UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, O.C. 20460
DEC -3 1990
OFROCOF
•OLD WUfTE AM) BCNOEMC
OSWER Directive * 9833.3A-1
TPMOP \NDUM
SUBJECT: Final Guidance on Administrative Records for Selecting
CERCLA Response Actions
FROM: Don R.
Assistant AdmTnis
TO: Regional Administrators, Regions I-X
This aenorandum transmits to you our "Final Guidance on
Administrative Records for Selecting CERCLA Response Actions."
This document replaces the "Interim Guidance on Administrative
Records for Selection of CERCLA Response Actions," previously
issued on March 1, 1989.
The guidance sets forth the policy and procedures governing
the compilation and establishment of administrative records for
selecting response actions under the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (CERCLA) , as
amended by the Superfund Amendments and Reauthorization Act of
1986 (SARA) . This guidance is also consistent with and expands
on Subpart I of the National Oil and Hazardous Substances
Pollution Contingency Plan, 55 Fed. Reg. 8859 (March 8, 1990).
This guidance reflects input received from the Regions,
Headquarters and the Department of Justice. There have been
several drafts of this guidance and comments have been
incorporated. I thank you for your assistance.
Attachment
cc: Director, Waste Management Division,
Regions I, IV, V, and VII
Director, Emergency and Remedial Response Division,
Region II
Director, Hazardous Waste Management Division,
Regions III, VI, VIII, and IX
Director, Hazardous Waste Division, Region X
Director, Environmental Services Division,
Regions I, VI, and VII
Regional Counsel, Regions I-X
Administrative Record Coordinators, Regions I-X
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OSWER Directive No. 9833.3A-1
FINAL GUIDANCE ON ADMINISTRATIVE RECORDS
FOR
SELECTING CERCLA RESPONSE ACTIONS
U.S. Environmental Protection Agency
Office of Solid Waste and Emergency Response
Washington, D.C. 20460
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TABLE OF CONTENTS
I. INTRODUCTION 1
A. Purpose and Scope of the Administrative Record ... l
B. Judicial Review 3
C. Public Participation 4
II. PROCEDURES FOR ESTABLISHING THE ADMINISTRATIVE RECORD . . 4
A. Administrative Record coordinator .... 4
B. Multiple Response Actions 6
C. Compilation 6
D. Index 7
E. Location 8
1. General 8
2. Special Documents 9
F. Public Availability 12
1. General 12
2. Remedial Actions . 13
3. Removal Action 14
G. Maintaining the Record 17
H. Confidential File 19
I. Copying 20
J. Micrographics 21
K. Certification ..... 22
III.CONTENTS OF THE ADMINISTRATIVE RECORD .......... 22
A. Remedial Actions 22
B. Removal Actions 26
C. Imminent and Substantial Endangerment 29
D. Public Comments 30
E. Enforcement Actions 31
1. Negotiation Documents 31
2. PRP-Lead RI/FS 32
3. Administrative Orders and Consent Decrees ... 32
F. Excluded Documents 33
G. Draft Documents and Internal Memoranda 33
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H. . Privileged Documents 34
I. Guidance Documents 37
J. Technical Literature . 38
K. Legal Sources 39
L. NPL Rulemaking Docket Information 39
M. RCRA Documents 39
N. Post-Decision Information 40
IV. INVOLVEMENT OF OTHER PARTIES 42
A. States 42
1. State Involvement in Federal-Lead Sites .... 42
2. Federal Involvement in State-Lead Sites .... 43
B. Federal Facilities 44
C. ATSDR . . . . 45
D. Natural Resources Trustees ..45
V. DISCLAIMER 46
VI. FURTHER INFORMATION 46
GLOSSARY 47
APPENDICES
Appendix-A. Sections 113(j)-(k) of CERCLA 50
Appendix B. Model File Structure 52
Appendix C. Model Index 56
Appendix D. Model Position Description for Administrative
Record Coordinator .... 57
Appendix E. Compendium of Response Selection Guidance ... 59
Appendix F. Model Transmittal Cover Letter 85
Appendix G. Model Document Transmittal Acknowledgement . .86
Appendix H. Model Fact Sheet 87
Appendix I. Model Notice of Public Availability 88
Appendix J. Microform Approval Memorandum 89
Appendix K. Model Certification . 90
Appendix L. Preamble to Subpart I of NCP 91
Appendix M. Subpart I of the NCP 101
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OSWER Directive No. 9833.3A-1
I. INTRODUCTION
A. Purpose and Scope of the Administrative Record
This guidance addresses the establishment of administrative
records under Section 113 of the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended by the Superfund Amendments and Reauthorization Act of
1986 (SARA). Section 113(k)(l) of CERCLA requires the
establishment of administrative records upon which the President
shall base the selection of a response action (see Appendix A for
the complete statutory language).
