United States Office of Emergency and Publication 9360.3-05
Environmental Protection Remedial Response PB92-963416
Agency Washington, DC 20460 July 1992
Superfund
&EPA Superfund Removal Procedures
Public Participation Guidance
for On-Scene Coordinators:
Community Relations and the
Administrative Record
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Publication 9360.3-05
July 1992
SUPERFUND REMOVAL PROCEDURES
PUBLIC PARTICIPATION GUIDANCE FOR
ON-SCENE COORDINATORS:
COMMUNITY RELATIONS AND THE
ADMINISTRATIVE RECORD
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, DC 20460
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NOTICE
The policy and procedures set out in this document are intended solely for the guidance of
Government personnel. They are not intended, nor can they be relied upon to create any rights
enforceable by any party in litigation with the United States. EPA officials may decide to follow the
guidance provided in this document, or to act at variance with the guidance, based on an analysis of
site circumstances. The Agency also reserves the right to change this guidance at any time without
public notice.
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This document is part of a ten-volume series of guidance documents collectively titled the Superfund
Removal Procedures. These stand-alone volumes update and replace OSWER Directive 9360.0-3B,
the single-volume Superfund Removal Procedures manual, issued in February 1988.
Each volume in the series is dedicated to a particular aspect of the removal process and includes a
volume-specific Table of Contents, Reference List, and Key Words Index. The series comprises the
following nine procedural volumes:
The Removal Response Decision: Site Discovery to Response Decision
Action Memorandum Guidance
Response Management: Removal Action Start-up to Close-out
Removal Enforcement Guidance for On-Scene Coordinators
Public Participation Guidance for On-Scene Coordinators: Community Relations
and the Administrative Record
Removal Response Reporting
Special Circumstances
Guidance on the Consideration of ARARs During Removal Actions
State Participation.
In addition, the series includes an Overview volume, containing a comprehensive Table of Contents,
List of Exhibits, Key Words Index, List of Acronyms, and Glossary, for use as a quick reference.
This document summarizes the relevant public participation guidance and statutory authorities for
conducting community relations and administrative record activities. Appendix A contains the
Community Relations Plan Outline. "Appendix B. References" provides a comprehensive list of
supporting guidance documents that may be consulted for additional information on relevant topics.
Bracketed numbers [#] appear throughout the text to indicate specific references in Appendix B.
Consult the reference documents for a more detailed explanation of removal program procedures or
policies affecting public participation procedures. In addition, Appendix B provides a full citation
of each statute and regulation cited throughout the text. Appendix C contains the Key Words Index.
in
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Opportunities for public participation in the Superfund program promote two-way communication
between members of the public, including potentially responsible parties (PRPs) and the lead
government agency responsible for response actions. Because removal actions generally proceed
quickly, there is less time to plan or conduct public participation activities than during a remedial
response. As with other removal activities, preparation and the ability to work under short notice are
essential to ensure that affected communities be involved from the outset where appropriate.
Public participation procedures for removal actions are addressed by two components of the removal
process: community relations and the development of the administrative record. Public participation
procedures for removal actions have been designed to ensure an appropriate level of public
involvement without causing unnecessary delay. Therefore, these procedures vary depending on
site-specific circumstances. On-Scene Coordinators (OSCs) should coordinate their efforts with
technical, enforcement, and community relations staff to ensure that the local public is provided with
accurate and timely information, and that the community's concerns about planned actions are heard,
considered, and responded to by the lead agency and documented in the administrative record.
Site-specific public participation efforts are an important
component of successful removal actions.
IV
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CONTENTS
Public Participation During the Removal Action Process 1
Overview 1
Approach for On-Scene Coordinators 2
Community Relations Requirements During Removal Actions 5
Overview 5
Required Community Relations Activities 6
Additional Community Relations Activities 11
Administrative Record Requirements During Removal Actions 15
Overview 15
Administrative Record Activities 17
Public Participation Roles and Responsibilities 25
Primary Resources 25
Additional Resources 27
Appendix A. Community Relations Plan Outline 29
Appendix B. References 31
Appendix C. Key Words Index 33
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EXHIBITS
Exhibit
Number
1 Community Relations Requirements for Removal Actions 5
2 Public Participation Checklist 7
3 Information Repository Contents 11
4 Administrative Record Requirements for Time-Critical Removal Actions 16
5 Administrative Record Requirements for Non-Time-Critical Removal Actions 17
6 Administrative Record Contents 18
7 Sample Public Notice 21
8 Public Participation Resources Available to Assist OSCs 26
VI
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PUBLIC PARTICIPATION DURING
THE REMOVAL ACTION PROCESS
Overview
Section 113(k)(2) of the Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (CERCLA), as amended by the Superfund Amendments and
Reauthorization Act of 1986 (SARA), provides for the involvement of communities affected
by response decisions at Superfund sites. Public participation in the Superfund program, as
a whole, consists of all those public outreach activities conducted throughout the planning
and implementation of Superfund removal and remedial responses. The overall objectives
of public participation in the Superfund program are to:
• Inform the public of the degree and type of risks associated with the site,
planned or on-going actions, and other issues as appropriate
• Provide the public with an opportunity to comment on decisions about the site
• Identify and respond to community concerns.
Since removal actions generally proceed quickly, there is less time to plan or conduct public
participation activities than during a remedial response. Sections 300.415(m) and 300.820
of the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) specify two
forms of public participation for all removal actions:
• Community relations activities - designed to integrate the specific informa-
tion needs of the community into the design of the communications approach
or community relations plan for the site [5].
• Administrative record activities - designed to serve as the basis for the
response selection and as a vehicle for public participation in the removal
action [1].
For clarity, this guidance document distinguishes between community relations and admin-
istrative record activities based upon the NCP classifications. The NCP, however, provides
cross-references for many of the public participation activities specified within sections
300.415(m) and 300.820. The OSC therefore must ensure that both community relations and
administrative record activities are implemented, as appropriate, at each site.
