UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                        WAJMtNaTON. D.l. 10446      ~"


                                                  OSWER Directive 9833.3

                         MAT 29 S87
                                                •OLIO WASTI ANO IMINQINCV MU*OM»

 MEMORANDUM



 SUBJECT:  Administrative  Records  for Decisions on Selection of
          CERCLA Response Actions
PROM:    Gene  A. Lucero, Director
         Office of Waste Programs  Pnforceme,

         Henry L. Longest  II, Director
         Office of Emergency and RemediaUnefftJbnse  (WH-548)

TO:      Addressees


     As you are aware, section 113(k) of  the  Comprehensive Environ-
mental Response, Compensation, and Liability  Act  (CERCLA), as
amended by the Superfund Amendments and Reauthorization Act  (SARA),
requires that the Agency establish administrative records containing
information used by the Agency to make its  decision  on  selection
of response action under CERCLA.  Section 113 also requires  that
the records be kept "at or near the facility*  at issue.*"  This
memorandum is to inform you of steps which  must be implemented by
the Regions immediately to assemble administrative records,  if
not already done.

     As the section 113 requirement for the establishment of
records is in effect, the Regions should ensure that information
on selection of a response action is assembled now, and  is avail-
able for public, including potentially responsible party, review
both in the Regional Office and "at or near the facility at
issue."  This requirement applies to all sites for which a remedial
investigation has begun.  It also applies to  removal actions
where an Action Memorandum has been signed  or public comment has
been solicited.

     This administrative record consists of information  upon
which the Agency bases its decision on selection  of  response
action.  It is a subset of information included in the  site  file.
The site files will contain information on  potentially  responsible
party liability and cost documentation, for example, which is not
included in the administrative record.  The administrative record
will also overlap with the community relations information in the
information repositories,  the Federal facility docket, and the

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                                                     OSWER Direct
                            -2-


 NPL listing docket.   A  separatee memorandum- concerning  seetTng"up
 s4t«—f"tlesv andlong term management of administrative  records
 is  under development.  At this time, as you assemble and
 reproduce* administrative records, you should keep other records
 management natters  in mind.

      Three million  dollars were available in contract Funds
 for  records management in FY '87, some of which is still available.
 Additional funds averaging about §100,000 per Region have been
 earmarked this fiscal year specifically to assist in setting up
 administrative records.  The Regions should submit a list of
 priority sites at which  they will require assistance in compiling
 a record, and an estimate of the cost of such activities.   Top
 priority should be  given to those sites for which the Agency
 will be signing Records  of Decision (RODs) in this fiscal year,
 and  those for which a remedial investigation/feasibility study
 (Rl/FS) is currently available for public comment.  The next
 highest priority includes those sites where a POD has been signed
 and  the PRPs are not undertaking the remedial design (RD) or
 remedial action (RA); sites where a Rl/FS workplan Is available;
 and  sites where a removal action is underway.  Third priority
 sites are-those where a ROT) has been signed and PRPs are undertaking
 the  remedial design or remedial action.                       *  '

     The Regions should also list sites which presently have
 funding for an administrative record.  A coordinator should
 be designated in each Region to manage  the compilation of
 priority sites and oversee the compilation of these administrative
 records.  Please submit your list of priority sites and  contract
 needs within two weeks to Linda Boornazian in OWPF.  She can he
 reached at 382-483O.

     The Agency plans to propose regulations  establishing  proce-
 dures for the administrative records.  These  administrative
 record regulations are expected to be issued  in conlunction with
 the proposed  NCP revisions.   The upcoming proposed regulations
will serve as interim guidance under SARA for the creation of
 adequate administrative records for response  action decisions.
We have been  working with representatives from the Regions on
 these regulations.

     During the course of developing these regulations,  numerous
 policy issues have surfaced.   These issues are currently being
 addressed at headquarters.  This  memorandum will be followed
 shortly by a me'mo rand urn addressing issues related to the admini-
 strative record requirements,  in greater detail.  The upcoming
 memorandum will summarize the Agency's  current direction on these
 administrative record issues.   We will  also be addressing  the
 administrative record requirements in the Superfund Record of
 Decision Workshops  in June and July of  1987,  emphasizing information
 on FY '87 RODs.

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                                                                 9833.3



      Attached  is a  list of  items which,  if generated  for  a
particular  site, should be  included  in  the ftrimintatra^±vc~ nrcora~r
Pleas* note-that- information  upon which  the decision  on selection
of  response action  is  based must be  included in the record.

      The  Ejjncy will be refining this list.  The upcoming memorandum
will  go inv much greater detail on  all  aspects of  the administra-
tive  record.   Until then, the above  lists of documents should be
used  as an  indication  of information which should be  placed in the
administrative record.

     Please  call Deborah Wolpe of OWPE  at FTS 475-8235 if you
have any questions.

