperative agreement or an Enforcement fundedcooperative agreement, count toward the Program and Enforcementtargets, respectively. The start date would be the obligationdate for the CA.

An RP lead RI/FS start occurs at a site where there hasbeen no Fund obligations for an RI, FS or RI/FS and there is asettlement for an RI/FS. The start date is defined as thesignature date by the appropriate official or party (e.g., theRA, DOJ, private party) on the administrative order of consent,consent decree or consent agreement for the RP to conduct theRI/FS.

. Regions should establish start dates based on the schedulesin the settlement documents. Regardless of lead, an RI/FSstart is not officially counted until the start date is enteredinto CERCLIS by the region.

B-10


First RI/FS Starts (Cont.)


1. Is the activity a Target or Measure"and for SCAP or SCAP/SPMS?





6. What is the basis for the AOA?

Comments:

1. Target -SCAP/SPMS1

2. Yes

3. SCAP and SPMS,prior to FY

4. Yes, prior to FY

Site

Site specificplans and TBDs2

1. The SPMS target is the sum of Program, FE, and RP leadtargets.

2. Both are included in the "other remedial" portion ofthe AOA.

B-ll


Subsequent RI/FS Starts

The definition for Program, Enforcement and RP leadRI/FS subsequent starts parallels the definition forProgram, Enforcement, and RP lead first RI/FS starts.Subsequent RI/FS occur at NPL sites where previous RI/FSactivity has already taken place.








Comments:


2. Yes


4. Yes, when firststart planned

5. Site

6. Site specificplans2


2. Included in the "other remedial" portion of the AOA;no TBDS allowed.

B-12


Federal Facility RI/FS Starts

Federal facility RI/FS are conducted by a federal entityunder the terms of an Interagency Agreement (IAG). The startdate for a Federal facility RI/FS is the date that EPA hasapproved the work plan for RI/FS work.


l. Is the activity a Target or Measureand for SCAP or SCAP/SPMS?






Comments:

1. Included in Case Budget plans.

1. Measure - SCAPprojection; SPMSreporting

2. Yes


4. Yes, prior to FY

Site

N/A

B-13


First RI/FS Completions

An RI/FS completion entails the preparation of the RODwhich is produced after the completion of all RI/FS work asspecified in the work plan, including the Pre-Design Report.First RI/FS completions are defined as the number of NPL sitesthat will have a first completed RI/FS (Program, Enforcement,or RP lead) as determined by the ROD signature date by the RAor AA.

There can be multiple RI/FS completions at a site but onlythe initial one completed counts toward this target. Regionswill receive credit when an actual completion date is enteredin CERCLIS. Regions are required to send a copy of the ROD toHQ.




3. Are quarterly Targets/Measures set, 3.and if yes, when?


5. Are accomplishments reported on the 5.site or aggregate level?

6. What is the basis for the AOA? 6.

Comments:

1. The SPMS target is the sum of Program,targets.

Target -SCAP/SPMSl

Yes


Yes, when RI/FSstart is planned

Site

N/A

FE, and RP lead

B-14


Subsequent RI/FS Completions

The definition for RI/FS subsequent completions parallelsthe definition for RI/FS first completions. There can bemultiple completions at a site but onlyRODs signed after thefirst ROD count towards this target. Regions are required tosend a copy of the ROD to HQ.








Comments:

1. Target -SCAP/SPMS

2. Yes


4. Yes, when firststart is planned

5. Site

N/A


B-15


RI/FS Completions at Federal Facilities

This activity parallels the definition for first RI/FScompletions with the exception that only sites at Federalfacilities are considered.




3. Are quarterly Targets/Measures set, 3. Yes, prior to FYand if yes, when?

4. Is the activity planned site 4. Yes, prior to FYspecifically, and if yes, when?



B-16


First Remedial Design (RD) Starts

An RD start is the beginning of the process of fullydetailing and specifying the selected remedy identified in theROD, including obtaining contractor or other services necessaryto develop workplans and conduct the RD.

An RD start is either the date when the first RD obligationis made for Fund-financed RDs or, for RP lead, RDs, the datethe settlement is lodged by DOJ. There can be multiple RDs ata site, but only the first RD counts toward this SCAP target.It should be noted that the majority of Enforcement lead RI/FSwill result in RDs being conducted through a consent decree,unilateral administrative order or referred to DOJ for relief.Federal facility RDs are counted separately.








Comments:

Target - SCAP

2. Yes

3. SCAP, prior toFY

4. Yes, at RI/FSstart

5. Site


1. Separate targets are set for Program, FE, and RP leadRDs.

2. For Program and FE leads; no TBDs allowed.

B-17


Subsequent RD Starts

The definition for this activity parallels that for firstRD starts. There can be multiple RDs at a site, but only RDsfollowing the first RD count toward this SCAP target. If thereis an order for multiple RDs, subsequent RD starts are recordedin SCAP when a form (under development by OWPE) is sent to HQstating that a later operable unit has begun under a previouslyrecorded order.

Planning Recfuirements :







Comments:

1. Target - SCAP

2. Yes

3. SCAP, prior to FY


5. Site


1. Separate targets are set for Program, FE, and RP leadRDs.

2. For Program and FE leads; no TBDs allowed.

B-18


Federal Facility RD Starts

Federal facility RDs are conducted by a Federal entityunder the terms of an Interagency Agreement (IAG). The startdate for a Federal facility RD is the date of the lastsignature on the IAG. Credit towards this measure is given forany of the following:

A signed IAG for an RD;

Issuance of a §30008(h) corrective action order;

Referral of a §106 case to DOJ;

Issuance of a RCRA permit addressing all necessaryactions; or

A formal referral has been made to AA/SWER for disputeresolution.

A site can only receive credit once under this measure.


Is the activity a Target or Measureand for SCAP or SCAP/SPMS?


3. Are quarterly Targets/Measures set?If yes, when?




Comments:


1. Measure - SCAPprojection; SPMSreporting

2. Yes

3. Yes, prior to FY

4. Yes, prior to FY

5. Site

6. N/A1

B-19


First RD Completions

First RD completions are the total number of first RDprojects scheduled to be completed at Fund-financed projects(Federal or State lead) or RP projects. - For Federal lead RDprojects, an RD completion is the later date that either EPA orthe State concurs on the approved and accepted design. ForState lead RD projects, it is the date that EPA concurs on theapproved and accepted design. For RP lead projects, it is thelater date EPA and the State concur on the approved andaccepted design. There can be multiple RD completions countedat a site but only the first one completed counts toward thistarget.


1. Is the activity a Target or Measure 1. Target - SCAPand for SCAP or SCAP/SPMS?


3. Are quarterly Targets/Measures set, 3. SCAP, prior toand if yes, when? FY

4. Is the activity planned site 4. Yes, at RI/FSspecifically, and if yes, when? start



B-20


Subsequent RD Completions

The definition for RD subsequent completions parallels thedefinition for first RD completions. At sites with multipleoperable units, subsequent RD completions are counted after thefirst RD completion.








1. Target - SCAP

2. Yes



5. Site

6. N/A

B-21


First Remedial Action (RA) Starts

A first remedial action start is the initiation ofconstruction activity to address a release or potential releaseof hazardous substances at an NPL site.

An RA start is the date the first RA obligation is made forFund-financed projects (Federal or State lead) or, for RPprojects, it is the RD concurrence date at sites where theperformance of the RA must be included as a term of the consentagreement or order. If RPs complete an RD without an order,the start date will be the last signature date by theappropriate Federal agency or party on the settlement documentfor the RP to perform the RA. There can be more than one RA ata site, but only the initial RA counts toward this SCAP target.








Comments:


2. Yes2


4. Yes, with RI/FSfirst start

5. Site

6. Site specificplans^

1. Separate SPMS target for Program and RP leads.

2. Preliminary target locked in 1 1/2 years in advancewith budget formulation.

3. Program lead RAs are funded under the site specific RAAOA.

B-22


Subsequent RA Starts

The definition for subsequent RA starts parallels thedefinition for first RA starts with the exceptions that 1)subsequent RA starts occur at sites-where there has been aprevious RA start by the Fund or RP, 2) only RA startsafter the first RA count toward the subsequent RA starttarget and 3) subsequent RA starts, as a result of an orderfor multiple RAs, are recorded in SCAP when a form is sentto HQ stating that a later operable unit has begun under apreviously recorded order.








Comments:


2. Yes2


4. Yes, with RI/FSfirst start

5. Site

6. Site specificplans^

1. Separate SPMS target for Program and RP leads


3. Funded under the site specific RA AOA.

B-23


Federal Facility RA Starts

Federal facility RAs are conducted by a Federal entityunder the terms of an IAG. The start date for a Federalfacility RA is the date of the last signature on the IAG. Acredit towards this measure is given for any of the following:

A signed IAG for an RA;

Issuance of §30008(h) corrective action order;

Referral of §106 case to the DOJ;

Issuance of a RCRA permit addressing all necessaryactions; or

A formal referral has been made to AA/SWER for disputeresolution.

A site can only receive credit once under this measure.




3. Are quarterly Targets/measures set,if yes, when?




Comments:


Measure - SCAPprojection; SPMSreporting

2. Yes

3. No

4. Yes, prior to FY

5. Site

6. N/A1

B-24


First RA Completions

This activity represents the completion of a permanentresolution to address a release or potential release of ahazardous substance from a site, including constructioncompletion and site closeout.

An RA completion is the date the Regional Administratorprovides written notice to the appropriate party (EPA, State,or RP) of EPA's acceptance of the completed project. Thisoccurs after the final inspection/certification report has beenreviewed by the RPM for State lead RA and by the RPM and Statefor Fund-financed lead or RP lead RA; and the RPM or the RPMand State are satisfied that the construction is complete, andperforming adequately. There can be more than one RAcompletion at a site, but only the first completed RA projectcan be counted toward this target.



2. Are annual Targets/Measures set? 2. Yes1

3. Are quarterly Targets/Measures set, 3. SCAP, prior to FYand if yes, when?




Comments:


B-25


Subsequent RA Completions

The definition of subsequent RA completions varies from thedefinition of first RA completions only in that subsequent RAcompletions are counted after the first-RA completion.