Because public participation requirements are site-specific and vary with the urgency of the
removal action, there are no set formulas for success. Instead, public outreach efforts must
be tailored to address the distinctive needs of each community as well as the technical
removal action schedule. For instance, the timing and type of community relations activities
required for a removal action depend on the duration of on-site activity, although the OSC
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OVERVIEW
is also responsible for assessing whether additional activities not required by the NCP may
benefit the community. In contrast, administrative record requirements are, in part, based on
the length of the planning period available prior to the initiation of on-site activities. This
guidance discusses specific public participation requirements for removal actions, as
specified by the NCP and CERCLA, and also provides suggestions for additional activities
should time allow or circumstances indicate the need for an expanded or alternative approach.
Approach for On-Scene Coordinators
The urgent nature and the need for quick response typical of many removal actions demands
that the approach to public participation be responsive to changing community needs. OSCs
should:
• Be accessible to the community
• Ensure all communications are clear and accurate
• Develop a public participation strategy that considers the special needs and
concerns of the community.
These activities help ensure that OSCs adopt an appropriate public participation approach as
discussed further below. When possible, the OSC should work closely with the Region's
Community Relations Coordinator (CRC) and Administrative Record Coordinator (ARC) to
design an approach that will address the NCP requirements and specific site circumstances
(see pp. 4-13).
Accessibility to the community is critical to establishing the OSC's role as the leader of on-
site activity. The OSC must anticipate and respond to the fear, confusion, and frustration
often experienced by community members during removal actions. The OSC should be
available on a routine basis to answer individual questions and for specific events such as
press interviews or public meetings. During removal actions, however, OSCs must balance
the need for public accessibility with the limits of time and other resources. For example,
during time-critical situations, the OSC may determine that it is a more timely and efficient
use of staff or other resources to hold a public availability session, rather than develop and
distribute public information materials, to ensure immediate accessibility and reduce the
community's fears.
As the manager of on-site activity, the OSC is responsible for maintaining consistent, timely,
and accurate communication with the community. OSCs must listen to the needs and
concerns of the community and develop a strategy for formal and informal communication
with the community. Because discussions of removal actions can sometimes be highly
technical, the OSC must present information in clear and easy-to-understand terms. In all
instances, OSCs must ensure that the communication strategy is understood by other public
participation staff and that information provided to the public is consistent. To assist in
communicating technical concepts, the OSC may elect to develop supplemental information
materials, such as a fact sheet, to summarize site activity.
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OVERVIEW
The public participation approach that the OSC adopts for the community should reflect the
interests and information needs of the community. The OSC should match the extent and type
of information to be communicated with requests and concerns expressed by the community.
For example, if the removal action utilizes a new technology, the OSC may use charts or
diagrams as part of the public participation approach to help the community understand basic
technological concepts.
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COMMUNITY RELATIONS REQUIREMENTS
DURING REMOVAL ACTIONS
Overview
When a removal action has been determined necessary to mitigate a threat to public health
and the environment, it is imperative to give the public prompt, accurate information on the
nature of the release or threat of release and the removal action necessary to mitigate the
release or threat of release. Community relations requirements during removal actions are
intended to promote active communication between communities affected by a release or
threat of a release [5].
As the Agency's lead technical representative and director of community relations at a site,
the OSC is responsible for conducting or delegating responsibility for community relations
activities. These activities are described in the NCP and vary according to the duration of on-
site activity. The timing of community relations requirements for removal actions is
illustrated in Exhibit 1.
EXHIBIT 1. COMMUNITY RELATIONS REQUIREMENTS FOR
REMOVAL ACTIONS*
Determine
That Removal
V Action J
Js Necessi
Begin
On-Site
Removal
Activity
Designate
Agency
Spokesperson "
Establish
Information
Repository"
n
Within 120
Days ^
f Conduct >,
I Communitv 1
Interviews
Prepare
Community
Relations
Plan "'
Order of events lor illustrative purposes only. Some events may be concurrent.
' Community Relations activity required at all removal actions.
1 Community Relations activity required at removal sites with >120 days of on-site
activity.
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COMMUNITY RELATIONS REQUIREMENTS
Specifically, certain community relations activities are required if on-site activities are
expected to extend beyond 120 days from the initiation of on-site activity.1 Also, certain
public participation activities are required for all removal actions, regardless of the duration
of on-site activity.
It is important to note that a removal action will have community relations and administrative
record requirements. In addition, the NCP provides cross-references for certain community
relations requirements, such as establishing an information repository, within the adminis-
trative record requirements. Similarly, certain administrative record requirements have
community relations components, such as designating a public comment period and
subsequently developing the written response to significant comments (see pp. 14-22). To
ensure that all required community relations and administrative record activities are con-
ducted during a removal action, OSCs should consult the Public Participation Checklist
provided in Exhibit 2.
Section 300.415(m) of the NCP requires the following community relations activities:
• Community Relations Activities Required at All Removal Actions
Designate Agency spokesperson
Establish information repository
• Community Relations Activities Required at Removal Sites with > 120 Days
of On-site Activity
Conduct community interviews
Prepare community relations plan
Required Community Relations Activities
Designate Agency Spokesperson (This activity is required at all removal actions)
The NCP requires the lead agency to designate a spokesperson for all removal actions. The
spokesperson informs the community of actions taken, responds to inquiries, and provides
information concerning the release. At a minimum, the spokesperson must notify immedi-
ately affected citizens, State and local officials, and, when appropriate, civil defense or
emergency management agencies. If the OSC is not available for the media due to other
responsibilities at the site (or is not comfortable in the role as spokesperson), the OSC may
designate another Agency spokesperson, such as a member of the Region's public affairs
staffer the CRC assigned to the site (see pp. 23-25). The OSC, however, is responsible for
approving all Federal news releases or statements by participating agencies [3].
1 Required administrative record activities are defined according to the duration of the planning period; these activities are
discussed further beginning on p. 14.
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COMMUNITY RELATIONS REQUIREMENTS
EXHIBIT 2. PUBLIC PARTICIPATION CHECKLIST
The following checklist has been developed to assist OSCs in conducting and coordinating public
participation procedures with other EPA personnel and contractor support. Because the NCP
cross-references certain public participation requirements within the community relations and
administrative record sections, the OSC must ensure that all relevant administrative record and
community relations requirements are completed.
COMMUNITY RELATIONS ACTIVITIES
Required at All Removal Actions:
• Designate an Agency spokesperson.