Chapter I of this guidance introduces the purpose and scope
of the administrative record. Chapter II reviews procedures for
compiling and maintaining the administrative record. Chapter III
examines the various types of documents which should be included
in the administrative record. Chapter IV discusses how agencies
outside EPA are involved in establishing the record. Finally,
this guidance includes a glossary of frequently used terms and
acronyms as well as several appendices.
Although this guidance is written for use by the United
States Environmental Protection Agency (EPA), it can be adapted
for use by state and federal agencies required to establish
administrative records for the selection of CERCLA response
actions. As used in this guidance the term "lead agency" means
either EPA, a state or other federal agency, which is responsible
for compiling and maintaining the administrative record. As used
in this guidance, the term "support agency" Beans the agency or
agencies which furnish necessary data to the lead agency, reviews
response data and documents and provides other assistance as
requested by the OSC or RPM. This guidance reflects the
revisions to the National Oil and Hazardous Substances Pollution
Contingency Plan (NCP) published on March 8, 1990, 55 Fed. Reg.
8859 (see Appendices L and M).
The administrative record established under Section 113(k)
of CERCLA serves two primary purposes. First, the record
contains those documents which form the basis for selection of a
response action and under Section 113(j), judicial review of any
issue concerning the adequacy of any response action is limited
to the record. Second, Section 113(k) requires that the
administrative record act as a vehicle for public participation
42 U.S.C. 19613. References made to CERCLA throughout
this memorandum should be interpreted as meaning "CERCLA, as
amended by SARA."
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OSWER Directive No. 9833.3A-1
in selecting a response action. This guidance document discusses
procedures developed to ensure that the lead agency's
administrative records meet these twin purposes.
The administrative record is the body of documents that
"forms the basis" for the selection of a particular response at a
site. This does not mean that documents which only support a
response decision are placed in the administrative record.
Documents which are included are relevant documents that were
relied upon in selecting the response action, as well as relevant
documents that were considered but ultimately rejected (e.g.,
documents "considered or relied on").
This document uses the phrase "considered or relied on1* in
discussing which documents should be included in the
administrative record to indicate that it is IPA's general policy
to be inclusive for placing documents in the administrative
record. However, this term does aftfc mean that drafts or internal
documents are normally included in the administrative record.
Lead or support agency draft or internal memoranda are generally
not included in the administrative record, except in specific
circumstances (see section XXX.Q. at page 33). Thus, the record
will include final documents generated by the lead and support
agency, as well as technical and site-specifio information.
Information or comments submitted by the public or potentially
responsible parties (VRPs) during a public oomment period (even
if the lead agency does not agree with the information or
comments) are also included in the administrative record (see
section XXX.D. at page 30).
The following principles should be applied in establishing
administrative records:
o The record should be compiled as documents relating to the
selection 6f the response action are generated or received
by the lead agency;
o The record should include documents that form the basis for
the decision, whether or not they support the response
selection; and
o The record should be a contemporaneous explanation of the
basis for the selection of a response action.
The effort to establish adequate administrative records
encompasses a vast array of people including: Administraive
Record Coordinators, Remedial Project Managers (RPMs), On-Scene
Coordinators (OSCs), enforcement staff, records management staff,
Regional Counsel staff, Community Relations Coordinators (CRCs),
other federal agencies, states, CERCLA contractors, and the
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OSWER Directive No. 9833.3A-1
public.2 This guidance will diocuos tho rolos and
responsibilities of these people and how they interact with one
another.
B. Judicial Review
Section 113(j)(l) of CERCLA providoo that judicial review of
any iooues concerning the adequacy of any rooponoo action shall
bo limited to the adminiotrativo rocord.