Comments:

1. Target - SCAP

2. Yes1


4. Yes, prior to FY

5. Site

6. N/A


B-26


Final RA Completions

The final RA completion is the last activity at a siteprior to deletion initiation. At sites with multiple operableunits, it represents the completion date for the last unit atthe site. The final RA completion is counted for SCAP/ SPMSpurposes when the Regional Administrator provides writtennotice to the appropriate party of EPA's acceptance of thecompleted project.








1. Target - SPMS

2. Yes

3. SPMS, prior toFY

4. Yes, prior to FY

5. Site

6. N/A

B-27


NPL Deletion Initiation

An NPL deletion initiation occurs where an NPL site as awhole has had performance monitoring of the completed remedy orremedies and the integrity of the action(s) has been verifiedand it is determined that no further remedial action isrequired at the site. The target represents the initiation ofthe deletion process when the Regional Administrator transmitsa complete deletion recommendation package to the AA/SWER forformal concurrence.


1. Is the activity a Target or Measure 1. Target-SCAP/SPMSand for SCAP or SCAP/SPMS?


3. Are quarterly Targets/Measures set, 3. SCAP and SPMS,and if yes, when? prior to FY

4. Is the activity planned site 4. Yes, priorspecifically, and if yes, when? _- to FY



B-28


Expedited Response Action (ERA) Starts

ERAs are removal actions that are conducted under theexpanded authority of the NCP. The primary objective of ERAsis to expedite clean-ups at NPL sites where the alternativesare clear and where an emergency situation does riot exist.ERAs also accomplish partial site remediation consistent with apermanent remedy. ERAs include removal of drums, tanks, andhighly contaminated soils; establishing drainage controls andother site stabilization activities; and provision of alternatewater supplies. The start of the ERA will be the obligationdate for the ERA.






5. Are accomplishments reported on thesite or aggregate level?


Comments:

1. Target -SCAP/SPMS1,2

2. Yes


4. Yes, prior to FY

5. Site

6. Site specificplans and TBDs3

1. This activity can only occur at NPL sites.

2. The SPMS target is a component of the first andsubsequent NPL removal SPMS targets.

3. Both in the "other remedial" portion of the AOA.

B-29


III. REMOVAL ACTIVITY DEFINITIONS

First Removal Starts at NPL Sites - Fund and RP

A removal start is a response action taken to prevent ormitigate a threat to public health, welfare or the environmentposed by the release of a CERCLA hazardous substance, pollutantor contaminant. Activities include development of communityrelations, site safety, and removal action work plans and theevaluation of disposal technology options with regard tocompliance with ARARs.

The definition for first removal starts at NPL sites is thenumber of NPL sites (final and proposed) where onsite removalactivity has begun and there has been no prior removal activityunder the direction of EPA or through an RP settlement.Fund-financed onsite removals count toward this target underthe following conditions:

The action memorandum has been approved by the OSC orRegional Administrator or AA;

A contract has been signed for an EPA or USCG onsiteremoval;

The obligation for the removal has either beenrecorded in FMS or has been reported and documented insupplemental regional financial reports or when theOSC activates $50K;

Onsite removal work has begun;

There has been no previous Fund-financed or RP removalactivity at the site taken under CERCLA; and

RP onsite removals count toward this target under thefollowing conditions:

There has been no prior Fund-financed or RP leadremoval activity at a site; and

There is an administrative order on consent, aunilateral order where RPs are in compliance, aconsent decree, or consent agreement with RPsrequiring a removal action. The date of settlementwill be considered the start date for the RP removal.

B-30


First Removal Starts at NPL Sites - Fund and RP (Cont)

If an RP takes over a Fund removal action, the Fundshall receive credit for a first removal start andcompletion. The completion date will be the RP takeoverdate. The RP removal action will be considered a firststart. If the Fund takes over an RP removal action, theFund action will be considered a subsequent removal.








Comments:


2 . Yes

3. SCAP, prior toQuarter

4. Yes, prior toQuarter

5. Site

Site specificplans

1. SPMS target is the sum of Fund-financed and RP leadremovals plus ERAs.

B-31


First Removal Starts at Non-NPL Sites - Fund and RP

A first removal start at a non-NPL site occurs when removalactivity has begun and there has been no prior Fund or RPremoval activity. Fund-financed and RP"non-NPL first startsfollow the same criteria for counting as first starts at NPLsites.








Comments:

1. Target - SCAP1

2. Yes



5. Site

6. N/A2

1. A USCG SCAP measure.

2. Funding for USCG lead removals is provided by HQ andis based on site specific plans and TBDs.

B-32


Subsequent Removal Starts at NPL Sites - Fund and RP

The definition for subsequent Starts at NPL sites parallelsthe definition for first starts at NPL sites with the exceptionthat Fund and RP subsequent removals are counted when there hasbeen prior Fund-Financed or RP removal activity at the site.








Target - SCAP

2. Yes

3. SCAP, prior toquarter

4. Yes, prior toquarter

5. Site

Site specificplans and TBDs

B-33


Subsequent Removal Starts at Non-NPL Sites - Fund and RP

Subsequent starts occur at non-NPL sites where onsiteremoval activity has begun and there has been priorFund-financed or RP lead removal activity- Fund-financed andRP lead non-NPL subsequent starts follow the same criteria forcounting as non-NPL first starts.








Comments:

1. Funding for USCG lead removals is provided by HQ andis based on site specific plans and TBDs.

Projectionmeasure - SCAP

Yes

SCAP, prior toquarter

Yes, prior toquarter

Site

B-34


First Removal Completions at NPL Sites - Fund and RP

First removal completions at NPL sites are counted on theday the onsite removal action, consistent with the scope ofwork, or settlement is completed. Note," actions not sites arebeing counted. An NPL removal completion counts only if thesite was on a Final or a Proposed NPL the day the removalstarted. Fund-financed removal completions count toward thistarget when:

Actions as identified in the scope of work have beencompleted; and

The cleanup contractor(s) has demobilized and left thesite.

RP removals will count where the RPs have completed the removalaction under terms of an administrative order, consent decree,consent agreement or judgment.








Comments:


2. Yes



5. Site

Site specificplans

1. The SPMS target is the sum of Fund-financed and RPlead sites.

B-35


First Removal Completions at Non-NPL Sites - Fund and RP

The definition for non-NPL site completion parallels NPLsite completions.




3. Are Quarterly Targets/Measures set,and if yes, when?




1. Target - SCAP

2. Yes



5. Site

6. N/A

B-36


Subsequent Removal Completions at NPL Sites - Fund and RP

The definition for subsequent removal completions at NPLsites parallels that for first removal completions except thatsubsequent completions occur at sites where a previousFund-financed or RP lead onsite removal completion has takenplace.








Comments:


2. Yes

3. SCAP, priorquarter

4. Yes, priorquarter

5. Site

Site specificplans

1. SPMS target is sum of Fund-financed and RP lead sites

B-37


Subsequent Removal Completions at non-NPL Sites - Fund and RP

The criteria necessary to fulfill the requirements forcounting Fund-financed and RP lead subsequent non-NPL removalcompletions are the same as the criteria for NPL subsequentremoval completions.








1. Projectionmeasure - SCAP

2. Yes



5. Site

6. N/A

B-38


Hazardous Substances Release Notification

The definition for release notifications is the number ofsites/incidents where a release notification is received. Arelease notification is counted when a report of a hazardoussubstance release is received, processed, and logged by EPA.The count should not include state/USCG notifications forwardedex post fact through monthly summaries unless followed up byEPA. Count should include potential releases, notificationsnot recognized through CERCLA (e.g. harmless substances, spillsbelow RQ), and spills at waste sites if reported to EPA. Thisitem is reported in SCAP because of its impact on resourceallocation.




3. Are guarterly Targets/Measures set, 3. Noand if yes, when?


5. Are accomplishments reported on the 5. Aggregatesite or aggregate level?


B-39


Hazardous Substances Release Investigations

A release investigation is the process of collecting fielddata on an actual or potential hazardous substance site orspill for the purpose of characterizing the magnitude andseverity of the hazard and/or to support enforcement. Thiscategory includes all efforts from the decision to conduct aninvestigation up to the decision to prepare an action memo forremoval action.

Investigations may be conducted by EPA and/or by TAT, andmust include an onsite component, such as a walk around surveyor sampling, to be counted. Investigations conducted entirelyby the State do not count.



reporting






B-40


On-Scene Monitoring of Responses to Hazardous SubstanceReleases

On-scene monitoring of a hazardous substance release occursat actions where CERCLA funds are not obligated for cleanupwork, but where EPA provides on-scene oversight and technicalassistance to ensure that all CERCLA statutes/regulations areadhered to in site cleanup or stabilization. CERCLA fundedremovals do not count in this category. Incidents where theState conducts a removal through a cooperative agreement orcontract also do not count.








B-41


IV. ENFORCEMENT ACTIVITY DEFINITIONS

Interagency Agreements (lAGs) for Remedial Activities

This activity is a count of all of the lAGs for remedialactivities. lAGs for remedial activities are signed betweenEPA and a responsible Federal agency and are the mechanismallowing that agency to perform RI/FS, RD, or RA. Credit isgiven for an IAG with the last appropriate signature on the IAG,




3. Are quarterly Targets/Measures set, 3. Yes, prior to FYand if yes, when?




B-42


NPL Sites With Completed PRP Searches

A completed PRP search at an NPL site should include thefollowing information at a minimum:

A review and compilation of agency and staterecords;A title search;Interviews with government officials;A history of operations at the site;Identification of owner/operators;Any quantitative waste information developed foreach identified PRP and a preliminary volumetricranking;Financial status of identified parties;PRP status and history;PRP name and address update;Issuance of information request letters;Comprehensive report documenting findings; andDetermination of Site Classification.

PRP searches should be initiated concurrently with thebeginning of the listing process and should be completedshortly after proposed NPL listing and at least 90 days beforethe projected obligation for an RI/FS.





4. Is the activity planned site 4. No1

specifically, and if yes, when?


6. What is the basis for the AOA? 6. N/A2

Comments:

1. Responsibility begins after NPL Listing.

2. No AOA. Funds obligated from HQ. Money on non-siteaggregate for Case Budget.

B-43


Non-NPL Removal Sites With Completed PRP Searches

A completed PRP search for a non-NPL site should includeall of the same criteria cited for NPL sites with a completedPRP search.