• Notify affected citizens, State and local officials, and civil defense/emergency manage-
ment agencies.
• Review/coordinate any news releases or statements made by participating agencies.
Required at Removal Sites With >120 Days of On-Site Activity:
• Conduct community interviews for removal actions.
• Prepare community relations plan for removal actions.
• Select materials for inclusion in information repository.
• Establish information repository (s) for removal actions.
• Inform public of availability of the information repository.
Which Can Be Implemented at the OSC's Discretion:
• Contact Community Relations Coordinator to arrange for on-site support.
• Conduct a public meeting or public availability session,
• Prepare meeting summary.
• Develop additional public information materials, such as fact sheets.
• Establish on-scene information office.
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COMMUNITY RELATIONS REQUIREMENTS
EXHIBIT 2(2). PUBLIC PARTICIPATION CHECKLIST
ADMINISTRATIVE RECORD ACTIVITIES
Required at AH Removal Action:
• Establish administrative record file.
• Select documents to be included in the administrative record file.
• Publish public notice of administrative record availability:
- Issue notice within 60 days of initiation of on-site removal activity for time-critical
actions, including emergencies.
Issue notice of availability of administrative record with a brief description of EE/C A
for non-time critical actions.
• Make the administrative record file available.1
• Document compliance with community relations procedures in the administrative record
file.
• Add documents to the administrative record file.2
Required at Sites With > Six Months of Planning:
• Provide public comment period for comments on the EE/CA and supporting documen-
tation of not less than 30 days for all non-time-critical removal actions3, and a public
comment period of not less than 30 days for time-critical actions, as appropriate.4
• Prepare written response to significant comments and include in administrative record
file for all non-time-critical removal actions and for any time-critical actions for which
a public comment period was held.
1 Where it is deemed necessary to initiate on-site removal activities within hours of determining that aremoval is appropriate
and on-site removal activities cease within 30 days of initiation, the NCP allows the administrative record to be made
available for public inspection only at the central location.
*• Documents generated or received after the decision document is signed shall be added to the file only as provided in NCP
Section 300.825.
•* Upon receipt of a timely request, the lead agency will extend the public comment period by a minimum of 15 days.
4 In general, a public comment period will be considered appropriate if cleanup activity has not been completed at the time
the record file is made available to the public and if public comments might have an impact on future action at the site.
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COMMUNITY RELATIONS REQUIREMENTS
Hints for Communicating with the Media [3]
• Coordinate with the Office of Public Affairs/Community Relations
Coordinator
• Identify the messages you want to communicate
• Use short, memorable phrases
• Always tell the truth
• Speak in plain English
• Listen to and answer the question
• Turn negatives into positives
• Stay "on the record"
• Be prepared.
Conduct Community Interviews (This activity is required at removal sites with >120 days
of on-site activity)
Community interviews provide essential background information for the Community
Relations Plan. The purpose of these interviews is to solicit information about community
concerns, information needs, and how or when citizens would like to be involved in the
Superfund removal process [5]. The OSC may delegate this activity to the CRC or another
Agency representative. Interviews should be conducted with local officials, community
residents, public interest groups, and other interested or affected parties, as appropriate.
Depending on the circumstances, the OSC routinely may conduct the interviews when
residents contact Agency representatives to voice their concerns and seek additional
information about Agency activities. Other interviews may be scheduled formally and
conducted by the OSC or a designated Agency representative to ensure that a broad range of
community perspectives are considered in developing the community relations strategy.
Contractor support, through the Technical Assistance Team (TAT), may be available to assist
the OSC in organizing information obtained through interviews. The actual interviews,
however, must be conducted by EPA personnel.
Prepare Community Relations Plan (This activity is required at removal sites with >120 days
of on-site activity)
The Community Relations Plan (CRP) is a site-specific document designed to communicate
the community relations techniques and approaches deemed appropriate and relevant to the
site [5]. The OSC oversees the development of the CRP, ensuring that it:
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COMMUNITY RELATIONS REQUIREMENTS
• Accurately documents community concerns identified during interviews
• Clearly describes the site background and information regarding the history
of EPA, State, or local agency involvement at the site, if appropriate
• Incorporates site-specific circumstances, such as the type of removal action,
in determining appropriate community relations activities
• Provides a detailed description of the community relations strategies for
addressing community concerns regarding the site.
The OSC may delegate the preparation of the CRP to the CRC or State or local agencies;
however, the OSC is responsible for ensuring that the plan is implemented.
The CRP is a planning document for the lead agency. As such, the CRP should convey a
working knowledge of the local community and its concerns, while providing a framework
for addressing these community concerns during the removal action. The recommended
format of the CRP consists of five sections and two appendices; however, the format and level
of detail included in the CRP will vary according to the type of removal action. Appendix
A provides a detailed outline for a typical CRP.
Establish Information Repository (This activity is required at all removal actions)
The information repository is a project file or collection of materials relating to a specific
Superfund site and to the Superfund program in general [5]. The purpose of the repository
is to allow open and convenient public access to documents explaining the actions taking
place at a site. To establish the local information repository, the OSC must select a location
that is at or near the location of the response action, such as a local library or municipal
building. Depending on the level of interest at the site, the OSC may establish more than one
information repository at the site.
Typically, the information repository contains documents that provide information on site
location and activities, as well as Superfund program and policy guides. The information
repository may include materials on the Superfund process, background information, fact
sheets, press releases, maps, and other information to aid public understanding of a site
response. Exhibit 3 provides a list of required and suggested materials for inclusion in the
information repository. All items in the repository must be available for inspection and
copying. The administrative record file (see p. 14), by contrast, is the body of documents that
forms the basis of the agency's selection of a particular response at a site, i.e., documents
relevant to a response selection on which the lead agency relies, as well as relevant comments
10
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COMMUNITY RELATIONS REQUIREMENTS
EXHIBIT 3. INFORMATION REPOSITORY CONTENTS [5]
Required Contents
Copy of the Administrative Record File*
Work Plan submitted by Responsible Party, if available
Suggested Contents
Copies of CERCLA, RCRA, and the NCP
Documentation of site sampling results
Brochures, fact sheets, and other information about the Superfund program and the
specific site
Copies of site-specific press releases and newspaper clippings
Any other relevant material (e.g., published articles on the potential risks associated with
specific chemicals found at the site)
* If more than one information repository has been established for a site, a copy of the administrative record file must be made
available in at least one of the repositories.
and information that the lead agency considers but may reject in the ultimate response
selection decision. The administrative record file must be made available for public
inspection at one of the information repositories.2
After the local information repository is established, the OSC may obtain assistance in
maintaining the repository from any member of the community relations or records
management staff, the CRC, a State or local government agency representative, or a PRP in
certain situations.