Judicial roviow baood on an administrative record provides
numerous bonofito. Under Section 113(j) of CERCL& and general
principloo of adminiotrativo law, when tho trial court reviews
the response action ccloctod, the court io linitod to reviewing
the documents in tho adminiotrativo record. Ac a rooult, facts
or arguments related to tho rocponso action that challenging
parties present for tho firot time in court will not be
considered.
Record review saves time by limiting tho ocopo of trials,
thereby caving the load agency'o rocourcoc for cleanup rather
than litigation. Courto will not allow a party challenging a
decision to uoe diocovery, hearings, or additional fact finding
to look beyond tho load agency'o adminiotrativo record, except in
very limited circumstances. In particular, courto generally will
not permit peroonc challenging a rooponoe docioion to dopose,
examine, or croco-oxamino EPA, otato or other federal agoncy
decisionmakerc, otaff, or contractors concerning tho oolection of
the response action.
Furthermore, the adminiotrativo rocord nay bo cited long
after officials responsible for tho response docicions have moved
into different pooitiono or havo loft tho load or cupport agoncy.
Judicial review limited to tho rocord oavos time involved in
locating former omployooo who nay not romombor tho facto and
circumstances underlying docioiono made at a ouch earlier time.
Moreover, in ruling on challenges to tho rooponoo action
docicion, tho court will apply tho highly deferential "arbitrary
and capricious" otandard of roviow oat forth in Section 113(j)(2)
of CERCLA. Under thio otandard, a court dooo not oubotitute its
judgment for that of tho docioionmakor. Tho roviowing court does
not act ao an independent docioionmakor, but rather acto ao a
reviewing body whooo limited taok io to chock for arbitrary and
capriciouo action. Thuc, tho court will only overturn tho
rooponso ooloction docioion if it can bo ohown on tho
2 As used hereinafter in thio guidance tho torm "public"
includes potentially rooponciblo parties (PRPo).
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OSWER Directive No. 9833.3A-1
administrative record, that the decision was arbitrary and
capricious or otherwise not in accordance with the law. However,
the extent to which EPA benefits from having judicial review
limited to the record depends on the quality and completeness of
each record.
C. Public ticipation
Section 113 (k) (2) of CERCIA requires that the public have
the opportunity to participate in developing the administrative
record for response selection. Section 117 of CERCIA also
includes provisions for public participation in the remedial
action selection process. Both sections reflect a statutory
emphasis on public participation. Participation by interested
persons will ensure that the lead agency has considered the
concerns of the public, including PRPs, during the response
selection process. In addition, for purposes of administrative
and judicial review, the record will contain documents that
reflect the participation of the public and the lead agency's
consideration of the public's concerns.
If the lead agency does not provide an opportunity for
involvement of interested parties in the development of the
administrative record, persons challenging a response action may
argue that judicial review should not be limited to the record.
The lead agency must, therefore, make the information considered
or relied on in selecting a response action available to the
public, provide an appropriate opportunity for public comment on
this information, place comments and information received from
the public in the record, and reflect in the record the lead
agency's consideration of this information.
II. PROCEDURES FOR ESTABLISHING THE ADMINISTRATIVE RECORD
A. Administrative Record Coordinator
Each region should have an Administrative Record
Coordinator. The Record Coordinator generally has the duty of
ensuring that the administrative record files are compiled and
maintained according to Subpart I of the NCP and this guidance.
5 42 U.S.C. 19617.
4 The "administrative record file" should be distinguished
from the "administrative record." The administrative record file
refers to the documents as they are being compiled. Until a
response action decision has been 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
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OSWER Directive No. 9833.3A-1
The Record Coordinator will not be responsible for deciding which
documents are included in a record file. Those decisions should
be made by the OSC or RPM, with appropriate consultation of ORC
staff. The Record Coordinator's duties ordinarily include:
o Developing procedures for creating record files;
o Ensuring that the public is notified that the record files
are available for inspection;
o Ensuring that the records are available at or near the site;
o Ensuring that the records are available at the regional
office or other central location;
o Coordinating efforts to obtain the necessary documents;
o Indexing the record files;
o Updating the record files and indices on a regular basis
(e.g., quarterly);
o Ensuring availability of the record file for copying;
o Ensuring that sampling and testing data, quality control and
quality assurance documentation/ and chain of custody forms
are available for public inspection, possibly at a location
other than that of the record files;
o Coordinating with ORC staff on questions of relevance and
confidentiality of documents submitted for the record files;
o Arranging for production and presentation of the record to
court when necessary for judicial review;
o Maintaining the confidential portion of the record files, if
necessary;
o Maintaining the "Compendium of CERCIA Response Selection
Guidance Documents";
o Coordinating with states and federal agencies on record
files compiled by them; and
the final selection decision, the set of documents is referred to
as the administrative record file rather than the administrative
record.