PRP searches should occur at all non-NPL sites withresponse activity and should be initiated prior to the action(where possible) to support notice and administrative actions.The searches should be completed expeditiously to support costrecovery efforts.

Planning Requirements :







Comments:

2

3

Projectionmeasure - SCAP

Yes

No

4.-.-No

5. Site

6. Non-siteaggregates1

1. Money in non-site aggregate for Case Budget.

B-44


Start of RI/FS Negotiations

This activity counts the number of RI/FS negotiations withresponsible parties started during the year. The start iscounted at the first face-to-face meeting of involved parties.







6. What is the basis for the ADA? 6.--N/A

B-45


Conclusion of RI/FS Negotiations

This activity counts the number of RI/FS negotiationsconcluded during the year. The conclusion is counted when theregion reports the completion date and the outcome to HQ.








B-46


Start of RD/RA Negotiations

This activity counts the number of RD/RA negotiationsstarted during the fiscal year. It is counted when the firstface-to-face meetings between involved parties are held.


1. Is the activity a Target or Measure 1. Reporting measureand for SCAP or SCAP/SPMS? SCAP




5. Are accomplishments reported on 5. Sitethe sit or aggregate level?


B-47


Conclusion of RD/RA Negotiations

This activity counts the number of RD/RA negotiations withresponsible parties concluded during the fiscal year. An RD/RAconclusion is counted when the region reports the completiondate and the outcome to HQ.






5. Are accomplishments reported on 5the site or aggregate level?


Comments:


Target - SCAP/SPMS

Yes


Yes, at RI/FS start

Site

Site specificdollars^

B-48


Cost Recovery Cases Referred to HQ (Greater Than $200K)

Cost recovery cases referred to HQ (greater than $200K)occur at sites where the region has referred a civil action toOECM or DOJ seeking reimbursement of past Trust Fundexpenditures for removal or remedial response totaling at least$200K under §107 of CERCLA. New referrals for additional costrecovery action will count only where the first referral hasbeen resolved. (Amendments to active §107 cases do not counttoward this target.) Combined §106 and 107 cases and proofs ofclaim in bankruptcy actions will not count against thistarget. This does include cost recovery under Section I22(h)and 122(1). The target will be reduced if DOJ returns theaction to EPA and EPA takes no further action (CaseWithdrawn). Also included in this category are any costrecovery collection actions, e.g., enforcement of noncompliancewith the settlement.






5. Are accomplishments reported on the 5,site or aggregate level?


Comments:

Target - SCAP/SPMS

Yes


Yes, prior to FY

Site

Site specificdollars1

1. Included in Case Budget plans. No TBDs allowed.

B-49


Administrative Cost Recovery Settlements (Less Than $200K)

Administrative cost recovery settlements (less than $200K)occur at sites where Regional Counsel has obtained anadministrative settlement with RPs that' provides forreimbursement of Trust Fund money under §107 of CERCLA. Theeffective date of the administrative order determines when thesettlement is counted. When no settlement documents exist inadministrative settlements, the date funds are received by theFinancial Management Division determines the quarter in whichthe settlement is counted. Cost recovery for reimbursement ofoversight under §106/122 settlements for response action doesnot count against this target. This does include cost recoveryunder §122(h) and 122(1). The sites addressed by this methodof settlement are response actions where all costs incurred bythe Fund are less than $200K. In some cases these actions maybe referred under §107 instead (e.g. recalcitrant parties,costs close to the $200K limit, etc.). In such cases, thereferral would count in the previous activity, "Cost RecoveryCases Referred to HQ."


1.

2

3

Is the activity a Target or Measure 1.and for SCAP or SCAP/SPMS?

Target - SCAP/SPMS

Are annual Targets/Measures set? 2. Yes

Are quarterly Targets/Measures set, 3.and if yes, when?


Is the activity planned sitespecifically, and if yes, when?

4. Yes, prior to FY

Are accomplishments reported on the 5.site or aggregate level?


Comments:

6.

Site

Site specificdollars1

1. Included in Case Budget plans. No TBDs allowed.

B-50


S106 Case Resolution/Trial

Resolution of §106 judicial action is credited when: asettlement is entered in the court fully addressing thecomplaint with all parties, or the case is withdrawn ordismissed, or a trial has concluded and judgement entered.Resolution for additional cost recovery action will count onlyif it is independent of other actions.






1. Target -SCAP/SPMS*

2. Yes


4. Yes, prior to FY

Are accomplishments reported on the 5.«.-Sitesite or aggregate level?

What is the basis for the AOA?

Comments:

6. Site specific dollars2

1. SPMS target reported separately unless reported withcost recovery.

2. Included in Case Budget plans. No TBDs.

B-51


S107 Case Resolution/Trial

The definition of this activity parallels that of §106 CaseResolution/Trial.








Comments:

Target -SCAP/SPMS1

Yes


Yes, prior to FY

Site

Site specificdollars^

1. SPMS target reported separately unless reported withcost recovery.

2. Included in Case Budget plans - ongoing support.

B-52


§106 RD/RA Referrals Without Settlement

This activity is defined as all judicial referrals to HQthat seek relief under CERCLA §106. Referrals of RD/RAsettlements seeking judicial concurrence or §106 referralsseeking preliminary relief or penalties, do not count towardthis target.




3. Are guarterly Targets/Measures set, 3.and if yes, when?


5. Are accomplishments reported on 5.the site or aggregate level?

6. What is the basis for the ADA? 6.

Comments:

1. Plus TBDs.

2. Both included in Case Budget plans.

Target - SCAP

Yes

Yes, prior to FY

Yes, prior to FY1

Site

Site specificdollars and TBDs2

B-53


Administrative Orders for Removal Actions

An administrative order for removal action is counted whenthe order has been signed and issued by EPA within thequarter. Credit is given for one order per site when multipleorders are issued for a removal action at a single site.Excluded from this order are access orders. This reportingmeasure is for NPL and non-NPL sites.






5. Are accomplishments reported onthe site or aggregate level?


1. Reporting measureSCAP

2. No

3. No

4. No

5. Site

6. N/A

B-54


V. COMMUNITY RELATIONS PLAN ACTIVITIES

Community Relations Plan Implementation Starts at RemedialSites

Community relations plan implementation begins with theinitiation of an RI/FS project at a site. It should includeall implementation activities through the responsivenesssummary. Activities under this category include, but are notlimited to the following: establishing an informationrepository, fact sheets, public meeting and workshops,responsiveness summaries and hotlines. The completion date isthe signing of the ROD for Fund-financed sites. Forenforcement lead sites, activities are the same as listedabove. The completion date for enforcement lead sites is theend of the public comment period on the consentdecree/administrative order for remedial action.




3.

2.

Are quarterly Targets/Measures set, 3.and if yes, when?

4. Is the activity planned site-specifically, and if yes, when?



Comments:

4.

Projection.measure/ - SCAP

Yes

No

Yes, with RI/FSStart

5. Site

6. Site specificdollars and TBDs1

1. Site-specific dollars are included in the "otherremedial" portion of AOA. If TBD is used for RI/FSplanning than a TBD CRP start should also be planned.

B-55


VI. MISCELLANEOUS ACTIVITY DEFINITIONS

SPCC Inspections/Reviews

The number of spill prevention compliance reviews performedby EPA and/or TAT defines the SPCC inspections/reviews. Countshould include both on-site inspections and detailed planreviews. Follow up inspections at a single facility may becounted separately.








1. Projectionmeasure -SCAP

2. Yes

3. No

4 . No

5. Aggregate

6. N/A

B-56


Clean Water Act (CWA)-Funded Oil Spills Cleaned Up By EPA

CWA-Funded oil spill clean ups are oil spills cleaned up byEPA using 311(k) funds. A single incident should be countedonly once regardless of how many times an EPA OSC or TAT goesback on-scene, or how many phases the response entails.


1.

2

3

Is the activity a Target or Measure 1and for SCAP or SCAP/SPMS?

Are annual Targets/Measures set?

Are quarterly Targets/Measures set,and if yes, when?

Is the activity planned sitespecifically, and if yes, when?

Are accomplishments reported onthe site or aggregate level?

What is the basis for the AOA?

Comments:

2

3

Projectionmeasure - SCAP1

Yes

SCAP, prior toquarter

No

Aggregate

No

1. Included as a component of the non-NPL removal measure

B-57


On-Scene Monitoring of Responses to Oil Spills

On-scene monitoring of response to oil spills occurs atincidents where on-scene monitoring of responses to oil spillsis expected to be provided by the Removal program. On-scenemonitoring occurs when the RP, State, Local Authorities, orother party responds and 311(k) funds are not invoked, butwhere EPA or TAT provides on-scene oversight or technicalassistance to ensure that adequate cleanup takes place. EPAfunded removals do not count in this category.


1. Is the activity a Target or Measure 1. Projection measureand for SCAP or SCAP/SPMS? SCAP




5. Are accomplishments reported on 5. Aggregatethe site or aggregate level?


B-58

APPENDIX C

SCAP/SPMS ACTIVITY METHODOLOGIES

OSWER DIRECTIVE 9200.3-1A

APPENDIX C

The following appendix presents the FY89 methodologies forderiving each of the SCAP/SPMS targets and projectionmeasures. This appendix should be used as a tool forunderstanding the initial SCAP targets/measures issued to eachregion by Headquarters.

For all activities, final targets and projection measureswill be established after Headquarters/regional negotiations.

If there are any questions as to applicability of aparticular activity to a target/measure, please refer toAppendix B - SCAP/SPMS Activity Definitions. Also note thatall tables in Appendix C are hypothetical and used fordemonstration purposes only.

The following FY89 methodologies are being developed byOWPE:

SI review at Federal facilities;

NPL site additions at Federal facilities;

RI/FS starts at Federal facilities;

RI/FS completions at Federal facilities;

RD starts at Federal facilities; and

RA starts at Federal facilities.

C-l


I. PRE-REMEDIAL TARGETS AND PROJECTION MEASURES METHODOLOGIES

Activity: Preliminary Assessment (PA) Completions

Methodology:

The national PA completion target for FY89 is to complete3,000 PAs as set forth in the Agency's FY89 budget request.Approximately 2,000 will be based on sites in CERLIS as of11/30/87, and 1,000 will be based on high priority RCRA sites.