Additional Community Relations Activities
At the discretion of the OSC, the following community relations activities may be used to
help implement the community relations plan. They are not required by the NCP or
CERCLA, and their use will depend on Regional practice, level of community interest, and
the urgency of the removal action.
Where it is deemed necessary to initiate on-site removal activities within hours of determining that a removal is appropriate
and on-site removal activities cease within 30 days of initiation, NCP section 300.805(a)(5) allows the administrative record
to be made available for public inspection only at the central location.
11
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COMMUNITY RELATIONS REQUIREMENTS
Conduct Public Meetings
The purpose of a public meeting is to inform citizens of ongoing response activities and to
receive citizen feedback on the proposed course of action [5, 8]. The meeting should not
substitute for other activities that involve direct communication with the public, but instead
should provide a presentation of technical site-specific information and an opportunity for
a question-and-answer session. The OSC should assume the role of moderator at the meeting
and present technical information about the site. Additionally, the CRC, public affairs staff,
or State or local government representatives should present a summary of community
relations activities to be used at the site. The OSC may enlist other Regional staff to present
additional information about the site if appropriate.
Availability Sessions
A public availability session is an informal meeting in a public location where people can talk
to Agency officials on a one-to-one basis. Typically, technical experts on different aspects
of removal activities, such as hydrogeologists and engineers, are available to answer
questions. One advantage of the public availability session is that it encourages direct,
informal interaction between the community and Agency staff, enabling the Agency to
respond immediately and directly to community concerns.
Develop Additional Public Information Materials
To assist the public in understanding the Superfund program or site-specific activities, the
OSC may develop brief fact sheets or draw upon existing outreach materials. Public
information materials usually take the form of fact sheets, public notices, or exhibits designed
to help ensure that the public is informed of the status of the removal action and has an
understanding of the Superfund removal program [2,5,8]. Public information materials are
not always site-specific; they may be used to provide generic information about the
Superfund program or EPA Regional activities relevant to the site. Generic materials are
available through the Regional public affairs office or through the Office of Waste Programs
Enforcement (OWPE) at EPA Headquarters.3 They also may be used to convey site-specific
information about the technology being used in the removal process, the role of PRPs in the
process, or the opportunities for public involvement in the decision-making process at the
site, if appropriate. These materials may be distributed at public meetings, mailed to residents
of the site community, or made available through the information repository.
3 Agency requestors must submit a writtenrequest for Superfund publications to OWPE's Superfund/RCRA Documents Center
via E-Mail or postal/interoffice mail. E-Mail requests should be sent to OERR/PUBS, Box 5248; and written requests mailed
to: Superfund Documents, OS-240,401 M Street, S.W., Washington, D.C. 20460. Requests should include the full name of
the recipient, address, telephone number, and the title(s) or number(s) of the documents being requested.
12
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COMMUNITY RELATIONS REQUIREMENTS
Develop Community Relations Mailing List
The OSC may develop or update a mailing list for the site to facilitate distribution for fact
sheets, bulletins, or other EPA-issued correspondence about site activities. The mailing list
should contain the names, addresses, and where appropriate, affiliations of all community
leaders and interested parties, including:
• Federal, State, and locally-elected officials
• Potentially responsible parties
• Members and leaders of environmental and citizens' groups
• Interested citizens
• EPA Regional officials
• State environmental and health officials
• Local health department, safety, and township officials
• Press contacts.
The initial mailing list may be developed from parties identified during other community
outreach activities, conversations with local officials, and from sign-in sheets at public
meetings or availability sessions. The mailing list should be updated as necessary.
Prepare Meeting Summaries
A meeting summary provides the community with a written record of the key points covered
during community meetings. It may be prepared by the CRC, other community relations
staff, or a contractor, such as the TAT. Photocopies of the agenda, a list of Agency
representatives with addresses and telephone numbers, and any handout or public informa-
tion materials distributed by EPA at the meeting should be attached to the meeting summary.
A copy of the meeting summary should be provided in the information repository.
The meeting summary is not a transcript of the meeting, but a summary of main issues and
concerns. A certified meeting transcript prepared by a stenographer is recommended for
formal public meetings held during a public comment period. In addition, comments and
responses received at a public meeting held during a formal comment period must be
documented in the written response to significant comments (see p. 21).
Establish On-Scene Information Office
An on-scene information office may be established by the OSC to better enable the Agency
to respond immediately to local questions and concerns and issue press releases [5]. The on-
scene information office may be located in a trailer or small building near the site and staffed
by a full-time or part-time person such as the CRC or other community relations resource
13
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COMMUNITY RELATIONS REQUIREMENTS
person designated by the OSC. On-scene offices are useful especially during removal actions
involving particularly complex technologies or processes, when there is a high level of risk
to human health or to the environment, or when a significant amount of interaction between
EPA and community members is expected. If the OSC determines that an on-scene
information office is appropriate, an Agency staff person should remain on site until the
removal action is completed. At the discretion of the OSC and depending on the circum-
stances at the site, the responsibilities of the on-site staff may include:
• Distributing information to local residents
• Maintaining the mailing list
• Tracking the status of access to the property
• Preparing a daily log of citizen inquiries
• Preparing press releases
• Responding to citizen inquiries.
If resources do not allow for the extended presence of an Agency representative on-site, the
OSC may determine critical points where this support is necessary. Information requests also
may be collected by a telephone answering machine to provide residents access to Agency
staff. The OSC or another Agency representative should monitor the incoming messages on
a regular basis and provide prompt follow-up to community requests for information.