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OSWER Directive No. 9833.3A-1
o Notifying appropriate personnel of the timing for review of
state and federal record files.
Appendix D contains a model position description for an
Administrative Record Coordinator.
The Record Coordinator must work closely with RPMs, OSCs,
enforcement staff, records management staff. Regional Counsel
staff, community relations staff, and the Department of Justice
(DOJ) (for cases in litigation).
If the way the record was compiled and maintained is
questioned in litigation, the Record Coordinator may be called
upon to prepare an affidavit or testify about those procedures.
Therefore, the Record Coordinator should be familiar with the
procedures associated with the record, and be qualified to
fulfill the responsibilities outlined above.
B. Multiple Response Actions
In general, every decision document (e.g., Record of
Decision (ROD) or Action Memorandum) must be supported by an
administrative record. Under CERCLA, cleanups are often broken
up into distinct response actions. At a given site this may
include several removal actions, and/or remedial actions known as
operable units. For every removal action or operable unit, a
separate administrative record must be compiled.
Information relevant to more than one response decision,
such as a site inspection report or a preliminary assessment
report may be placed in the record file for an initial response
action and incorporated by reference in the indexes of subsequent
record files for that site.
C. Compilation
The administrative record file should be compiled as
relevant documents on the response action are generated or
received. Thus, all documents which are clearly relevant and
non-privileged should be placed in the record file, entered into
the index, and made available to the public as soon as possible.
For example, the remedial investigation/feasibility study (RI/FS)
work plan, summaries of quality assured data, the RI/FS released
for public comment, the proposed plan, and any public comments
received on the RI/FS and proposed plan should be placed in the
record file as soon as they are generated or received.
When there are questions whether particular documents should
be included in the record file, such documents can be segregated
and reviewed at regular intervals (e.g., quarterly). For
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OSWER Directive No. 9833.3A-1
example, draft documents or documents subject to claims of
privilege should be set aside for review by ORC and other
appropriate staff. At critical times, such as prior to the
public comment period, the issues regarding these documents
should be completely resolved and the documents included in the
record file, if appropriate.
The record file should be updated while it is available for
public inspection. The additional documents should be placed in
the record file and entered in the index. Any updates to the
record file should be made to all copies of the record file.
All documents considered or relied on in selecting the
response action should be in the record file when a decision
document (e.g., a record of decision) is signed. Documents
relevant to the response selection but generated or received
after the decision document is signed should be placed in a post-
decision document file and may be added to the administrative
record file in certain circumstances (see section ZZZ.N. at page
40).
D. Index
Each administrative record file must be indexed. The index
plays a key role in enabling both lead agency staff and members
of the public to help locate and retrieve documents included in
the record file. In addition, the index can be used for public
information purposes or identifying documents located elsewhere,
such as those included in the compendium of guidance documents
(see Appendix E). The index also serves as an overview of the
history of the response action at the site.
The index also provides the lead agency with a degree of
control over documents located at or near the site. The creation
of an index will prevent persons from altering the record simply
by physically adding or removing documents from the record file.
The index should include the following information for each
document:
o Document Number;
o Document Date - date on the document;
o Document Title - one or two line identification. Identify
the actual document, not a transmittal memo or other less
relevant document. Include sufficient information so the
document cannot be confused with another (e.g., the title
"report" may be insufficient);
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OSWER Directive No. 9833.3A-1
o Author - Name and affiliation;
o Recipient - Name and affiliation; and
o Document Location.
The index can be organized either by subject or in
chronological order. If documents are customarily grouped
together, as with sampling data and chain of custody documents,
they may be listed as a group in the index to the administrative
record file. Appendix C contains a model index organized by
subject. Computer databases have been helpful in generating and
updating the index.
