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Region 6 Superfund Program

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File Structure Phase Activities

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Glossary of File Structure Phase Activities & Folder Categories

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A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Phase Activity

Definition

Agreements Federal (AF)

These are documents related to any agreement between EPA and any other federal agency to work together to clean up a site. They can be referred to as an Interagency Agreement (IAG). This is a Federal interagency agreement for site clean up and assessment (U.S. Corps of Engineers (USCOE), Department of Interior (DOI), National Oceanic and Atmospheric Administration (NOAA), etc.). The interagency agreement provides the technical, legal, and management framework under which the response at the site is conducted. The documents for actual work or reports filed in applicable phases. An AF file is opened when the first IAG is signed or with the first correspondence related to an IAG, and closes after deletion or at close of the last operable unit.

Agreement, State (AS)

An AS file is opened when a State requests the first agreement and is closed upon site deletion. This phase contains agreements [Cooperative Agreement (CAG) or the State Superfund Contract (SSC)] or Memorandum of Understanding (MOU) between EPA and the State, or the State and other entities, concerning Superfund site clean-up and/or cost sharing issues. State agreements concerning Superfund clean up and related correspondence, whether with EPA or not, are filed in this phase. Technical reports are filed in the applicable phase.

Brownfields (BR)

EPA's Brownfields Economic Redevelopment Initiative is designed to empower states, communities, and other stakeholders in economic redevelopment to work together in a timely manner to prevent, assess, safely clean up, and sustainably reuse brownfields. A brownfield is a site, or portion thereof, that has actual or perceived contamination and an active potential for redevelopment or reuse. EPA is funding

Assessment demonstration pilot programs which assess brownfields sites and test cleanup and redevelopment models;
Job training pilot programs which provides training for residents of communities affected by brownfields to facilitate cleanup of brownfields sites and prepare trainees for future employment in the environment field; and
Cleanup revolving loan fund programs to capitalize loan funds to make loans for the environmental cleanup of brownfields.

These pilot programs are intended to provide the EPA, sates, tribes, municipalities, and communities with useful information and strategies as they continue to seek new methods to promote a unified approach to site assessment, environmental cleanup, and redevelopment.

Listed below are the type of grants awarded through the Brownfields Economic Redevelopment Initiative and the associated code(s) to be used when specifying the type of grant. This information is captured in the Operable Unit field.

    G1    State
    G2    Assessment / Supplemental Pilots
    G3    Brownfields Cleanup Revolving Loan Funds
    G4    Job Training
    G5    Showcase Communities
    G6    Cleanup

Business Confidential, (BC)

This is material that is claimed to be Confidential Business Information (CBI) by the submitting PRP. This may include any documents which the submitter (including PRPs) asks EPA not to release, as it would harm their business. Some attachments to 104(e) responses are frequently declared CBI by the PRP submitting the information. CBI can include trade secrets, financial information, client lists, or similar information, but may be anything.

Community Relations (CR)

These are documents that record the Agency's efforts to encourage communication with affected citizens and public participation in the decision-making process. Because the people in a community with a Superfund site personally face the hazardous waste problems associated with the site, EPA encourages community residents to participate in the process of determining the best way to clean it up.

EPA's Community Relations program (also called Community Involvement) has several objectives: (1) to provide information to the community on the health and environmental effects of the release and the response actions under consideration; (2) to encourage citizens to provide information about the site and its surrounding areas and to express any concerns about the actions being undertaken; and (3) to include citizen comments and concerns in the decision-making process for the site.

An official EPA spokesperson is appointed for each remedial and emergency response action to keep the public informed and to respond to any questions. Meeting with citizens in the community, responding to inquiries from the media, and providing local officials with site status information are some of the activities that EPA is likely to undertake, to keep the public informed. EPA also establishes a written record that contains information about the remedial emergency response action and makes this record available to the public.

Recognizing the importance of community involvement and the need for citizens living near NPL sites to be well informed, Congress included provisions in the Superfund Reauthorization Act of 1986 to establish the Technical Assistance Grant (TAG) program, intended to promote involvement in decisions on site-specific cleanup strategies under Superfund. A TAG provides money for activities that help your community participate in decision making at eligible Superfund sites.