14
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ADMINISTRATIVE RECORD REQUIREMENTS
DURING REMOVAL ACTIONS
Overview
Section 113(k) of CERCLA, as amended, requires the establishment of an administrative
record. The administrative record file, a subset of the site file, has two primary purposes:4
• First, it is the basis for judicial review of any issues concerning the removal
action. Because a proposed removal action must be supported by the
administrative record, the OSC must ensure the adequacy of the administra-
tive record in the event the decision is challenged, such as in a subsequent cost
recovery case.
• Second, EPA, through access to the administrative record file, provides for
public participation, whenever practical, in removal actions, with opportunity
as appropriate for comment on the selected response.
The administrative record file is the body of documents used by the Agency during a removal
action to select a response. It includes site-specific data and comments, guidance documents,
technical references used in the selection of the response, and documents that reflect the
views of the public, including PRPs, concerning this selection [1]. For removal actions, the
Action Memorandum is the critical component of the administrative record file because it is
the primary decision document for a removal action.
As with the community relations requirements, administrative record requirements vary
according to the type of removal action. Specifically, the timing and extent of administrative
record activities depends on whether or not a planning period of six months is available before
the start of on-site activity. Section 300.820 of the NCP requires the following administrative
record activities:
Public Participation Activities Required at All Removal Actions
Establish the administrative record file
Publish a notice of administrative record availability
The administrative record file differs from the administrative record because it refers to the documents as they are being
compiled. Until a response is selected, there is no complete administrative record for that decision. Thus, to avoid creating
the impression that the record is complete at any time prior to the final selection decision, the set of documents is referred to
as the administrative record file rather than the administrative record.
15
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ADMINISTRATIVE RECORD REQUIREMENTS
• Public Participation Activities Required at Sites with >Six Months of
Planning
Hold a public comment period, where appropriate
Develop a written response to significant comments.
Section 300.825 of the NCP requires that the lead agency:
• Add documents to the administrative record file after selection of a response
action only in certain situations.
Exhibits 4 and 5 illustrate administrative record requirements for removal actions with
planning periods of less than six months (i.e., time-critical actions, including emergencies)
and more than six months (i.e., non-time-critical actions). In addition, the close relationship
between administrative record requirements and community relations requirements is
demonstrated by numerous cross-references throughout the NCP. For example, NCP section
300.415(m), which contains community relations requirements, cites most of the adminis-
trative record activities specified above. It is the responsibility of the OSC to ensure that all
relevant administrative record and community relations requirements are completed. The
OSC may determine that site circumstances merit additional public participation require-
ments beyond what is required; in such cases, the OSC may conduct those activities as
appropriate, in addition to the required activities.
EXHIBIT 4. ADMINISTRATIVE RECORD REQUIREMENTS
FOR TIME-CRITICAL REMOVAL ACTIONS* [1]
Begin On-Site
Removal
Activity
Within
Comment Period
(Where Appropriate)
Begin
Record
Compilation •••
Record
Rle Available
at Information
Repository *"/
* Order of events for illustrative purposes only. Some events may be concurrent.
" In general, a public comment period will be considered appropriate if cleanup activity has
not been completed at the time the record file is made available to the public and if public
comments might have an impact on future action at the site.
"• Administrative Record activity required at all removal actions.
16
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ADMINISTRATIVE RECORD REQUIREMENTS
EXHIBIT 5. ADMINISTRATIVE RECORD REQUIREMENTS
FOR NON-TIME-CRITICAL REMOVAL ACTIONS [1]
EE/CA
Publicly
Available
EE/CA
Approval
Memo
Action
Memo
Signed
V Removal I
30 - Day Comment
Period '"
Record
File Publicly
Available
in
Record
Compilation *
Complete
Record
File
. Upon timely request, the lead agency will extend the public comment period by a minimum of 15 additional days.
The NCP Preamble defines "timely" as generally within 2 weeks after the initiation of a public comment period.
Administrative record activity required at all removal actions.
Administrative record activity required at sites with >six months of planning.
Administrative Record Activities
Establish Administrative Record (This activity is required at all removal actions)
The OSC, as the leader of on-site activity, is responsible for compiling and maintaining the
administrative record in accordance with the NCP [1,6]. The OSC should work closely with
the Region's Administrative Record Coordinator (ARC) to help compile and index the
administrative record file; develop and implement document room procedures to ensure
orderly public access to the record; and monitor the condition of record documents to ensure
the integrity of the record. Exhibit 6 lists the required contents of the administrative record
file, as defined in the NCP. The length of time a record must be available at or near the site
will be dependent on site-specific considerations such as on-going site activity, pending
litigation, and the level of community interest. The administrative record file may be made
available to the public in document-form or microform.
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ADMINISTRATIVE RECORD REQUIREMENTS
EXHIBIT 6. ADMINISTRATIVE RECORD CONTENTS
The administrative record file for selection of a response action typically, but not in all cases, will
contain the following types of documents:
• Documents containing factual information and analysis of the factual information that may
form a basis for selection of a response action, such as:
Verified sampling data
Chain of custody forms
Site inspection reports
- Preliminary assessment and site evaluation reports for EE/CA
- ATSDR health assessment
Documents supporting the lead agency's determination of imminent and substantial
endangerment/risk assessment
Technical, treatability, and engineering evaluations and studies
- Requests for information and responses solicited under Section 104(e) and Section
122(e), when they contain information relied on by the decisionmaker, and responses to
Section 104(e) information request letters and Section 122(e) subpoenas
Sampling plan.
• PRP notice letters.
• Factual information from the public/PRPs.
• Guidance documents, technical literature, and site- or issue-specific policy memoranda that
may from a basis from the selection of the response action, such as:
Articles from technical journals
- Memoranda on the application of a specific regulation to a site
- Memoranda on off-site disposal capacity.
• Documents received, published, or made available to the public under section 300.820 of the
NCP such as:
Community Relations Plan
Public comment and information received by the lead agency/State and Federal Agency
comments
Written response to significant comments
Documentation of Public Meetings
Documentation of State involvement.
• Decision documents, such as Action Memoranda, and Closeout Documents.
• Enforcement orders, such as administrative orders, consent decrees and affidavits.
• Index of the documents included in the administrative record file. *
In general, only final documents are included in the administrative record file. Confidential
documents will be placed in the record, but not at the site information repository.