The index should be updated when the record file is updated.
It is preferable to update the record file when documents are
received, or at least quarterly. Such updates should coincide
with the periodic updating of the record file and review of
material for which there are questions about relevance or
privilege (see section II.C. at page 6). The index should also
be updated before any public comment period commences. The index
should be labeled "draft index" until all relevant documents are
placed in the record file. When the decision document is signed,
the draft index should be updated and labeled "index."
E. Location
E.I. General
Section 113(K)(1) of CERCLA requires that the administrative
record be available to the public "at or near the facility at
issue."' Duplicates of the record file may be kept at any other
location. A copy of the record file must be located at the
regional office .or other central location. Both copies of the
record file should be available for public inspection at
reasonable times (e.g., 9-4, Monday-Friday). In the case of an
emergency removal, unless requested, the record file needs to be
available for public inspection only at the- central location (see
section II.F.3. at page 14).*
The record file located at or near the site should be placed
in one of the information repositories which may already exist
for community relations purposes. These are typically located in
a library, town hall, or other publicly accessible place. If
there is no existing information repository, or if the repository
5 See 40 C.F.R. {300.805.
6 40 C.F.R. }|300.805(a)(5) and (b).
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OSWER Directive No. 9833.3A-1
does not have sufficient space for the record file, any other
publicly accessible place nay be chosen to house the record
file. When a Superfund site is located at or near an Indian
reservation, the centrally located copy of the record file may be
located at the Indian tribal headquarters. The Community
Relations Coordinator (CRC) should be consulted on the location
of the information repository and record file.
The record file should be transmitted to the local
repository in coordination with the CRC. The CRC should make the
initial contact to establish the local repository and request
housing for the record file. The Record Coordinator should make
arrangements for delivering the record file to the local
repository.
The record file should include an introductory cover letter
addressed to the librarian or repository manager (see Appendix
F). In addition, a transmittal acknowledgement form should be
included to ensure receipt of the record file (see Appendix G).
Finally, an administrative record fact sheet should accompany the
record to answer questions from the public (see Appendix H).
Updates to the record file should be handled in a similar fashion
(see section II.C. at page 6).
In addition to the publicly available record file, if
feasible, a master copy of the record file should be kept at the
regional office or other central location of the lead agency. To
preserve the integrity of the master copy of the record file, it
should not be accessible to the public. If not feasible to
establish a master copy, the lead agency will need to establish
an effective security system for the publicly available record
file. The master copy of the record file may be maintained in
microform to conserve storage space (see section II.J. at page
21).
E.2. Special Documents
Certain documents which are included in the record file do
not have to be maintained at or near the site or, in some cases,
at the regional office or other central location, because of the
nature of the documents and the burden associated with
maintaining such documents in multiple locations. These
documents, however, must be incorporated in the record file by
reference (e.g., in the index but not physically in the record
7 If the site is located at a federal facility which
requires security clearance, the administrative record file for
that site must be located where security clearance is not
required. The public must have free access to the record file.
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OSWER Directive No. 9833.3A-1
file), and the index must indicate where the documents are
publicly accessible. Where a document is listed in the index but
not located at or near the site, the lead agency must, upon
request, include the document in the record file at or near the
site.8 This applies to verified sampling data, chain of custody
forms, and guidance and policy documents. It does not apply to
documents in the confidential file.
Unless requested, the following types of documents do not
have to be located in multiple locations:
Verified Sampling Data9
Verified sampling data do not have to be located in either
administrative record file. The sampling data may be left in its
original storage location (e.g., Environmental Services Division
(ESD) or contract laboratory). Data summary sheets, however,
must be located in the record file. The index Bust list the data
summary sheets, reference the underlying verified sampling data,
and indicate where the sampling data can be found.
Chain of Custody Forms10
As with verified sampling data, chain of custody forms do
not have to be located in either administrative record file. The
chain of custody forms may be left in the original storage
location. The index must reference the chain of custody forms
and indicate their location.
8 40 C.F.R. |300.805(b).
9 40 C.F.R. 1300.805(a)(1). "Verified sampling data" are data
that have undergone the quality assurance and quality control
process. "Invalidated sampling data" have been incorrectly
gathered or analysed and will not be part of the record file.