Contract Laboratory (CL)

The Contract Laboratory Program (CLP) is a national network of U.S. Environmental Protection Agency (EPA) personnel, commercial laboratories, and support contractors whose fundamental mission is providing customers with analytical data of known and documented quality. The CLP supports environmental data users in identifying contaminants and determining the level of contamination at Superfund hazardous waste sites prior to, during, and after site cleanup.

This analytical service provides data that EPA uses for a variety of purposes. Examples include determining the nature and extent of contamination at a hazardous waste site, assessing priorities for response based on risks to human health and the environment, determining appropriate cleanup actions, and determining when remedial actions are complete. The data may be used in all stages in the investigation of a hazardous waste site including site inspections, Hazard Ranking System (HRS) scoring, remedial investigations / feasibility studies, remedial design, treatability studies, and removal actions. Additionally, this service provides data that are available for use in Superfund enforcement / litigation activities.

Data deliverables for this analytical service include hardcopy data reporting forms, supporting raw data, and electronic data on diskette or other means specified by the EPA.

Contractor Confidential (CC)

These are EPA contractor costs containing detailed confidential information not releasable to the public (i.e., labor rate, fee calculations). These are documents relating to EPA's dealing with its contractors. Because of the rate information contained in these documents, they are not releasable under the Freedom of Information Act (FOIA). It would be an unfair advantage for one contractor to know what another contractor bids on a job. Correspondence related to contract issues that include detailed cost information should be coded to this phase; but, if the correspondence relates to any of the more specific topics in this section, code it to that number. Also, correspondence related to premature cancellation of a contract should be coded to this phase.

Cost Documentation, Confidential (DC)

This is cost documentation confidential non-redacted packages.

Cost Documentation, Releasable (DP)

These are redacted (public) costs for site remediation activities assembled by an EPA Financial Officer. This package includes cost summaries with backup documentation for costs incurred for work performed at a site. Often there are several Cost Documentation packages each covering a different time period or type of cost. The Cost Documentation, Releasable (DP) phase is for the releasable redacted copy. There should be nothing but the cost documentation package in this phase. Correspondence related to this topic should be filed in Enforcement, General Correspondence [33.07]. Redacted costs block out confidential information, such as social security numbers, employee's home address and telephone numbers.

Deletion (DL)

The Deletion file is opened after the final close-out report is accepted, and is closed with the Deletion Docket. This file represents documentation of activities to remove a site from the National Priorities List (NPL) after remedy criteria have been satisfied. The U.S. Environmental Protection Agency (EPA) may delete a final NPL site if it determines that mo further response is required to protect human health or the environment. Under Section 300.425 (e) of the National Oil and Hazardous Substances Pollution Contingency Plan (55 Federal Register 8845, March 8, 1990), a site may be deleted where no further response is appropriate if the EPA determines that one of the following criteria has been met:

The EPA, in conjunction with the State, has determined that responsible or other parties have implemented all appropriate response action required.
The EPA, in consultation with the State, has determined that all appropriate Superfund-financed responses under Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) have been implemented and that no further response by responsible parties is appropriate.
A Remedial Investigation study has shown that the release poses no significant threat to public health or the environment and, therefore, remedial measures are not appropriate.

Sites that have been deleted from the NPL remain eligible for further Superfund-financed remedial action in the unlikely event that conditions in the future warrant such action. Partial deletions can also be conducted at NPL sites.

Dockets (DO)

The Docket fulfills the requirement for public participation under CERCLA by serving as the EPA public access point for Superfund rulemaking material, which is contained in individual "dockets." Each "docket" is an official file that is mandated by law to document EPA's decision-making process. A docket is opened each time a rule is announced and accumulates materials throughout the rulemaking process.