* If documents are customarily grouped together, as with sampling data chain-of-custody documents,
they may be listed as a group in the administrative record file.
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ADMINISTRATIVE RECORD REQUIREMENTS
NCP requirements for the timing of the availability of the administrative record file depend
on the urgency of the situation. For all removal actions where there is a planning period of
less than six months prior to the initiation of on-site activity, the administrative record file
must be made available for public inspection no later than 60 days after the initiation of on-
site removal activity. For removal actions where a planning period of six months or more
exists before on-site removal activities must begin, the administrative record file must be
made available for public inspection when the EE/CA is made available for public comment.5
NCP requirements concerning the location of the administrative record file also depend on
the urgency of the removal action. For emergency removal actions lasting less than 30 days,
the record file need only be placed at a central location, such as an EPA Regional office. For
those sites where emergency removal activity is expected to extend beyond 30 days, and for
all other time-critical and non-time critical removal actions, the OSC must make the
administrative record file available at both a central location and at or near the site.
The Region may choose to have the ARC certify that the record was compiled and maintained
in accordance with applicable Agency regulations and guidance. Such certification would
not, however, address the completeness of the record file [ 1 ]. Only the Regional Administrator' s
designee, after consultation with the Office of Regional Counsel (ORC) and the OSC, may
certify the administrative record for completeness. Certification of the record should be made
by program staff and not legal staff.
Publish Public Notice (This activity is required at all removal actions)
A public notice is an advertisement, usually a display ad, published in major local newspapers
in the site community to announce officially Agency decisions, major removal activity
milestones, public meetings, or to solicit public comment on Agency actions [1,5]. The NCP
requires the lead agency to publish a public notice to inform the public of the availability of
the administrative record file.
The public notice announcing the availability of the administrative record file must appear
when the record file is placed in the information repository. For removal actions where the
planning period is less than six months, the NCP stipulates that the public notice must appear
when the administrative record file is made available for public inspection, no later than 60
days after initiation of on-site removal activity. For removal actions with a planning period
of six months or more, the public notice announcing the availability of the administrative
record file must be published when the EE/CA Approval Memorandum is signed.
Public notices should include the following information:
• Site background
• A brief description of the major components of the EE/CA, if applicable
5 NCP section 300.415(b) requires the preparation of an EE/CA or its equivalent (e.g., a Remedial Investigation/Feasibility
Study) for all removal actions with aplanning period of at least six months before the start of on-site activity. The EE/CA then
must be made available to the public for comment.
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ADMINISTRATIVE RECORD REQUIREMENTS
Location and hours of availability of the information repository
Dates of public comment period, if applicable
Time, date, and location of public meeting, if applicable
Name of the Agency contact to whom written comments on the administrative
record file should be addressed.
In addition, if the notice is announcing a public comment period for a non-time-critical
removal action, it must state that upon timely receipt of a request (defined in the NCP
Preamble as generally within two weeks after the initiation of a public comment period), the
comment period will be extended a minimum of 15 additional days.6 Exhibit 7 provides a
sample public notice announcing the availability of the administrative record file.
The OSC should ensure that a public notice is placed in a newspaper with general circulation
in the site community. Where there is more than one general circulation newspaper serving
the community or if the site community is a broad geographic area, the public notice may be
placed in more than one newspaper. Where time permits and the OSC determines that the
level of interest in the site warrants additional notice of events, a press release noting
information included in the public notice may be distributed for broadcast to local media or
sent as individual mailings to interested parties on the mailing list.
Hold Public Comment Period (This activity is required at sites with >six months of planning)
A public comment period is a designated time period when written comments from citizens
and oral comments received at a public meeting are accepted formally by the agency
responsible for the removal action. The purpose of these public comment periods is to
provide an opportunity for citizens to review and comment on the Agency' s proposed course
of action [1, 5]. For the administrative record, an additional purpose is to ensure that
interested persons may submit comments on the selection of the removal action for inclusion
in the administrative record file.
For time-critical removal actions, the NCP requires a public comment period, if appropriate,
of not less than 30 days, when the administrative record file is made available for public
inspection. For non-time critical removal actions, the NCP requires a 30-day public comment
period on the EE/CA and any supporting documentation at the time the EE/CA is made
available for public comment. While public comment periods are always required for non-
time-critical removal actions, they will be considered appropriate in time-critical situations
if cleanup activity has not been completed at the time the record file is made available to the
public and if public comments might have an impact on future action at the site. In addition,
the public comment period for non-time-critical removal actions must be extended for a
minimum of 15 additional days upon timely receipt of a request.
Note that this is a new requirement per NCP section 300.415(m)(4)(iii), published March 8,1990. The NCP also requires that
documents supporting the request for an additional comment period be placed in the administrative record file.
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ADMINISTRATIVE RECORD REQUIREMENTS
EXHIBIT 7. SAMPLE PUBLIC NOTICE
UNITED STATES ENVIRONMENTAL
PROTECTION AGENCY
Region 6
1445 Ross Avenue, Suite 1200
Dallas, Texas 75202
NOTICE OF PUBLIC AVAILABILITY
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
ANNOUNCES THE AVAILABILITY OF THE
REMOVAL ADMINISTRATIVE RECORD FILE
A & B PETROLEUM
BELLFIELD, BELL PARISH, LOUISIANA
The U.S. Environmental Protection Agency (EPA) announces the availability
for public review of documents comprising the A & B Petroleum administrative
record file for the selection of the removal action. The documents are available
at the Bell Parish Public Library. EPA encourages the public to comment on
documents as they are placed in the record file.
The administrative record file includes documents which form the basis
for the selection of a removal action at this site. Documents now in the record
file include, but are not limited to, preliminary assessment and inspection
reports, test results and the Action Memorandum. Other documents could be added
to the record file as site work progresses. These additional documents may
include, but are not limited to, technical reports, additional validated
sampling data, comments and new data submitted by interested persons, and EPA
responses to significant comments. No further announcement of availability
will be made.