A PA completion target for a particular region isestablished through the following procedure:

Determine a region's total number of sites in CERCLISas of 11/30/87.

Determine the number of Federal facilities in CERCLISfor the region as of 11/30/87 and subtract that numberfrom the region's total number of sites in CERCLIS asof 11/30/87. The result is the region's PA Baselinefor FY89.

Determine the number of completed PAs up to 11/30/87and subtract this from the region's PA Baseline. Theresult is the number of uncompleted PAs for the region,

Add up regional totals to obtain national candidatetotals.

Divide a region's number of candidates by the nationalnumber of candidates and multiply by 2,000. Theresult is 2/3 of the region's PA completions targetfor FY89.

The remaining 1/3 of the targets will be based onunaddressed RCRA sites found in the HWDMS data base.

Repeat the first four steps of the methodology(substituting HWDMS data for CERCLIS data) andmultiply by 1000.

The sum of the CERCLIS and RCRA targets is the overallPA completion target.

C-2


PRE-REMEDIAL METHODOLOGIES

Activity: Screening Site Inspection (SSI) Completions

Methodology:

The national SSI completion target for FY 1989 reflects thenumber of expected SSI completions in the budget.

Regional SSI completion targets are derived through thefollowing procedure:

Determine the total number of SSI completions inCERCLIS as of 11/30/87

Determine the number of sites without completed SSIs

Divide the number of sites in the inventory withoutcompleted SSIs by the national total

Multiply each region's percentage by the total numberof SSIs to be accomplished as shown in the Responsebudget.

C-3


PRE-REMEDIAL METHODOLOGIES (CONT.)

Activity: Listing Site Inspection (LSI) Completions

Methodology:

The national LSI completion target for FY89 is based on thebudget target.

Because LSIs are similar to full field investigations, theregional targets for LSI completions are based on both theprior experience with similar investigations as well as theestimated number of SSIs that lead to NPL site additions.

C-4


PRE-REMEDIAL METHODOLOGIES (CONT.)

Activity: National Priorities List (NPL) Site Additions

Methodology:

The national NPL site addition measure for FY89 isdetermined by the historical average of sites added to the NPL

Initial regional NPL site addition measures for FY89 arebased on the assumption that each region's share of theproposed NPL sites will be proportional to its share of NPLsites as of 11/30/87.

The FY89 regional targets will be used to distributeregional FTE resources.

C-5


II. REMEDIAL TARGETS AND PROJECTION MEASURES METHODOLOGIES

Activity: First RI/FS Starts - Program, Enforcement and RP Lead

Methodology:

The national target for first RI/FS starts is based on theFY89 budget.

The regional targets are established through the followingmethodology:

Determine the number of available potential sites forfirst RI/FS starts through NPL Update tt 7 and theFederal facilities Update. The result will be used asthe NPL baseline.

Subtract the following from the total NPL baseline:

Sites with either an RI, FS or RI/FS actual orprojected first start through FY88 according torecords in CERCLIS;

Sites addressed under the RCRA legislativeauthority;

State Enforcement lead sites with planned oractual starts through FY88;

Federal facility sites on the NPL;

Sites which have remedial design or remedialaction underway or completed that did not requirean RI/FS.

The difference represents the potential nationalcandidate pool of sites from which the first RI/FSstarts can be drawn for FY89.

Total the number of potential RI/FS candidate sitesfor each region and determine the region's percentageof the total national candidate pool.

Multiply the region's percentage of the nationalcandidate pool of sites by half of the national targetfor first RI/FS starts.

C-6


First RI/FS Starts (Cont.)

Determine the total, number of national first RI/FScompletions planned for FY88 and the number of firstRI/FS completions planned in FY88 in each region.Calculate each region's percentage of national firstRI/FS completions and multiply this by half of thenational target for first RI/FS starts in FY89.

Add the totals derived in the last two lines. This isa region's first RI/FS starts target for FY89.

The table below demonstrates how Regional first RI/FSstarts are determined. Assume the national target for firstRI/FS starts is 200.

Pool ofCandidate

Region Sites*

IIIIIIIVVVIVIIVIIIIXX

Total

30153045154545303015

300

% ofNational

Pool

10.05.0

10.015.5.15.

,0,0,0

15.00.0

10.05_JD

100.0

% of PoolTimes1/2

Natl.RI/FSStartTargets

10510155151510105

100

% ofNationalSites WithPlanned FY88First RI/FSCompletions

15.05.0

10.010.05.0

15.05.020.010.05.0

100.0

% of FY88CompletionsTimes 1/2Natl.RI/FSStart

Targets

15510105

155

20105

100

Targetfor

RI/FSFirstStarts

25102025103020302010

200

First RI/FS start targets will be broken down to reflectProgram, Enforcement, and RP lead RI/FS activities. These willbe established by subtracting RP lead sites from the totalnumber of RI/FS sites, then allocating the remaining sites toProgram and Enforcement lead first RI/FS starts in appropriateproportions.

*See description above for explanation of the pool of candidatesites.

C-7


REMEDIAL METHODOLOGIES (CONT.)

Activity: Subsequent RI/FS Starts — Program, Enforcement, andRP Lead

Methodology:

The national candidate list for subsequent RI/FS starts isbased on projected subsequent RI/FS starts in the CERCLISrecords, as reported by the regions. All RI/FS following thefirst RI/FS are used to determine the subsequent RI/FS startcandidate list.

The regional subsequent RI/FS start list is determined byprojections as reported in CERCLIS.

C-8


REIMEDIAL METHODOLOGIES (CONT.)

Activity: First RI/FS Completions — Program, Enforcement, andRP Lead

Methodology:

The overall annual target for first RI/FS completions isdetermined by adding together the total number of projectedfirst RI/FS completions for all regions in FY89 according torecords in CERCLIS.

The initial targets for regional first RI/FS completionsare based on projections in CERCLIS for Program, Enforcement,and RP lead RI/FS.

C-9



Activity: Subsequent RI/FS Completions — Program,Enforcement, and RP Lead

Methodology:

The national and regional targets for subsequent RI/FScompletions are derived by determining the scheduled subsequentRI/FS completions for FY89 in CERCLIS.

C-10



Activity: First Remedial Design (RD) Starts — Program and RPLead

Methodology:

The national target for first RD starts is based on theregions' projected first RD starts in CERCLIS. All firstdesigns following RI/FS are used to determine the RD candidatelist. The initial target is equal to 100% of all projectedstarts. The final target is based on Headquarter/regionalnegotiations.

The methodology used to derive the first regional RD starttargets is as follows:

Initial RD candidate list for each region isdetermined from first designs following RI/FS.

Each region's initial RD target is set at 100% of theregional candidate list.

Regions identify which of the RD candidates that theyplan to start, which ones are to be Fund-financed, andwhich are to be RP lead.

HQ reviews candidate records in CERCLIS.

HQ and regions hold negotiations based on the regionalsubmittal and final targets are established.

C-ll



Activity: Subsequent Remedial Design (RD) Starts — Programand RP Lead

Methodology:

The initial national target for subsequent RD starts isbased on 100% of the regions' projected subsequent RD starts.All designs following the first RD start are used to determinethe preliminary subsequent RD start candidate list.

Regional subsequent RD start targets are determined usingthe same steps for regional first RD starts (with theappropriate substitution of subsequent starts for first starts)

C-12



Activity: First Remedial Design (RD) Completions — Programand RP Lead

Methodology:

The initial national target for first RD completions isbased on projected first RD completions in FY89 from CERCLISfor all RDs that are ongoing or are planned to be started andcompleted.

The regional first RD completion target methodology is asfollows:

Determine list of regional candidate sites for firstRD completions in FY89 from CERCLIS for all ongoingRDs or RDs that are planned to be started andcompleted.

Regions determine which of the projected completionswill occur.

Revised list is established and appropriate changes inCERCLIS made.

Headquarters and regions negotiate RD completions, andfinal first RD completion targets are established.

C-13



Activity: Subsequent Remedial Design (RD) Completions —Program and RP Lead

Methodology:

The initial national and regional targets are establishedwith the same procedure outlined for first RD completionsexcept that planned subsequent RD completions in CERCLIS arethe basis for the projections.

C-14



Activity: First Remedial Action (RA) Starts — Program and RPLead

Methodology:

The initial national target for first RA starts is based on100% of the regions' projected first RA starts in CERCLIS. Allfirst RAs following the first completed RD are used todetermine the RA candidate list.

The methodology used to derive the regional first RA starttargets is as follows:

Initial RA candidate list for each region is based onthe number of scheduled first completed RDs duringFY89.

Each region's target is set at 100% of the regionalcandidate list.

Regions identify which of the RA candidates are to beFund-financed and which are to be RP lead.

Regions update CERCLIS according to revised candidatelist.

Headquarters and regions hold negotiations based onthe regional submittal and final targets areestablished.

C-15



Activity: Subsequent Remedial Action (RA) Starts — Programand RP Lead

Methodology:

Initial national and regional subsequent RA start targetsare established with the same methodology as those of first RAstarts, with subsequent start projections in CERCLIS beingsubstituted for first start projections.

C-16



Activity: First Remedial Action (RA) Completions — Programand RP Lead

Methodology:

The initial national target for first RA completions isbased on 100% of the candidate sites for RA completionsrecorded in CERCLIS. Final targets are set after negotiations.

The regional first RA completion target methodology is asfollows:

Determine initial first RA completion candidate list.

Each region's target is set at 100% of the candidatelist.

Regions identify which of the RA candidates will becompleted in FY89.

Regions make changes in CERCLIS to match revisedcandidate list.

Headquarters and regions hold negotiations and finalFund-financed and RP lead first RA completion targetsare established.

C-17



Activity: Subsequent Remedial Action (RA) Completions —Program and RP Lead

Methodology:

National and regional subsequent RA completion targets aredetermined in the same manner as first RA completions.Subsequent RA completion information should be substituted inplace of first RA completion information.

C-18



Activity: National Priorities List (NPL) Deletion Initiation

Methodology:

National and regional targets for NPL deletion initiationare based on FY89 projected deletions in CERCLIS.

C-19



Activity: Expedited Response Action (ERA) Starts

Methodology;

The overall annual target for ERA starts is determined byadding together the total number of projected ERA starts forall regions in FY89 according to records in CERCLIS.