"Unvalidated sampling data" are data which has not yet undergone
the quality assurance and quality control process. Because it is
superseded by verified data, the ^invalidated data are not generally
part of the record files. However, such data may in some cases be
relied on in selecting a response action, such as an emergency
removal where there is no time for verification. Unvalidated
sampling data which are relied on in selecting a response action
should be included in the record file.
10 40 C.F.R. |300.805(a) (1).
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OSWER Directive -No. 9833.3A-1
Confidential and Privileged Documents11
When a confidential or privileged document is included in
the record file, it should be kept in a confidential portion of
the record file. The confidential file should be kept in a
locked cabinet at the regional office or other central location.
It should not be located at or near the site. The index should
identify the title and location of the document, and describe why
the lead agency considers it confidential or privileged.
Furthermore, the lead agency should summarize or redact the
document to make available, to the extent feasible, factual
information (especially if such information is not found
elsewhere in the record file and is not otherwise available to
the public). This summary or redaction should be performed as
soon as possible after the determination that a document is
privileged or confidential, and inserted in the portion of the
record file available to the public and included in the index.
See also section III.H. at page 34.
Guidance and Policy Documents12
Guidance and policy documents that are not site specific are
available in a compendium located in the regional office.
("Compendium of CERCLA Response Selection Guidance Documents,"
Office of Waste Programs Enforcement, May 1989.) This eliminates
the need for reproducing copies of frequently used documents for
each site record file. The documents in the compendium need not
be physically included in the record file, but the guidance and
policy documents considered or relied on in selecting the
response action must be listed in the record file index along
with their location and availability. See also section III.I. at
page 37 and Appendix E.
Technical Literature19
Publicly available technical literature that was not
generated for the site at issue (e.g., an engineering textbook),
does not have to be located in the regional office or other
central location or at or near the site. The document must be
clearly referenced in the index. However, technical literature
not publicly available must be physically included in the record
file at the regional office or other central location and at or
near the site. See also section ZZZ.J. at page 38.
11 40 C.F.R. |300.805(a)(4).
12 40 C.F.R. |300.805(a)(2).
15 40 C.F.R. |300.805(a) (3) .
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OSWER Directive No. 9833.3A-1
F. Public Availability
F.I. General
Section 113 (Jc) of CERCIA specifies that the administrative
record "shall be available to the public." in satisfying this
provision, the lead agency Bust comply with all relevant public
participation procedures outlined in Sections 113 (Jc) and 117 of
CERCIA. The NCP (see Appendices L and M) contains additional
requirements on public availability (see also "Community
Relations in Superfund: A Handbook," October 1988 - OSWER
Directive No. 9230.0-3A; "Community Relations During Enforcement
Activities," November 3, 1988 - OSWER Directive No. 9836.0-1A).
The availability of the record file will vary depending upon
the nature of the response action. Different procedures are
outlined below for remedial and removal response actions.
In all cases, the lead agency should publish a notice of
availability of the record file when the record file is first
made available for public inspection in the vicinity of the site
at issue. The notice should explain the purpose of the record
file, its location and availability, and how the public may
participate in its development.
The notice should be published in a major local newspaper of
general circulation. The newspaper notices should be distributed
to persons on the community relations mailing list. These
notices should also be sent to all known PRPs if they are not
already included on the community relations mailing list. As
PRPs are discovered, the lead agency should add their names to
the community relations mailing list and mail them all the
notices sent to the other PRPs. Publication of the notice should
be coordinated with the community relations staff. A copy of the
notice of availability and list of recipients should be included
in the record file. Appendix I contains a model notice of
availability.
This public notice may be combined with other notices for
the same site, such as a notice of availability of the community
relations information repository, if they occur at the same time.
In addition to the required newspaper notice, the public can be
informed of the availability of the record file through existing
mechanisms (e.g., general and special notice letters, Section
104(e) information requests, and the community relations mailing
list). In addition, Headquarters will publish notices in the
u See 40 C.F.R. |300.815(a) and if300.820(a)(1) and (b).
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Federal Register. They will be published quarterly and will list
sites where remedial activity is planned.