Emergency Response (EM)

The Emergency Response program's goal is the protection of the public and the environment from immediate threats posed by emergencies involving hazardous substances and oil. The program's primary objectives are to take reasonable steps to prevent such emergencies; to prepare emergency response personnel at the federal, state, and local levels for such emergencies; and to respond quickly and decisively to such emergencies wherever and whenever they occur. EM documents relate to a removal or short-term actions and pertain to time-critical or emergency responses needed to correct a hazardous situation.

Enforcement Accounts (NA)

These are non-confidential documents relating to payments made to the EPA under enforceable agreements, including consent decrees. The Agency records the response costs as Superfund accounts receivable when a consent decree, judgment or administrative order is entered or a demand for payment is issued. Based on time frames set forth in the agreement, the debtor, generally a PRP, has a certain period of time in which to pay the accounts receivable. When a Superfund accounts receivable becomes overdue, the EPA works with the Department of Justice to collect the debt.

Enforcement, Case Development (ND)

These are documents used by enforcement and legal staff to build a case against a potentially responsible party (PRP) and preserve case development materials, such as, affidavits or depositions taken during legal actions for other sites or toxic tort suits. Correspondence to and from non-PRPs to develop site history information or PRP liability/viability information is filed here and generally includes all informal discovery (e.g., title search, deed recordation, waste-in list, etc.).

Emergency Preparedness and Community Right-to-Know Act (EPCRA) case files, once completed, should be filed in this phase. EPCRA establishes requirements for Federal, State and local governments, Indian Tribes, and industry regarding emergency planning and "Community Right-to-Know" reporting on hazardous and toxic chemicals. The Community Right-to-Know provisions help increase the public's knowledge and access to information on chemicals at individual facilities, their uses, and releases into the environment. States and communities, working with facilities, can use the information to improve chemical safety and protect public health and the environment.

Enforcement Confidential (NC)

These are any enforcement documents that are Not For Public Release that are prepared by the Enforcement staff. These are any documents that relate to enforcement and are privileged in litigation. These documents may interfere with enforcement actions or identify an informant. Once this information is released, it can never be withheld again and should be moved to the appropriate public phase. Correspondence related to enforcement that is not releasable to the public should be coded to this phase; but, if the correspondence relates to any of the more specific topics in this section, code it to that keyword code.

Enforcement, Legal Documents (NL)

A primary goal of the Superfund program is to place responsibility for the costs of cleaning up Superfund sites on those who contributed to the problem. EPA prefers to have the cleanup work performed by one or more of the Potentially Responsible Parties (PRPs). However, if the PRPs do not agree to perform the work under a judicial consent decree or Administrative Order on Consent (AOC), the Superfund law authorizes EPA to order PRPs to perform work.

Enforcement,
Master EPA Correspondence (NM)

An Enforcement, Master EPA Correspondence & General (NM) file is opened when the first enforcement letter is sent out, and is closed when the cost recovery is complete. This phase contains the U.S. Environmental Protection Agency (EPA) master letters and addressee lists for enforcement correspondence to potential responsible parties (PRPs). Master correspondence will be memorialized by filing the complete letter (with all attachments ) to the first addressee on the list, with the complete addressee list. All individual PRP correspondence to and from the Agency is filed in the Enforcement, PRP Specific (NP) phase. PRP specific letters are filed in the NP phase. If no master letter exists, photocopy the master letter with attachments and file one copy in the NM phase.

Enforcement, Potentially Responsible Party - Specific (NP)

The Enforcement, Potentially Responsible Party - Specific (NP) file is opened when the first enforcement letter is sent out, and is closed when cost recovery is complete. A potentially responsible party (PRP) is defined by CERCLA as an owner/operator, transporter, or generator. This file includes individual PRP correspondence to and from EPA enforcement or technical staff specifically regarding liability and viability issues, including access negotiations with the individual PRP.