The initial targets for regional ERA starts are based onprojections in CERCLIS for Program, Enforcement, and RP leadRI/FS.

C-20


III. REMOVAL TARGETS AND PROJECTION MEASURES METHODOLOGIES

Activity: First Removal Starts at NPL Sites — Program and RPLead

Methodology:

The national target for first onsite NPL removal activityincludes Fund-financed and RP removal actions taken underCERCLA. Each of these actions represents a component of theoverall target.

For the Fund-financed components, the target for removalstarts is based on the overall Fund budget target. This budgetalso includes non-NPL removals as well as subsequent removals(restarts) and excludes RP removals. The overall initialregional Fund SCAP/SPMS target for NPL removals is based on theAgency goal, as expressed in the Operating Guidance, ofperforming more removals at NPL sites.

The RP target is based on an historical evaluation oforders issued at removal sites. Historically, consentadministrative orders, or unilateral orders where the RP is incompliance, were issued at approximately 25% of the sites wherethere is Fund-financed removal activity. For initial targetsit was anticipated that each region will have at least one RPlead NPL removal start.

The onsite first removal start target is flexible and finalSCAP and SPMS goals for NPL removal starts are determined onlyafter extensive discussion with the regions.

The initial regional Fund-financed and RP lead NPL removalstarget methodology is shown below:

Fund-financed removals:

— Determine national NPL start target.

— Determine each region's portion of NPLFund-financed removals for period FY83-FY84.

Multiply each region's FY83-FY87 percentage bythe national target to derive the preliminaryregional target.

Multiply regional EPA target by .25 to derive RPtarget.

C-21


First Removal Starts at NPL Sites (Cont.)

Example: Allocate national NPL start target to the regionsbased on their historical performance.

NPLFirst Starts % NPL Starts FY88

Region FY 83-87 of Nat. Total Targets*

I 16 12 4 [5]II 14 10 4 [5]III 19 15 5 [2]IV 17 13 4 [5]V 21 16 6 [6]VI 8 6 2 [1]VII 6 5 2 [1]VIII 7 5 2 [1]IX 16 12 4 [6]X 6 5 2 [2]

TOTAL 130 100 35 [35]

* Preliminary estimated regional targets

[ ] Final negotiated regional targets

C-22


REMOVAL METHODOLOGIES (CONT.)

Activity: First Removal Starts at Non-NPL Sites — Program andRP Lead

Methodology:

The national Fund-financed SCAP target for first non-NPLremoval starts is based on the overall Fund budget target whichincludes Coast Guard removals and excludes ERAs. The nationalFund-financed first non-NPL removal start target is based on:

Adding all non-NPL actions (Historical first andsubsequent starts).

Determining the percentage distribution of firstnon-NPL removal starts and subsequent non-NPL removalstarts to the overall total (distinguishing EPA andUSCG removals that were CERCLA funded).

Subtracting from the national targets the targets forfirst NPL starts and subsequent NPL starts.

Multiplying the percentages obtained in the secondstep above by the result of the third step to get anoverall national target for first starts andsubsequent starts.

The RP target is based on an historical evaluation oforders issued at removal sites. Historically, consentadministrative orders or unilateral orders where the RP is incompliance were issued at approximately 25% of the sites wherethere is Fund removal activity. It is anticipated that eachregion will have at least one RP lead non-NPL removal start.

The first non-NPL removal start target is flexible andfinal SCAP and SPMS goals for removal starts will be determinedonly after extensive discussion with the regions. Themethodology for the preliminary regional target is outlinedbelow:

Determine each region's percentage of non-NPLCERCLA-financed (EPA and USCG) onsite removals overthe history of the program.

Multiply this percentage by the overall nationaltarget. Totals represent EPA targets.

Multiply regional EPA target by .25 to derive RPtarget.

C-23


First Removal Starts at Non-NPL Sites (Cont.)

The following table provides a hypothetical example of themethodology.

First StartsFY 81-86

Region

IIIIIIIVVVIVIIVIIIIXX

Fund

284498120882826165615

USCG

573341600131

SubsequentStartsFY81 -86 Percentage

2166842011

5817171555393

1111130020

StartProjectionFund USCG

71

232321774124

1311140030

PRPProjection

2

66632141

Total 519 60

609

Removal Budget Target =NPL First RemovalStart Target =

Difference =

Subsequent NPL RemovalStart Projection =

Difference =

30

190

30

160

15

145

90 11 124 14 36

101% 138

Percent First Starts 579/609 = 95%

Percent Subsequent Starts 30 / 609 = 5%

Projected First Starts: 145 x .95 - 138

C-24



Activity: Subsequent Removal Starts at NPL Sites — Programand RP Lead

Methodology:

The national SCAP/SPMS target for Fund subsequent NPLremoval starts is based on the overall Fund budget target andregional historical averages. The initial regional SCAP targetfor FY89 is based on the historical trends for subsequentstarts at NPL sites through FY87.

The PRP target is based on an historical evaluation oforders issued at removal sites. Historically, consentadministrative orders or unilateral orders where the RP is incompliance were issued at approximately 25% of the sites wherethere is Fund-financed removal activity.

Therefore, RP regional removal targets are set at 25% ofthe regional average. This target is flexible and final SCAPand SPMS goals for subsequent NPL removal starts will bedetermined only after extensive discussion with the regions.The table below provides an example of the methodology.

FY81-86

Region

IIIIIIIVVVIVIIVIIIIX

Total

NPL RemovalSub-Starts

61176

2717003

_0

77

Percentage

8%14%9%8%

35%22%0%1%4%0%

100%

Sub-StartProjection

121163001

_g

15

RP-SubStart

Projection

0100210000

C-25



Activity: Subsequent Removal Starts at Non-NPL Sites —Program and RP Lead

Methodology:

The national Fund-financed SCAP measure for subsequentnon-NPL removal starts is based on the overall Fund budgettarget. The national subsequent non-NPL start measure isderived by:

Adding all non-NPL actions (first and subsequentstarts).

Determining the percentage distribution of firststarts and subsequent starts to the overall total.

Subtracting from the national target the targets forfirst NPL removal starts and subsequent NPL removalstarts.

Multiplying the percentages obtained in the secondstep above by the result of the third step to get anoverall national target for first starts andsubsequent starts.

(Refer to first non-NPL removal starts for an example ofthis methodology.)

The RP measure is based on an historical evaluation oforders issued at removal sites. Historically, consentadministrative orders or unilateral orders where the RP is incompliance were issued at approximately 25% of the sites wherethere is Fund removal activity.

The initial regional Fund-financed and RP measures aredetermined using the following procedure:

Determine each region's percentage of subsequentnon-NPL CERCLA-financed (EPA and USCG) onsite removalstarts over the history of the program.

Multiply this percentage of subsequent non-NPL onsiteremoval starts performed by EPA and USCG by theoverall national measure. Totals represent EPA andUSCG measures.

Multiply regional EPA measure by .25 to derive RPmeasure.

C-26



Activity: First Removal Completions at NPL Sites -— Programand RP Lead

Methodology:

The initial national SCAP target for first NPL removalcompletions is based on projected FY89 completions from theregions. This target is very flexible, and final SCAP and SPMStargets for NPL removal completions will be determined onlyafter extensive discussions with the regions.

Regional targets are determined using the following steps:

Regions submit their projections for first NPL andnon-NPL removal completions for FY 1989 throughCERCLIS.

Headquarters totals each region's projections. Theseprojections become the initial completion targets foreach region. (Completion targets should coincide to agreat extent with the region's start target.)

If there is more than one removal action at a site duringthe same fiscal year, the count for the initial stabilizationwill be dropped from the "stabilized" count in SPMS. A regioncan not receive credit for multiple stabilizations at a sitefor a given fiscal year. Regions will continue to be givencredit in the SCAP for each completion. (For example, if aregion had received credit for a stabilization during the firstquarter at a site/incident and there was a subsequent removalstart and completion during the third quarter, that region'sfirst quarter SPMS count for stabilizations will be lowered byone while the later stabilization will be counted for the thirdquarter.)

Note: If the NPL site is considered "cleaned up" (i.e.ready for deletion after the removal action), theOSC will have to become involved in the deletionprocess.

C-27



Activity: First Removal Completions at Non-NPL Sites —Program and RP Lead

Methodology:

The determination of the initial national and regionalfirst non-NPL removal completion targets follows the first NPLremoval completion instructions.

C-28



Activity: Subsequent Removal Completions at NPL Sites —Program and RP Lead

Methodology:

The initial national SCAP target for subsequent NPL removalcompletions is based on projected FY89 completions from theregions. This target is very flexible, and final SCAP and SPMStargets for subsequent NPL removal completions will bedetermined only after extensive discussions with the regions.

Regional targets are determined using the following steps:

Regions submit their projections in CERCLIS forsubsequent NPL and non-NPL removal completions forFY89.

These projections become the initial subsequentcompletion targets for each region. Completiontargets should coincide to a great extent with theregion's subsequent start target.

C-29


REMOVAL METHODOLOGIES (CQNT.)

Activity: Subsequent Removal Completions at Non-NPL Sites —Program and RP Lead

Methodology:

The methodology for the initial national and regional SCAPmeasures for subsequent non-NPL removal completions follows thesame set of instructions as the subsequent NPL removalcompletions.

C-30



Activity: Release Notifications

Methodology:

The regional distribution of release notifications for FY89is based on each region's percentage share of notifications inFY86 and FY87.

The following table provides an example of the regionaldistribution methodology.

Assume the national target for release notification is 9000

FY 86-87 ProjectedRegion Tot. Notif. % of Nat. Tot. Rel. Notif.

I 1,019 7 630II 892 6 540III 1,155 8 720IV 2,591 18 1,620V 2,402 16 1,440VI 1,889 13 1,170VII 1,430 10 900VIII 579 4 360IX 1,815 12 1,080X 861 6 540

Total 14,633 100 9,000

C-31



Activity: Release Investigations

Methodology:

The regional measure for release investigations for FY89 isbased on each region's percentage share of releaseinvestigations in FY86 and FY87 (same methodology as fornotifications).

