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
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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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- 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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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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