F.2. Remedial Actions
The administrative record file for a remedial action must be
available for public inspection when the remedial investigation
begins.15 For example, when the remedial investigation/
feasibility study (RI/FS) work plan is approved, the lead agency
must place documents relevant to the selection of the remedy
generated up to that point in the record file. Documents
generally available at that time include the preliminary
assessment (PA), the site investigation (SI), the RI work plan,
inspection reports, sampling data, and the community relations
plan. The lead agency must continue to add documents to the
record file periodically after they are generated or received
during the RI/FS process.
The record file must be publicly available both at a
regional office or other central location and at or near the site
(see section II.E. at page 8). In addition, the notice of
availability should be sent to persons on the community relations
mailing list, including all known PRPs.
with the completion of the RI/FS, the lead agency should
undertake the following public participation procedures:
o Prepare a proposed plan which briefly analyzes the remedial
alternatives evaluated in the detailed analysis of the RI/FS
and proposes a preferred remedial action alternative;
o Make the RI/FS report and proposed plan available in the
record files both at a regional office or other central
location and at or near the site;
o Publish in a major local newspaper of general circulation a
notice of availability and brief analysis of the RI/FS
report and proposed plan. The notice should include the
dates for submission of public comments;
o Mail the notice or copy of the notice to all PRPs on the
community relations mailing list;
o Provide a formal comment period of not less than 30 calendar
days for submission of comments on the proposed plan. Upon
15 40 C.F.R. |300.815(a)
16 40 C.F.R. |300.805(a)
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OSWER Directive No. 9833.3A-1
timely request the lead agency will extend the public
comment period by a minimum of 30 additional days. [Note:
The lead agency is encouraged to consider and respond to
significant comments that were submitted before the public
comment period. Considering early comments provides
practical benefits both substantively and procedurally.
Early comments may provide important information for the
selection decision, and early consideration provides the
public (and, particularly, PRPs) with additional informal
opportunities for participating in the decisionmafcing
process.];
o Provide the opportunity for a public meet ing (s) in the
affected area during the public comment period on the RZ/FS
and proposed plan;
o Keep a transcript of the public meeting (s) on the RI/FS and
proposed plan held during the comment period and include a
copy of the transcript in the record file;
o Prepare a discussion (to accompany or be part of the
decision document) of any significant changes to the
proposed plan which occurred after the proposed plan was
made available for public comment which are reflected in the
ROD;
o Prepare a response to each of the significant comments
submitted during the public comment period to accompany the
ROD (see section XII.D. at page 30); and
o Publish in a major local newspaper of general circulation a
notice of the availability of the ROD and make the ROD
available to the public before beginning any remedial
action, as .required under Section 117(b) of CERCIA.
Comments received after signing the ROD should be placed in
a post-decision document file and may be added to the record file
in certain situations (see section XXI.N. at page 40).
F.3. Removal Actions
Section 113(k)(2)(A) of CERCIA requires that the EPA
establish procedures for the appropriate participation of
interested persons in the development of the administrative
record for the selection of a removal action. "Appropriate"
participation depends on the nature of the removal, as outlined
below.
17 40 C.F.R. |300.430(f) (3) (i) (C).
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OSWER Directive No. 9833.3A-1
Tine-critical Removal Actions
A tine-critical removal action is a removal action for
which, based on the site evaluation, the lead agency determines
that a period of less than six months exists before on-site
renoval activities must be initiated. This category includes
emergency renoval actions which are described in greater detail
below.
The administrative record file for these actions Bust be
available for public inspection no later than 60 days after the
initiation of on-site renoval activity. Where possible, the
record file should be made available earlier. The record file
must be available both at the regional office or other central
location and at or near the site at issue.
If, however, on-site cleanup activity is initiated within
hours of the verification of a release or threat of a release and
on-site cleanup activities cease within 30 days (emergency
actions), the record file need only be available at the regional
office or other central location, unless it is requested that a
copy of the record file be placed at or near the site.18
For all time-critical renovals, a notice of the availability
of the record file nust be published in a najor local newspaper
and a copy of the notice included in the record file. This
notice should be published no later than 60 days after initiation
of on-site renoval activity.