C-32



Activity; On-Scene Monitoring of Responses to HazardousSubstances Releases

Methodology:

The regional measure for On-Scene Monitoring is basedthe historical distribution of on-scene monitoring in FY8FY87 (same methodology as for notifications).

onFY86 and

C-33


IV. ENFORCEMENT TARGETS AND PROJECTION MEASURES METHODOLOGIES

Activity: Interagency Agreements (lAGs) for Remedial Activities

Methodology:

The national and regional targets for remedial lAGs isbased on the distribution of proposed and final NPL sitesthrough NPL Update #7.

C-34


ENFORCEMENT METHODOLOGIES (CONT.)

Activity: National Priorities List (NPL) Sites With CompletedPRP Searches

Methodology:

National targets are based on historical projections ofsite additions to the NPL.

The initial regional target projection for completion ofPRP searches at NPL sites is based on the target for NPL siteadditions.

C-35



Activity: Non-NPL Removal Sites With Completed PRP Searches

Methodology:

The national projection measure for PRP searches at non-NPLremoval sites is determined by summing the regional targets forfirst removal starts at non-NPL sites. Historically, theEnforcement Program has issued orders (both unilateral andconsent) at 40% of removal sites. This measure is veryflexible and final SCAP measures will be determined afterdiscussion with the regions.

Regional measures are based on the measures for firstremoval starts at sites.

C-36



Activity: Conclusion of RD/RA Negotiations

Methodology:

The national and regional FY89 targets for RD/RAnegotiations is calculated by adding the number of RODsscheduled to complete between the fourth quarter of FY88 andthe third quarter of FY89. This methodology is based on theassumption that RD/RA negotiations will begin one quarterfollowing the completion of the ROD.

C-37



Activity: Cost Recovery Cases Referred to Headquarters(Greater Than $200K)

Methodology:

The following steps outline the methodology for determiningnational and regional targets:

An initial universe of possible referral candidates isidentified. Those candidates were based on thefollowing selection criteria consistent with currentcost recovery guidance:

All completed removals exceeding $200K

— All NPL sites which have had first funding for RDby the end of the second quarter in FY89

Sites where previous §107 referrals were deleted.

Regions are then asked to identify which of thosesites were not good candidates based on:

— Unknown or insolvent PRPs

Additional remedial work planned in the shortterm.

Regions are also asked to supplement the list withother candidates appropriate for referral — generallyeither smaller removals or removals which are soon tobe completed. Targets are set accordingly.

C-38



Activity: Administrative Cost Recovery Settlements —Less Than $200K

Methodology:

The derivation of targets for this category is based on thesame criteria as applied for Cost Recovery Cases in excess of$200K.

C-39



ENFORCEMENT TARGETS AND MEASURES (CONT.)

Activity: §106/§107 Case Resolution/Trial

Methodology:

The national and regional targets are based on one-third ofreferred §106/§107 cases that have not been fully settled. Thisincludes those cases where a full trial has not begun when thetargets are set or where the original claim has not beensettled or withdrawn. A separate target is set for §106 and§107.

C-40



Activity: §106 RD/RA Referrals Without Settlement

Methodology:

The national target is based on historical events.Historically 50 percent of Enforcement RODs and 25 percent ofPRP level RODS have proceeded to litigation. This target isdetermined by taking Enforcement and RP lead RI/FS that havebeen completed or projected to be completed from the secondquarter of the previous year through the first quarter of thetarget year and applying the above mentioned percentages.

Regional percentages are developed using the samemethodology that is used to set the national target.

C-41


V. COMMUNITY RELATIONS PROGRAM METHODOLOGIES

Activity: Community Relations Plan Implementation (ForRemedial Activities)

Methodology:

National and regional measures for community relationsactivities are predicated on the initiation and/or completionof remedial technical activities. The community relations planimplementation is based on RI/FS starts, RI/FS ongoing, andRI/FS completions. Community relations measures are equal tothe sum of sites with RI/FS starts and RI/FS ongoing projectsminus the number of sites where all RI/FS work has beencompleted. (A site should be counted only once.)

C-42


VI. MISCELLANEOUS PROGRAM METHODOLOGIES

Activity: SPCC Inspections/Reviews

Methodology:

The national SPCC Inspection/Review measures are presentedin the President's budget.

Regional SPCC Inspection/Review measures are set by pastperformance reported by TAT through FY87, of which a percentageis then adjusted to the national target stipulated in thebudget.

C-43


MISCELLANEOUS PROGRAM METHODOLOGIES (CONT.)

Activity: Oil Spills Cleaned Up Using CWA Funding

Methodology:

The national measure is presented in the President's budget.

Regional measures are established from reports to HQ basedon the previous year's actuals from which a percentage is takenfor each region. These percentages are then adjusted to thenational target, resulting in the regional measures.

C-44


MISCELLANEOUS PROGRAM METHODOLOGIES (CONT.)

Activity: On-Scene Monitoring of Responses to Oil Spills

Methodology:

The national measure for this activity is based on thePresident's budget.

The regional breakdown is based on distribution of prioryear actuals. The following table provides an example of themethodology.

RegionalDistributions % of

Region of Actuals National Total Projection

I 27 3.58 18II 75 9.93 50III 78 10.33 52V 161 21.32 106V 57 7.55 38VI 237 31.39 156VII 28 3.71 19VIII 14 1.85 9IX 62 8.21 41X 16 2.12 11

Total 755 100.00 500

C-45

APPENDIX D

PUBLIC SCAP REQUESTS UNDER FOIA

•\0951'


THE FREEDOM OF INFORMATION ACT

1. INTRODUCTION

The Freedom of Information Act (FOIA) requires disclosureof government records to any person except as specificallyexempted by provisions of the Act. EPA's regulationsconcerning the specific implementation of FOIA are found inTitle 40 CFR, Chapter 1, Part 2. The regulations provide moredetail on exemptions and include additional material onauthority, processing of requests, release of information, andfees for requested information. EPA's Freedom of InformationAct Manual, developed by the Agency's Freedom of InformationOffice, is the official Agency guide on policy and proceduresfor implementation of the regulations. This appendix willprovide a general overview of FOIA and EPA's implementation ofthe Act, focusing on public requests for SCAP-relatedinformation at the regional level, and including revisedregulations adhering to FOIA amendments contained in theFreedom of Information Reform Act of 1986.

2. FOIA REQUEST

A FOIA request is a written request for records in EPA'spossession and control, though it need not cite FOIAspecifically. The request must describe the records such thatan EPA employee familiar with the subject area is able tolocate the records with a reasonable amount of effort. Oralrequests or inquires are not subject to FOIA requirements.

Requests from other Federal agencies, the GeneralAccounting Office, or the Congress (as opposed to an individualmember of Congress) are not FOIA requests and are handledthrough appropriate liaison channels. If an individual memberof Congress cites FOIA in an information request, it is treatedunder FOIA. Otherwise, the request should be processed throughnormal Congressional liaison channels.

Under FOIA, only existing Agency records are subject torelease. Offices need not create records or compile newinformation to respond to a FOIA request. However, offices maycreate new records if it would be easier or less expensive, orif public understanding of more complex documents would therebybe facilitated.

When requested documents are mentioned for distribution byagencies operating statutory-based fee schedule programs, suchas the Government Printing Office or the National TechnicalInformation Service, EPA will inform the requestor of the stepsnecessary to obtain records from these services.

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3. EXEMPTIONS

FOIA legislation provides nine general categories underwhich material can be exempted from mandatory public release.The EPA FOIA regulations expand upon these exemptions; theseinterpretations are described below.

Exemption 1 - Matters of National Defense or Foreign Policy.

This exemption authorizes an agency to withhold informationconcerning national defense or foreign policy. This is rarelyused by EPA and is not applicable to SCAP-related material.

Exemption 2 - Internal Agency Rules.

This exemption protects records "related solely to theinternal personnel rules and practices of any agency." As amatter of policy, EPA does not withhold records of a trivialnature, even though such records may be protected under thisexemption. Discretionary release of such records is encouraged,

Exemption 3 - Information Exempted by Other Statutes.

Information that is specifically exempted from disclosureunder other Federal statutes is also exempted from disclosureunder FOIA. The Privacy Act is not an Exemption 3 statute.Privacy considerations are covered under Exemption 6 or 7(c).

Exemption 4 - Trade Secrets, Commercial or FinancialInformation (Confidential Business Information).

EPA has developed regulations to elaborate on Exemption 4which are entitled "Confidentiality of Business Information"(Subpart B of 40 CFR Part 2). These regulations state thatunder Exemption 4, commercial or financial information isdetermined to be confidential if its disclosure would be likelyto (1) impair the government's ability to obtain necessaryinformation, or (2) cause substantial competitive harm to thebusiness supplying the information. This second conditionoften applies to information in EPA's possession because manyenvironmental statutes give EPA the authority to mandatebusinesses to provide confidential business information.

Business information may not be disclosed unless EPA hasascertained that there is no claim of confidentialityapplicable to the information. If a business would be expectedto assert a claim of confidentiality, EPA must contact thebusiness prior to disclosure. The burden of substantiatingconfidentiality rests with the business. No contact isreguired if the business failed to assert a claim at the timethe information was provided to EPA, as long as the businesswas notified at that time that failure to assert a claim would

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mean that EPA could make the information available to thepublic without notifying the business; or if the business haswaived a claim covering the information. If the information ispublicly available elsewhere, no contact or comment opportunityis required.

EPA should check with a business to see if it will waiveits claim of confidentiality in such a way that will allowdisclosure of the requested information without the necessityof a nonentitlement to confidential treatment determinationagainst the business. Previous nonentitlement determinationson particular information stand in cases of both disclosing orwithholding information.

Confidential Business Information also includes businessinformation that may not be disclosed under the Trade SecretsAct, 18 U.S.C. 1905, or under any of the statutes administeredby EPA.

Exemption 5 - Privileged Interagency or Intra-AgencyMemoranda.

Intra-agency records include reports prepared by outsideconsultants at the request of the Agency. Recommendations fromState officials to EPA may be considered intra-agency recordswhen EPA has solicited State comments, has a formalrelationship with the State, and the records concern a specificdeliberative process.

This exemption allows the Agency to withhold fromdisclosure interagency or intra-agency memoranda or letterswhich fall under the following privileges:

The Deliberative Process Privilege protects thequality of the Agency's decision-making process (i.e.,to protect against premature disclosure of proposedpolicies before they are adopted), to encourage candidand frank discussions among Agency officials, and toavoid premature disclosure which could mislead thepublic.