The administrative record file is available for review during normal
business hours at:
Bell Parish Public Library and U.S. EPA - Region 6
204 West Main 145 Ross Avenue
Bellfield, Louisiana 71483 Dallas, Texas 75202
Public comments on the response decision will be accepted for thirty (30)
days from the date this notice appears in print. At the end of the thirty (30)
day comment period, a written response to all pertinent comments will be prepared
in a responsiveness summary and will be placed in the record file. Written
comments on the administrative record file should be sent to:
U.S. EPA - Region 6
ATTN: John Doe
1445 Ross Avenue
Dallas TX, 75231
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ADMINISTRATIVE RECORD REQUIREMENTS
The OSC is responsible for designating the public comment period and should ensure the
completion of the following tasks if a public comment period is required:
• Identifying a contact person within the Agency who will respond to questions
regarding the public comment period
• Announcing the start of the public comment period at least two weeks in
advance of the event7
• Documenting by a memo to the file or record of communications any
significant comments expressed that are not received in written form
• Conducting a public meeting to discuss site activities.
At the conclusion of a public comment period, a written response to significant comments is
prepared as described below.
Prepare A Written Response to Significant Comments (This activity is required at sites with
>six months of planning)
The OSC is required to include a written response to significant comments in the adminis-
trative record file for comments received during the comment period on documents in the
record file [4]. The written response to significant comments is prepared by the OSC or a
designee in conjunction with the ORC with technical understanding of the removal action to
address those community concerns received during the public comment period. All
comments received by EPA during the comment period should be included in the adminis-
trative record. The response may be to comments received in writing or orally, through
community interviews or public meetings [5].
Adding to the Administrative Record File After Selecting the Response (This activity is
required at sites with >six months of planning)
Following the selection of the response, NCP section 300.825 stipulates that documents may
be added to the administrative record file only in certain situations [ 1 ]. Specifically, the lead
agency may add documents to the administrative record file after the decision document
selecting the response for the removal action has been signed if:
• The documents concern a portion of the selected response that the decision
document (usually the Action Memorandum) does not address or reserves to
be decided at a later date
• An amended decision document is issued
7 Depending on site circumstances (e.g., time and resource constraints or the level of public interest), a second notice may be
issued immediately prior to the public comment period.
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ADMINISTRATIVE RECORD REQUIREMENTS
• The lead agency holds an additional or extended public comment period after
the decision document has been signed and additional comments, responsive
to the issues included in the request for additional comment, are received
• The lead agency receives comments after the close of the public comment
period that contain significant information not contained elsewhere in the
administrative record file which could not have been submitted during the
public comment period and which substantially support the need to alter the
response significantly.
If any of the above situations apply to a removal action, supporting documentation should be
included in the administrative record file.
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PUBLIC PARTICIPATION
ROLES AND RESPONSIBILITIES
The OSC works with the Community Relations Coordinator (CRC) and Administrative Record
Coordinator (ARC) when possible to coordinate the design and implementation of public participa-
tion activities during a removal action. Additional resources, including other EPA Regional
personnel, State or local government representatives, and contractor support are available to assist
the OSC with public participation activities [5]. The OSC may use these resources to build a site-
specific public participation team, depending on Regional and State procedures as well as site
circumstances, such as the level of public interest and the immediacy of the removal action. While
the OSC may delegate the conduct of the public participation activities to a team member, ultimate
responsibility rests with the OSC. For example, although the actual compilation of the record may
have been delegated to the records management staff, the Regional Administrator may consult the
OSC prior to certifying the completeness of the administrative record.8 Exhibit 8 illustrates the
resources available to assist the OSC in implementing each of the public participation activities.
Primary Resources
The primary resources available to the OSC for the design and implementation of public
participation activities are:
• Community Relations Coordinator (CRC) - serves as the OSC's primary
resource for coordinating and monitoring contractor support. The CRC may
conduct or oversee support activities such as preparing a community relations
plan and fact sheets, conducting community interviews, and maintaining an
information repository for the site.
• Administrative Record Coordinator (ARC) - organizes information for the
administrative record file according to the Regional file structure. The ARC
may provide site file materials from which to compile the record file, assist
in compiling the record file to meet the timing requirements established by the
NCP, and help identify materials for the information repository.
• Regional Public Affairs staff - provide support for the OS C in media relations
tasks, such as developing press releases, processing information requests
from the media, or acting as an Agency spokesperson. The assistance of the
public affairs staff may be enlisted directly by the OSC or through the CRC.
8 The actual certification of the administrative record is made by a designee of the Regional Administrator.
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ROLES AND RESPONSIBILITIES
EXHIBIT 8. PUBLIC PARTICIPATION RESOURCES AVAILABLE
TO ASSIST OSCs
Public Participation Team
Public
Participation
Activities
Designate Agency
Spokesperson
Establish Administrative
Record File
Conduct Community
Interviews
Prepare Community
Relations Plan
Establish Information
Repository
Publish Public Notice
Designate Public Comment
Period
Prepare Written Response to
Significant Comments
Conduct Public Meeting*
Develop Fact Sheets or other
Public Information Materials*
Develop Community
Relations Mailing List*
Prepare Meeting Summary*
Establish On-scene
Information Office*
* These community relations activities are available to supplement the community relations approach; they are not required by
the NCP.
** In most Regions, CRCs delegate activities to contractor support, where appropriate, and oversee conduct of those activities.
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ROLES AND RESPONSIBILITIES
• State or local government representatives - may assist or, in some situations,
take the lead for public participation activities. State and local government
personnel are helpful particularly in situations where immediate support is
necessary and Regional staff are not available.
Additional Resources
Other support available to assist the OSC in implementing public participation activities
includes:
• Regional removal enforcement staff - supports the establishment or mainte-
nance of the information repository. The enforcement staff has many of the
site documents necessary for the information repository including documen-
tation of any removal activity conducted by the responsible parties, such as
the Work Plan and the Site Safety Plan.
• Office of Regional Counsel (ORC) - must consult with the OSC regarding the
contents of the administrative record file prior to documents being made
available publicly. The ORC also should be involved in any site activity
involving the public's right to information as required by the NCP and
CERCLA, including reviewing documentation for inclusion in the adminis-
trative record file, preparing the public notice, preparing the community
relations plan, and developing the written response to significant comments.
• The United States Coast Guard Public Information Assist Team (PIAT) - is
available to assist OSCs in meeting the demands for public information and
participation. Assistance from the PIAT may include the preparation of
public informational materials and press releases. Requests for the PIAT may
be made through the National Response Center.