Federal Emergency Management Agency (FE)

The Federal Response Plan (FRP) establishes a process and structure for the systematic, coordinated, and effective delivery of Federal assistance to address the consequences of any major disaster or emergency declared under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. 5121, et seq.). The FRP applies to a major disaster or emergency as defined under the Stafford Act, which includes a natural catastrophe; fire, flood, or explosion regardless of cause; or any other occasion or instance for which the President determines that Federal assistance is needed to supplement State and local efforts and capabilities. Emergency managers prepare for emergencies and disasters, respond to them when they occur, help people and institutions recover from them, mitigate their effects, reduce the risk of loss, and prevent disasters such as fires from occurring.

Note to Catalogers : Use the CERCLIS ID as the main FEMAID. The format for the FEMAID is a 2-character state code followed by the FEMA Disaster Number. Additionally, the SSID field will be used to capture any secondary FEMAIDs and the format is 6L0X __ __. The OUID field will be used to capture the Mission Assignments (MA). Depending upon the lead federal agency for the FEMA disaster, alpha-characters will be used to correspond to each agency. Listed below are examples for the formats for each federal agency:

U.S. Environmental Protection Agency	EPA __ __
U.S. Army Corps of Engineers	COE __ __
Department of Transportation	DOT __ __
Department of Interior	DOI __ __

Federal Emergency Management Agency, Confidential (FC)

These are any documents that have been identified as "Not For Public Release" for any major disaster or emergency declared under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. 5121, et seq.).

Note to Catalogers: Use the CERCLIS ID as the main FEMAID. The format for the FEMAID is a 2-character state code followed by the FEMA Disaster Number. Additionally, the SSID field will be used to capture any secondary FEMAIDs and the format is 6L0X __ __. The OUID field will be used to capture the Mission Assignments (MA). Depending upon the lead federal agency for the FEMA disaster, alpha-characters will be used to correspond to each agency. Listed below are examples for the formats for each federal agency:

U.S. Environmental Protection Agency	EPA __ __
U.S. Army Corps of Engineers	COE __ __
Department of Transportation	DOT __ __
Department of Interior	DOI __ __

Freedom of Information Act Requests (FI)

The Freedom of Information Act [40 Code of Federal Regulations Part 2 - Public Information] and [5 United States Code Section 552] provides specifically that "any person" can make requests for government information. Citizens who make requests are not required to identify themselves or explain why they want the information they have requested. All branches of the Federal government must adhere to the provisions of FOIA with certain restrictions for work in progress (early drafts), enforcement confidential information, classified documents, and national security information.

Guidance Documents (GU)

Non-site specific reports, directives, investigations, studies, or regulations that provide the EPA, Regions, the States, Tribes, the regulated community, members of the public, and other stake holders guidance on various issues.

Health Assessment (HE)

All releasable health and risk assessments, whether prepared by Agency for Toxic Substances and Disease Registry (ATSDR) or others should be filed here. Any releasable correspondence related to these studies should also be filed in this category.

The ATSDR is part of the U.S. Public Health Service. ATSDR may conduct a Superfund public health assessment, which is an independent evaluation of whether exposure to a site poses a danger to the people who live and work near it. This helps to ensure that the U.S. Environmental Protection Agency (EPA) does not overlook or underestimate any threats. Both a human health risk assessment and a public health assessment study overall hazardous substance threats to people.

History (HI)

This category includes documents pertaining to the history and background surrounding the site. This section covers the period of time prior to when a site is ranked on the NPL. Documents which pre-date any active EPA Superfund involvement should be filed in this category (except aerial photographs which may date from before and during EPA involvement). Any county / parish, State, Resource Conservation and Recovery Act (RCRA), or other non-Superfund EPA program materials are filed in this file. If a site is referred by the State to EPA, the date of the site referral establishes the final document date for this category. Note: Historical correspondence between PRPs and state and/or local agencies is filed in the Enforcement, PRP Specific (NP) phase.

Legal Confidential (LC)

This file contains all attorney-client privileged and attorney work product documents generated by the U.S. Environmental Protection Agency (EPA), Department of Justice (DOJ), or outside counsel. This category can be further subdivided by the individual attorney, with sub-categories such as DOJ correspondence, legal memoranda, and so forth. The use of volumes to separate for attorney-client / attorney work product from external correspondence for which confidentiality claims have been made (i.e. settlement negotiation correspondence) is required.