Only pre-decisional, deliberative documents may bewithheld. These are written prior to the Agency'sfinal decision, and are not likely to be those thatare written by a person with final decision-makingauthority. Drafts of documents usually fall underthis category, and documents transmitted between thegovernment and third parties during settlementnegotiations are occasionally protected under thisprivilege.

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OSWER Directive S200.3-1A

The deliberative process privilege does not allow thewithholding of purely factual portions of documents.These portions must be released if they can besegregated from the remainder of the document (partialdenial). This requirement presents a problem wherethe facts themselves reflect on the Agency'sdeliberative process; in this instance, the factualportions may be withheld.

The Attorney-Work-Product Privilege allows thewithholding of documents prepared in anticipation ofpossible litigation. Litigation need not havecommenced but it must be reasonably contemplated.This privilege does not extend to purely factualdocuments unless they reflect the results of anattorney's evaluation.

The Attorney-Client Privilege applies to confidentialcommunications between attorney and client, includingcommunications between an Agency attorney and anAgency employee.

The Government Commercial Information Privilege isavailable to the government for information itgenerates in the process leading up to the award of acontract. This privilege expires once the contract isawarded or upon withdrawal of the contractual offer.An example of this privilege is cost estimatesprepared by the government and used to evaluate theconstruction proposals of private contractors.

The Expert Witness Privilegs is commonly invoked toallow the withholding of records generated by anexpert witness.

The Confidential Witness St?.targent Privilege allowsstatements obtained from con:::.dent ial witnesses to bewithheld.

The Agency encourages the discretionary release of documentsfalling under any of the privileges, unless release wouldsignificantly harm the Agency decision-making process. All ofthe privileges may be waived if the Agency has disclosed thedocument to third parties (see p. D-7 on prior disclosure).

Exemption 6 - Personal Privacy.

This exemption permits the withholding of all informationabout individuals in personnel, medical, and similar files, thedisclosure of which would constitute a clearly unwarrantedinvasion of personal privacy. This exemption is rarely useddue to the broader privacy protection allowed by Exemption 7(c)below.

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Exemption 7 - Records or Information Compiled For LawEnforcement Purposes.

This exemption provides that records or informationcompiled for law enforcement purposes need not be disclosed insix specific instances. Even though a document falls underExemption 7, the Agency, in its discretion, encourages releaseof the document unless release would significantly harm theAgency. Under this section, records or information can beexempted if:

Exemption 7(a) - Disclosure could reasonably beexpected to interfere with enforcement proceedings .Harm to the government's case in court by prematurerelease of evidence or information or damage to theAgency's ability to conduct an investigation,constitutes interference under the exemption.

Exemption 7(b) - Disclosure would deprive a person ofa right to fair trial.

Exemption 7(c) - Disclosure could reasonably beexpected to constitute an unwarranted invasion ofpersonal privacy. The public interest in thedisclosure of a document must be balanced against theinvasion of privacy that would result fromdisclosure. Exemption 7(c) is interpreted asproviding broader protection than Exemption 6 as anypersonal information in an investigatory record may beprotected.

Exemption 7(d) - Disclosure could reasonably beexpected to disclose the identity of a confidentialsource. This includes protection of informationprovided by the source in a criminal law enforcementinvestigation.

Exemption 7(e) - Disclosure would reveal a specialtechnique or procedure for law enforcementinvestigations or prosecutions.

Exemption 7(f) - Disclosure could reasonably beexpected to endanger the life or safety of any person.

As a result of 1986 Amendments to FOIA Exemption 7, the generalcoverage of Exemption 7 is no longer investigatory records butrecords or information compiled for law enforcement purposes.As long as some law enforcement authority exists and the recordis compiled for a general law enforcement purpose, the recordmeets the threshold test for Exemption 7. The record need nolonger reflect or result from specifically focused inquiries bythe Agency.

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Also, the amendments to FOIA change the withholdingstandard language in Exemption 7 provisions (a), (c), (d), and(f) from "would" to "could reasonably be expected to" result insome harm to the agency. This change reduces the burden on anagency by eliminating the need to show that release of therecords would actually result in the anticipated harm. Whenmaking a FOIA decision based on Exemption 7, Agency personnelmust be extremely cautious, and should check with the FOIAOffice or appropriate legal office to determine how thisamendment affects EPA enforcement records disclosure, includingthe Agency's Exemption 7 discretionary release policy.

Exemption 8 - Records of Financial Institutions.

This exemption is not applicable to records in EPA'spossession.

Exemption 9 - Geological and Geophysical Information and DataConcerning Wells.

This exemption exempts information pertaining to"geological and geophysical information and data, includingmaps, concerning wells." EPA rarely uses this exemption.

4. HANDLING OPTIONS

Generally, there are four options in handling a FOIArequest for readily available records:

Releasing documents. All EPA records will be madeavailable to the requestor upon receipt of a requestunless they fall under one of the nine exemptioncategories provided under FOIA.

Withholding documents. An office may withhold recordsif they fall under one of the nine exemptions ofFOIA. When a decision has been made to withholddocuments, the initial denial should not reveal theexistence or non-existence of records if identifyingthat fact would reveal the information that anexemption is designated to protect. Instead, thedenial should state that the request is denied becauseeither the records do not exist or they are exemptfrom mandatory disclosure under applicable provisionsof the Act. This also applies to an Agencydetermination regarding a requestor's appeal forrelease of documents that have been initially withheldby the Agency.

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Partial withholding of documents. If documentscontain both exempt and non-exempt information, thenon-exempt information must be disclosed if the exemptmaterial can be reasonably segregated and thenecessary deletions can be made without making thedocument unintelligible.

Discretionary release. An office may choose torelease requested records that could be withheld underselected FOIA exemptions. The Agency encouragesdisclosure of records if no important Agency purposeis served by withholding.

5. PRIOR DISCLOSURE

Previous disclosure of documents to the public, dependingupon the circumstances of the release, may impair the abilityof the Agency to withhold the records in response to a futurerequest, even if the exemption is warranted. In general, oncea record has been released under FOIA, that record cannot laterbe withheld from a subsequent requestor. When an agencymistakenly discloses the contents of a record, it cannot alwaysexpect to be able to withhold the record in response to afuture FOIA request. Some general rules regarding priordisclosure are:

Circulation of records within an agency or betweenFederal agencies does not prohibit the agency fromsubsequently withholding the records.

Disclosure of pre-decisional records to advisorycommittees or to the Congress does not prevent futurewithholding.

When an agency is compelled to release a documentunder limited and controlled conditions, it is notbarred from later invoking applicable FOIA exemptions.

Where a prior disclosure has fulfilled a legitimategovernment purpose, a waiver has not necessarilyoccurred.

Where a prior disclosure was unauthorized (e.g., a"leak"), a waiver has not occurred and records may bewithheld.

(5. RESPONSIBILITIES

The following offices are responsible for particular stagesof a FOIA request. Because of the varying organizationalstructure and staffing levels found within different regions,regional EPA employees should check with the Offices of

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Regional Administrator or Public Affairs to determine theregional equivalents of the following offices. Major officesinclude:

Agency Freedom of Information Office oversees theAgency FOIA program, develops FOIA procedures andpolicies, provides advice to Agency FOI personnel inthe program and regional offices, routes and tracksFOIA requests, keeps FOIA official and public files,and provides training to Agency FOI personnel.

Office of General Counsel provides legal advice onFOIA, issues determinations on appeals, issues finaldeterminations on business confidentiality, draftsFOIA regulations, and handles liaison with DOJ on FOIAlitigation.

Office of External Affairs issues fee waiver appealdeterminations and makes discretionary releasedeterminations on Agency documents in response toappeals filed by individuals requesting information.

Program Offices requests to appropriate action officeswithin their program, track FOIA requests as totimeliness, and provide guidance to program personnel.

Regional FOI Offices regional FOI Offices routerequests to appropriate action offices within theirregion, track FOIA requests, provide guidance toregional personnel, keep FOIA official files, andprovide training and current information to regionalFOI personnel.

Offices of Regional Counsel provide legal advice onFOIA questions to regional personnel, issue finaldeterminations on business confidentiality in caseswhere authority has been delegated to them, andprovide legal counsel on FOIA litigation.

Action Offices analyze requests, locate records,contact requestor as needed, examine records, deleteexempt material, prepare and issue responses, releaserecords, prepare and issue bills, and issue fee waiverdecisions.

Financial Management Offices ensure FOIA-related Billsfor Collection are recorded promptly, collect fees,and reconcile FOIA receivable with informationprovided by FOI Offices.

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7. DELEGATION OF AUTHORITY

The authority to make initial determinations regarding therelease or withholding of materials, waivers of fees, orextension of due dates for responses is delegated to thefollowing:

Deputy Administrator;Assistant and Associate Administrators;Heads of HQ Staff Offices;Regional Administrators;General Counsel; andInspector General.

This authority may be redelegated to all EPA employees, withthe exception that the authority to issue initial denials ofrecords may not be redelegated below the Division Director orequivalent level. However, the authority to issue denialsbased solely on a determination by the action office that theinformation requested may be entitled to confidential businesstreatment may be redelegated to any Agency employee.

The General Counsel is authorized to make legaldeterminations on written appeals of initial denials. Thisauthority has been redelegated to the Deputy General Counseland to the Associate General Counsel for Grants, Contracts, andGeneral Law.

The Assistant Administrator for External Affairs isauthorized to make determinations on fee waiver appeals and toreview records for discretionary release on appeal. Thisauthority may be redelegated to the Deputy AssistantAdministrator for External Affairs.

8. LOGGING AND ROUTING OF REQUESTS

Once a request is received and delivered to either theAgency or regional FOIA Office, it is date stamped, assigned aRequest Identification Number (RIN), and a due date forresponse, entered into the FOIA Request Log, and anacknowledgment of receipt is sent to the requestor. It is thenforwarded to the Action Office or regional equivalent; whichanalyzes the request; locates, reviews, and purges records (ifneeded); and either issues a response letter and the requestedrecords, or drafts a denial to be signed by the responsibleofficial.

If a regional FOI Office receives a request for recordsthat are held only at HQ, another regional office, or a fieldoffice, the office will immediately remove the request from itstracking system and telecopy the request to the Agency FOIOffice. At the same time, the requestor must be notified that

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the request is being transferred to the Agency FOI Office forresponse.