Attachment

Addressees:

    Directors, Waste Management Division, Reg. I, IV, V, VII, VIII
    Director, Emergency and Remedial Response Division, R«g. II
    Directors, Hazardous waste Management Division, Reg.  Ill, VI
    Director, Toxics and Waste Management Division, Reg. IX
    Director, Hazardous waste Division, Reg.  X
    Regional Counsels, Regions I-X
    Superfund Branch Chiefs, Regions I-X
    Superfund Section Chiefs, Regions I-X

cc: Lloyd Guerci, OWPE
    Russel Wyer, HSCD
    Tim Fields, ERD
    Edward Reich, OECM
    Mark Greenwood, OGC
    Nancy Firestone, DOJ

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                            ATTACHMENT


 Documents  for  Removal  Actions*

 -  QA/QC'd~raw  data**
 -  Removal  preliminary  assessment
 -  Site  investigation report
 -  Any ottfsr  factual data  relating to  reasons why we  selected  a
   particular removal action at  the site
 -  Chain of custody forms**
 -  Engineering  evaluations
 -  Cost  analysis documents
 -  Final data summary sheets of  technical models used  to evaluate
   the site
 -  Action Memorandum
 -  ATSDR health assessment (draft versions not included)
 -  Memoranda on major site specific policy and legal  interpretations
   (e.g./ off-site disposal availability, compliance with other
   environmental statutes, special coordination needs, e.g., dioxin,
   provisions for State assumption of post-removal site control)
 -  Information  from telephone logs relied on in selecting response
 -  New technical information presented by PRPs during negotiations
 -  Guidance documents and technical sources ***
 -  Community Relations Plan
 -  Public comments, if any
 -  Responses to significant comments
 - Copies of any notices, including notices to PRPs, States, Natural
   Resources Trustees,  notices of availability of information
 -  Documentation of meetings during which the public and PRPs present
   information upon which the agency bases its decision on select!
   of a removal action (may be after-the-fact restatement of issues r,
 -  Administrative Orders
 -  Consent decree(s),  comments and responses to comments on the
   consent decree
 -  Affidavits or other sworn statements of expert witnesses
 -  Amendments to Action Memorandum,  including ceiling increase Action
   Memoranda, and Action Memoranda on  technical changes; information
  which caused the agency to change  the decision,  comments, and
   responses to comments
*  Drafts and internal memoranda are not included in the record
unless they contain information used to base the decision
which the final document does not contain, or the decision-
maker chooses to base the decision on a draft document.

** QA/QC'd raw data (e.g. ,  results of QC runs, chromatograms,
mass spectra) and chain of  custody forms are part of the record and
available to the public, but need not be in the same physical
location as the record in the Regional office or in the information
repository at or near the site.

***  Guidance documents and technical sources may be kept in a
central compendium by the docket clerk.  They need not be in
each site-specific record.   The  index to the record should
reference titles of relevant guidance documents and technical
sources.

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                              -a-
- Document at ben-of opportunity  for  consultation with  the State
  on the scope of the removal action;  comments from State,  if any
  and responses to substantive  comments
- Index o£ documents in the record

(Expedited Response Actions should  be  treated like removals  for
purposes of compiling an administrative record; for purposes of
the administrative record, RI/PSs should be treated as a phase
of a remedial action, and not a removal)

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                              -3-
 Documents' for Remedial Actions*

 -  Preliminary assessment report
 -  Site  investigation report
 -  Any refiirant  removal documents (if removal action completed  or
   ongoing  at site)
 -  QA/QC'd  raw data**
 -  Data summary  sheets  (usually part of the FS)
 - Chain of custody forms**
 - OAPP
 -  Initial work  plan and any amendments thereto
 - RI/FS (final  deliverable released for public comment)
 - Any other factual data relating to reasons for selecting the remedi
  action at the site
 - Memoranda on  site-specific major policy and legal interpretations
  e.g.,  off-site disposal availability
  Infor
- Information from telephone logs relied on in selecting response
- Guidance document* and technical sources ***
- Community Relations Plan
- Proposed plan and brief analysis of plan
- Feasibnity Study (final deliverable released for public comment}
- Endangerment Assessment or other public health assessment    -
- ATSDR Health Assessment (draft versions not included)
- Copies of any notices, including notices to PRPs, States, Natural
  Resources Trustees, notices of availability of information
- Public comments (including a late comments section)
- Documentation of meetings during which the public and PRPs prese»
  information upon which the agency bases its decision on selection
  of a remedial action (may be after-the-fact restatement of issues
  raised)
- New technical information presented by PRPs during negotiations
- Documents relating to State involvement (e.g., ARAR determinations,
  opportunity to comment on screening of alternatives, FS, proposed
  plan, selected remedy)
- Responses to substantive comments
- Transcript of required public meeting(s) on the proposed plan
*  Drafts and internal memoranda are not included in the
record unless they contain information used to base the decision
which the final document does not contain,  or the decision-
maker chooses to base the decision on a draft document.

**  QA/QC'd raw data (e.g., results of QC runs, chromatograms,
mass spectra) and chain of custody forms are part of the record
and available to the public,  but need not be in the same
physical location as the record in the Regional office or in the
information repository at or  near the site.

***  Guidance documents and technical sources may be kept in a
central compendium by the docket clerk.  They need not be in each
site-specific record.  The index to the record should reference
titles of relevant guidance documents and technical sources.

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                         o£-b*r«~rs- and ourpose of selected
action; summary of alternatives considered; an explanation of
why the Agency chose  the preferred alternative: explanation
of any statutory preferences under 512Kb) not met; Explanation
of significant differences between the Proposed Plan and ROD
Amendments to the ROD, information which caused the Agency to
change its decision, comments and responses to those comments
Relevant documents generated during a RCRA corrective action
proceeding at the site, if applicable
Administrative Orders
Consent decree(s), comments and responses to comments
Affidavits or other sworn statements of expert witnesses
Interagency agreement (for federal facilities)
Index to documents in record

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