Legal, General Correspondence (LG)

This is external correspondence for which no claim of privilege can be made or has been made, including negotiation and settlement documents.

Legal Pleadings (LP)

This file contains all pleadings and discovery when the U.S. Environmental Protection Agency (EPA) is a party to a federal site-related litigation. Pleadings include complaints, answers, motions, pre-hearing exchanges, briefs, and orders and opinions of the judge.

Nattional Response Center (ES)

The National Response Center (NRC) is the federal government's national communications center, which is staffed 24 hours a day by U.S. Coast Guard officers and marine science technicians. The NRC receives all reports of releases involving hazardous substances and oil that trigger the federal notification requirements under several laws. Reports to the NRC activate the National Contingency Plan and the federal government's response capabilities. It is the responsibility of the NRC staff to notify the pre-designated on-scene coordinator (OSC) assigned to the area of the incident and to collect available information on the size and nature of the release, the facility or vessel involved, and the party(ies) responsible for the release.

The reports for spills will have an NRC Number, which is a six digit number. They are filed by their two letter State code, followed by an "X" and then "NRC". (e.g., LAXNRC537174.)

Natural Resource Trustee (RT)

These are all trustee reports and correspondence that are not confidential in nature. These documents are related to the Natural Resource Trustee (NRT) and their involvement during either the Remedial or Removal phase. This could include the selection and notification of the NRT, the release by the NRT, and any other correspondence between the U.S. Environmental Protection Agency (EPA) and the NRT. The NRT is concerned with natural resources such as land, fish, wildlife, biota, air, water, groundwater, and drinking water supplies, not human health issues. Depending on the type of site, the NRT could be the National Oceanic and Atmospheric Administration (NOAA), Department of Interior (DOI), Department of Defense (DOD), Department of Agriculture (DOA), a state agency, or Indian tribe.

Oil Pollution Act (OP)

This category includes all documentation prepared during emergency response or removal actions which are funded by the Oil Pollution Act (OPA). The Oil Pollution Act (OPA) of 1990 streamlined and strengthened EPA’s ability to prevent and respond to catastrophic oil spills. A trust fund financed by a tax on oil is available to clean up spills when the responsible party is incapable or unwilling to do so. The OPA requires oil storage facilities and vessels to submit to the Federal government plans detailing how they will respond to large discharges.

The OPA reports are filed by their FPN Numbers. They are filed by their two letter State code , followed by an "X" and then "FPN" (e.g.,
LAXFPNE03695.)

Operational & Functional (OF)

This is the phase following RA and before Deletion, while the remedy is monitored for proper operation. The Operational and Functional (OF) phase may last for one to five years or more. An OF file is opened after the final Remedial Action (RA) report is accepted and is closed when the Final Close-Out report is accepted. This is a phase of approximately one to three years following remediation completion, prior to the Operations and Maintenance (OM) phase (i.e., primarily for groundwater systems). Code general correspondence that is related to O&F here; but, if the correspondence relates to any of the more specific topics in this section, code it to that keyword code.

Operation & Maintenance (OM)

An Operation & Maintenance (OM) file is opened when the final close-out report is accepted and is closed at deletion. There is a long-term monitoring process following remediation and OF period, generally from five years to thirty years. This file concerns activities at a site after a response action occurs, to ensure that the cleanup or containment system is functioning properly. The state is usually responsible for monitoring the OM phase which can last for 30 years or more. EPA hands responsibility to the state by a formal letter.

Privacy Act, Confidential (PC)

This file contains personal and health information which EPA is obligated to protect under the Privacy Act. In addition, non-PRP access correspondence that pre-dates attorney involvement would be filed here; documents subsequent to attorney involvement would be filed in the Legal Confidential (LC) phase.