Conversely, the Agency FOI Office may route a request tothe regional FOI Office if region-specific information isrequested. In this instance, the Agency FOI Office conductsthe logging-in procedures described above and telecopies therequest to the regional FOI Office for proper routing withinthe region. The region must not assign the request a regionalRIN, since the Agency FOI Office has already assigned an RIN,and two different RINs would confuse the requestor andcomplicate tracking. The only instance in which the HQ andregional RINs may both be carried on a request is when aseparate but identical request was received by both the regionand HQ.

9. FOIA FILES

EPA's FOIA files constitute a system of records under thePrivacy Act and must be maintained under the requirements ofthat Act, EPA's Privacy Act regulations, the Federal RegisterNotice describing this system of records, and the Agency'sPrivacy Act Manual. There are five types of files:

Official Files. The Agency and regional FOI Officesmaintain an official file on each FOIA request theyreceive. The official file includes copies of theincoming requests, the Mail Control Schedule, theAgency's response, the Bill for Collection Form,follow-up correspondence, any appeal determinations,and any intra-agency communications concerning therequest.

Public File. Each FOI Office may maintain, at its ownoption, a separate public file to help facilitiesprocessing responses for FOIA requests for Agency FOIAfiles. The public file would include only the copiesof each FOIA request, the Agency's response, and anyappeal and appeal determination. These documents mustbe purged of any personal information.

FOI Coordinator's Files. FOI Coordinators may keepfiles to facilitate their responsibilities for routingand tracking requests assigned to action offices.However, Coordinator's files are not a substitute forofficial rules.

Request Logbook. Each FOI Office must maintain a FOIADaily Logbook with personal information purged.

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Action Office Files. Each action office must maintainthe incoming request, Mail Control Schedule, a copy ofthe response, a copy of the withheld documents or alist adequate to identify the records, the Bill forCollection Form, follow-up correspondence, and anycommunications concerning the request which may beneeded in the event of an appeal or litigation.

The Privacy Act prohibits the disclosure of information insystems of records to the public unless FOIA requiresdisclosure. Since FOIA would require disclosure of certainAgency FOIA files which have been purged of personalinformation, EPA has, in the past, made these files availableto the public without a written request.

10. TIME REQUIREMENTS

Initial Determinations

Ordinarily, there is a 10-workday time limit in which tomake an initial determination on whether to release or withholdrecords requested under FOIA, with the first day being the datewhen the Agency or Regional FOI Office receives the request.Excluded from that period is any time taken by the requestor toprovide EPA with additional information to be able to identifythe records or time required to secure prepayment or assuranceof payment.

Appeals

Any person whose request is denied in whole or in part hasa right to appeal the determination. This appeal will bemailed to the Agency FOI Office no later than 30 days after theday the requestor receives the Agency's denial. The Office ofGeneral Counsel then has 20 workdays to review the appeal andto determine whether the records were properly withheld.

Extensions

An extension of up to 10 workdays total may be taken on thedue date for the initial determination or appealdetermination. For the initial determination, an extension maybe taken only if the search involves extensive records,physically distant records, or consultation with another agencyor another office within the Agency. Total extension timetaken on initial determinations and appeal determinations maynot exceed 10 workdays.

11. FEES AND FEE WAIVERS

With respect to the charging of fees, there are fourcategories of requests. Fees for each of the categories willbe charged as follows:

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Commercial use requests. If the request seeksdisclosure of records for a commercial use, therequestor will be charged for the time spent searchingfor the requested record, reviewing the record todetermine whether it should be disclosed, and for thecost of each page of duplication.

Requests from an educational or scientific institutionwhose purpose is scholarly or scientific research. Ifthe request seeks disclosure of records for anon-commercial use, the requestor will be charged onlyfor the duplication costs, except that the first 100pages of duplication will be furnished without charge.

Requests from a representative of the news media. Ifthe request seeks disclosure of records for anon-commercial use, the requester will be charged onlyfor the duplication costs, except that the first 100pages of duplication will be furnished without charge.

All other requests. Requestor will be charged thefull cost of search and duplication. However, thefirst two hours of search time and the first 100 pagesof duplication will be furnished without charge.Determination of a requestor's fee category will bebased on the identity of the requestor and the use towhich the requestor will put the documents requested.

Specific fees are as follows:

For manual records search, computer records search,and review of records; for each 1/2 hour or portionthereof (for EPA employees):

GS-8 and below: $4.00GS-9 and above: $10.00

For records duplication and computer printouts, thecosts will be 15 cents per page.

Charges may be assessed for the time spent searching andreviewing, even if EPA fails to locate the records or if therecords located are determined to be exempt from disclosure.

No charges shall be assessed if the total fee in connectionwith a request is less than $25.00, or if the costs ofcollecting the fee would otherwise exceed the amount of the fee.

If a non-EPA employee (i.e., an EPA consultant orcontractor) is given the responsibility for the search for orduplication of requested records, the fees charged will be sameas those charged for EPA employees (GS-8 and below, except forspecial circumstances).

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Fees shall be reduced or waived if the Agency determinesthat disclosure of the information is in the public interestbecause it is likely to contribute significantly to the publicunderstanding of the operations or activities of thegovernment, and is not primarily in the commercial interest ofthe requestor. In both cases, the burden shall be on therequestor to present information in support of a request for awaiver of fees.

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APPLICABILITY OF FOIA TO SCAP

1. PUBLIC SCAP REPORTS

Public SCAP reports are a set of CERCLIS-generated reportsthat have had all sensitive material — records or informationthat is protected under FOIA and cannot be released to thepublic — removed. Public SCAP reports are similar to theCERCLIS reports presented in Appendix A, noting that sensitivematerial is deleted from the Public SCAP reports. Thecorresponding CERCLIS reports should be referred to whilereading through the following discussion. Some of theinformation designated below as restricted and therefore notreleasable to the public has not been specifically designatedas sensitive for previous Public on the SCAP reports becausethe sensitive areas were recently expanded,

2. SENSITIVE SCAP-RELATED INFORMATION

FOIA is intended as a disclosure law, not a withholdinglaw. In handling all FOIA reguests, there should be apresumption in favor of releasing information. There arecertain types of information that have been designated asrestricted and therefore not releasable to the public becauseof the significant harm to the Agency that disclosure couldcause. The following information falls into this category:

(1) Section 106 and 107 Litigation and all relatedinformation where the comments gualify it to indicate thatthe action has been referred to HQ or the action has beenreferred to DOJ. If comments qualify it to be a filedcase, the information can be released.

(2) RP lead RI/FS and all related information where theonly date is the planned start date.

(3) RD/RA-AO/CD and all related information where the onlydate indicated is the planned completion date.

(4) Planned obligation amounts related to case budgetactivity associated with the following activities:

Removal negotiations;PRP-search negotiations;RI/FS negotiations;RD/RA negotiations; andCost recovery negotiations.

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(5) RD and RA planned activities where the lead is RP.

(6) RD/RA-AO/CD planned start dates.

(7) RI/FS and RD/RA negotiations' planned start andcompletion dates.

(8) Compliance code and status indicator.

(9) Planned removal/remedial obligations.

(10) All planned activities for NPL-Proposed sites thathave not been designated as NPL sites in the FederalRegister.

This information is protected from mandatory disclosure by thefollowing FOIA exemptions and provisions:

Information falling under numbers 1-8. EXEMPTION 7:Records or information compiled for law enforcementpurposes. Specifically, EXEMPTION 7 (a) - Could reasonablybe expected to interfere with enforcement proceedings.

Information falling under number 9.EXEMPTION 5: Privileged Interagency or Intra-AgencyMemoranda. Specifically, EXEMPTION 5, Privilege4 - Government Commercial Information Privilege.

Information falling under number 10. EXEMPTION 5:Privileged Interagency or Intra-Agency Memoranda.Specifically, EXEMPTION 5, Privilege 1 - DeliberativeProcess Privilege.

Because of the modifications to Exemption 7 resulting fromthe 1986 Amendments to FOIA — changes to the general coverageand the withholding standard language — the Agency has moreflexibility in withholding Enforcement activity information.

The sensitive information listed in numbers 1-10 abovecovers the information restricted from public disclosure as ofthe compilation of this manual. Additional information may beadded to this category and information may be restricted inspecific instances (though prior disclosure rule must beadhered to). If requested information is potentially able tobe restricted under a FOIA provision (in this case, underExemptions 3, 4, 5, or 7), the official receiving the requestshould contact the appropriate FOIA office to determine whetherthe information should be restricted.

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3. AD HOC REPORTING

In general, all requests for ad hoc reporting — a specialrequest for records or information that are not part of the setof Public SCAP Reports — received by a region shouldimmediately be referred to HQ. The regional official receivingthe request should inform the requestor of this policy andadvise the requestor to contact HQ for a decision on whetherthis information may be released. If the requested informationis only available from a specific region, and HQ has decided torelease this information, HQ will inform the responsible regionthat the information should be compiled and disclosed to therequestor.

Ad hoc reporting requests should be treated like a FOIArequest. This includes the following:

If the information is protected under one of the FOIAexemptions, the information will not be disclosed(except in cases of discretionary release).

Absent FOIA exemption protection, the information willbe disclosed if it can be compiled or obtained in areasonable amount of time by an Agency employeefamiliar with the subject area.

Fees for ad hoc reporting requests will be made inaccordance with fees to be charged for FOIA requests(see p. D-ll on Fees and Fee Waivers).

Depending on the complexity of the request, Agencypersonnel will not have to undertake the specific logging androuting procedures required for FOIA requests. However, therequest should be kept on file in a designated ad hoc reportingrequest file.

If a request is very complex or compilation of therequested information would be very time-consuming, the requestshould be denied. If the requestor appeals this determination,the requestor should be informed that the request must beformulated into an official FOIA request (a written request forspecific records citing FOIA) and must be sent to the FOIAoffice.

4. ORAL REPORTS

If a region receives an oral request, or a written reportthat does not cite FOIA, it is the region's responsibility todetermine whether the requested information will be disclosed(keeping in mind the information protected under FOIA

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exemptions). If the region decides to withhold theinformation, and the requestor appeals this determination, therequestor must send an official FOIA request (a written requestfor specific records, citing FOIA) to the FOIA office.

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