• Contractor support - may be used to assist in developing the community
relations plan, establishing the information repository, and preparing the
written response to comments. The OSC may delegate tasks to contractor
support personnel identified by the CRC. Depending on the information
needs of the site community, the public participation support contractor also
may be involved in the development of public information materials and other
public participation activities beyond those required by CERCLA and the
NCP.
The use of these public participation resources is coordinated by the OSC. As the leader in
implementing these activities, the OSC will be responsible for identifying the roles and
responsibilities of each staff member and communicating information about the site commu-
nity and public participation strategy to the staff.
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APPENDIX A. COMMUNITY RELATIONS PLAN OUTLINE [5]
Section 1. Overview of Community Relations Plan
This section outlines the purpose of the CRP and the distinctive or central features of the community
relations efforts for the site. Any special characteristics of the community and the site also should
be introduced. This overview should identify the community relations objectives designed for this
particular removal action and describe the relevance of these objectives to the removal process.
Section 2. Capsule Site Description
This section provides the basic historical, geographical, and technical details in order to convey the
necessity of a removal action at the site. The description of the site should include:
• Site location and relationship to homes, schools, playgrounds, businesses, lakes,
streams, and parks
• History of site use and ownership
• Type of hazardous substances at the site
• Nature of threat and potential threat to public health and environment
• History of inspections and studies conducted at the site.
In addition, the description should identify the lead agency responsible for the removal action.
Section 3. Community Background
This section is a compilation of information gathered during the community interviews. Conse-
quently, this section should focus on the community's perceptions of the events and problems at the
site, if applicable. This information should be divided into three parts:
• Community profile, which familiarizes the reader with the community and analyzes
key local issues and interests
• Chronology of community involvement, which identifies how the community has
reacted to the site in the past
• Description of key community concerns, which analyzes the major public concerns
regarding the site and discusses how the removal action addresses these concerns.
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Section 4. Highlights of the Community Relations Program
This section summarizes the design for the community relations strategy at the site. If applicable,
information about site-specific methods of communication, resources to be used in the implemen-
tation of the community relations program, key individuals or organizations expected to play a role
in the implementation of the program, and areas of special sensitivity that have been or are being
considered during removal activities should be presented in this summary.
Section 5. Community Relations Activities and Timing
This section presents the community relations activities that will be conducted at the site and the
proposed timeline for implementing these activities. A planning tool, such as a matrix of the
community relations activities as related to the removal activities or milestones at the site, may be
used to clarify this section.
Appendix A: Contact List of Key Community Leaders and Interested Parties
The names, addresses, and telephone numbers of all officials and group representatives contacted
during the community interviews, along with others who will receive information about site
developments, are listed in this appendix. This appendix should not include the names, addresses,
and telephone numbers of private citizens contacted for interviews; this information should be
included in a separate mailing list that is not made available for public review. The list of community
leaders and interested parties should be categorized as follows:
• EPA Regional officials
• Community organizations, environmental groups, and citizens' groups
• State and local officials and agencies
• Media.
This appendix generally requires more frequent updates than the rest of the CRP, to be consistent with
changes in government administration and community leadership.
Appendix B: Suggested Locations of Meetings and Information Repositories
Appendix B lists the resources available for implementing the community relations program for the
site. This appendix lists recommended locations for public meetings, public availability sessions,
and the information repository. Facilities recommended for holding public meetings or public
availability sessions include school gyms, town halls, and library meeting rooms. The locations
selected for public meetings or availability sessions should be accessible to handicapped individuals
and geographically convenient to the community. To aid future planning, the capacity of the meeting
room and the name of the contact person for scheduling facilities also should be included in the
appendix. Typical locations for information repositories include local libraries, town or city halls,
and county offices. Appendix B should include the hours of availability, the names of contacts for
access to repository materials, and photocopy fees.
30
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APPENDIX B. REFERENCES'
Guidance
[1] OSWER Dir. 9833.3A-1, "Final Guidance on Administrative Records for Selecting
CERCLA Response Actions" (December 3,1990)
Manuals
[2] Community Relations Resources Catalog. Office of Emergency and Remedial Response
(March 1989)
[3] "Dealing with the Media: Print and Electronic," Superfund Removal Program Policy Note-
book. Volume 2, Office of Emergency and Remedial Response
[4] OSWER Dir. 9203.0-06, "Superfund Responsiveness Summaries (Superfund Management
Review: Recommendation #43E)" (June 1990)
[5] OSWER Dir. 9230.0-3B, Community Relations in Superfund: A Handbook (June 1988)
[6] OSWER Dir. 9833.4, Compendium of CERCLA Response Selection Guidance Documents
Office of Waste Programs Enforcement (February 1990)
[7] OSWER Dir. 9837.2A, Enforcement Project Management Handbook (January 1991)
[8] Superfund Community Relations Program: A Guide to Effective Presentations with Visual
Aids. Office of Emergency and Remedial Response (June 1988)
Statutes and Regulations
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as
amended, 42 U.S.C. sections 9601-9675
The National Oil and Hazardous Substances Pollution Contingency Plan, 40 CFR Part 300 (March
1990)
Bracketed numbers in front of each reference appear throughout the text to guide the reader to the appropriate information
resources.
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APPENDIX C. KEY WORDS INDEX
Administrative record file 10,15,16,22
Administrative Record Coordinator 2,25
Agency spokesperson 6
Community interviews 9
Community Relations Coordinator 2,9,25, 26
Community Relations Plan 9,29
Contractor support 26, 27
EE/CA 19
Fact sheets 12
Information repository 10,11
Mailing list 13
National Contingency Plan 1
Office of Regional Counsel 26, 27
On-scene information office 13
Public affairs staff 25,26
Public availability session 12
Public comment period 20,22
Public Information Assist Team 26,27
Public meeting 12
Public meeting summary 13
Public notice 19,21
Public Participation Checklist 7,8
Regional records management staff 26
Regional removal enforcement staff 26,27
Removal actions
Time-critical 2,16
Non-time-critical 17
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State and local government representatives 26,27
Written Response to Significant Comments 22
34
* U.S. G.P.O.:1992-311-893:60356
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