Remedial Action (RA)

The Remedial Action (RA) file opens when bids are opened and is closed when the final RA or construction report is accepted. The RA phase implements the remedy outlined during the Remedial Design (RD) phase and prepares the site for long-term monitoring and maintenance. Note that each operable unit may require its own RA set; separation of operable units should be made upon consultation with the site management team. Contractor documentation which contains material protected as Confidential Business Information, or, due to the Privacy Act should not be included within this category, unless redacted. Alternatively, contractor reports may be designed to facilitate separation of progress reporting, total hours, and total hours for that month from protected information. The sections of the monthly progress reports containing detailed cost information are filed in Contractor Confidential [CC].

Remedial Administrative Record (RR)

This is a compilation of technical site material that forms the basis for remedy selection. An Administrative Record (AR) is required for every remedial action. Only the index of the AR is filed in Remedial Administrative Record (RR) phase. A target sheet can be used in the file to indicate the physical location of the complete AR. Note that each operable unit may have its own Record of Decision (ROD) and therefore its own AR. Separation of operable units should be made upon consultation with the site management team.

Remedial Design (RD)

The Remedial Design (RD) is a series of engineering reports, documents, specifications, and drawings that detail the steps to be taken during the Remedial Action (RA) to meet the goals established in the Record of Decision (ROD) and remove the site from the National Priorities List. The RD development phase includes all activities relating to the review and approval of all design efforts, including preliminary, intermediate, pre-final, and final design phase submittals.

Remedial Investigation (RI)

The Remedial Investigation (RI) file opens with the first technical correspondence about RI, and closes with the Record of Decision (ROD) and comments. This phase investigates the remediation alternatives for a site, and defines the extent of the threat posed to human health or the environment by any contamination at the site. Often abbreviated to RI/FS. Although they are two distinct studies, they are related and are usually performed together. The intent of the RI is to gather the data necessary to determine the type and extent of contamination at the site, the baseline risk assessment, and the environmental assessment. The baseline risk assessment and the environmental assessment reports are filed in the Health Assessment (HE) phase. The Feasibility Study (FS) continues with that information by establishing criteria for cleaning up the site; identifying alternatives for Remedial Actions; and presenting in detail the technology and costs of the alternatives.

Note that each operable unit may require its own RI set; separation of operable units should be made upon consultation with the site management team. Contractor documentation which contains material protected as Confidential Business Information, or, due to the Privacy Act should not be included within this category, and such protected information must be redacted. Alternatively, contractor reports may be designed to facilitate separation of progress reporting, total hours, and total hours for that month from protected information. The sections of the monthly progress reports containing detailed cost information (not cost estimates) are filed in Contractor Confidential (CC) phase.

Removal Administrative Record (ER)

The administrative record file, a subset of the site file, is the body of documents used by the Agency during a removal action to select a response. It includes site specific data and documents that reflect the views of the public, including potentially responsible parties (PRPs), concerning this selection. Only the index of the administrative record is filed in ER.

Site Assessment (SA)

Site Assessment (SA) is the initial phase of the Superfund response program. This phase identifies the site, assesses the extent of the site contamination, and outlines the future of the site (i.e., No Further Remedial Action Planned (NFRAP), Site Evaluation Accomplished (SEA), remediation, etc.). The Hazard Ranking System (HRS) package is considered confidential until the site is proposed for ranking on the National Priorities List (NPL), or the site is closed by NFRAP or SEA. At that point, the HRS package is releasable to the public. If the site is listed on the NPL, a target sheet is used to cross-reference the notice from the Federal Register, which is placed in the NPL Docket.

Site Assessment, Confidential (SC)

Site Assessment (SA) covers the time period from when the site is first identified and information is collected to make decisions on what future studies or actions need to be taken, up to, and including the point when the Hazard Ranking Score (HRS) package is submitted. Information generated during this period that is pre-decisional is protected from release under the Freedom of Information Act (FOIA). When the site is closed (NFRAP - No Further Remedial Action Planned or SEA - Site Evaluation Accomplished) or ranked on the National Priorities List (NPL), the decisions have been made and all information is then releasable.

Work Performed Documentation (WP)

This is documentation of the completed work and the associated costs. The file is ordered based on the SCORES report with assistance from the EPA Enforcement Officer.

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