A public comment period of not less than 30 days should be
held in appropriate situations. In general, a public comment
period will be considered appropriate if cleanup activity has not
been completed at the tine the record file is made available to
the public and if public comments night have an impact on future
action at the site. If a public comment period is considered
appropriate, it should begin at the time the record file is made
available for public inspection. Note, however, that even if an
action is completed before the record file is available, the
record file should be made available to the public. The notice
for the public comment period may be combined with the notice of
availability of the record file if they occur at the same time.
The notice should be mailed to all PRPs on the community
10 40 C.F.R. |300.805(b).
19 40 C.F.R. 5300.415(m) (2) (i) .
20 40 C.F.R. |300.415(n) (2) (ii) .
15
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OSWER Directive No. 9833.3A-1
relations nailing list. The notice should also be sent to all
known PRPs if they are not already on the connunity relation*
nailing list.
The lead agency nust respond to all significant connents
received during the public consent period and place the connents
and the responses to then in the record file (see section IZZ.D.
at page 30). Whether or not the lead agency holds a public
comment period, connents received by the lead agency before the
decision document is signed and related to the selection of the
renoval action nust be placed in the record file. For
information, including comments, generated or received after the
decision document is signed, see section ZZZ.N. at page 40.
Non-Tine-Critical Renoval Actions
A non-tine-critical renoval action is a renoval action for
which, based on the site evaluation, the lead agency determines
that a planning period of at least six nonths exists before on-
site renoval activities nust be initiated.
The administrative record file for a non-tine-critical
renoval action nust be nade available for public inspection when
the engineering evaluation/cost analysis (EE/CA) is nade
available for public comment. The record file nust be
available at the regional office or other central location and at
or near the site. A notice of the availability of the record
file nust be published in a najor local newspaper and a copy of
the notice included in the record file. The notice should be
published in a najor local newspaper of general circulation. Zn
addition, Headquarters will publish these notices in the Federal
Register. They will be published quarterly and vill list sites
where non-tine critical renoval activity is planned. The
newspaper notice should be distributed to persons on the
community relations nailing list and placed in the record file.
These notices should also be sent to all known PRPs if they are
not already on the connunity relations Bailing list. As PRPs are
discovered, the lead agency should add their nanes to the
connunity relations nailing list and nail then all the notices
sent to the other PRPs. Publication of the notice should be
coordinated with the conmunity relations staff. A copy of the
notice of availability should be included in the record file.
Appendix Z contains a model notice of availability.
21 40 C.F.R. |300.415(m) (2) (iii).
22 40 C.F.R. |300.415(n) (4).
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OSWER Directive No. 9833.3A-1
A public comment period on the EE/CA of not less than 30
days oust be held so that interested persons Bay submit comments
on the response selection for the record file. Upon timely
notice, the lead agency will extend the public comment period by
a minimum of 15 days. A notice of the public comment period
may be combined with the notice of availability of the record
file if they occur at the same time. The lead agency must
respond to all significant comments received during the public
comment period and place the comments and the responses to them
in the record file (see section ZZI.D. at page 30).
The lead agency is encouraged to consider and respond to
significant comments that were submitted before the public
comment period. Considering early comments provides practical
benefits both substantively and procedurally. Early comments may
provide important information for the selection decision, and
early consideration provides the public (and, particularly, PRPs)
with additional informal opportunities for participating in the
decision making process.
Comments generated or received after the decision document
is signed should be kept in a post-decision document file. They
may be added to the record file in certain situations (see
section ZII.N. at page 40).
G. Maintaining the Record
Document room procedures should be established to ensure
orderly public access to the record files. In establishing
public access procedures, the security and integrity of the
record files must be maintained at all times.
Each regional office or other central location should have a
reading area where visitors are able to review the record files.
The record file must be available during reasonable hours (e.g.,
9-4, Monday-Friday). The public reading area should include,
wherever feasible:
o Administrative record files;
o Guidance Compendium (see section ZZZ.Z. at page 37);
o Access to a copier; and
o Sign-in book.
23 40 C.F.R. |300.415(m)(4)(iii).
24 40 C.F.R. |300.415(m)(4)(iv).
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OSWER Directive No. 9833.3A-1
Controlled access to the files is accomplished by use of a
visitor sign-in book, sign-in books help minimize instances in
which documents are lost or damaged. They also provide
documentation of the lead agency's efforts to provide public
access to the record files. Pertinent information recorded in
the book should include:
o Date of visit;
o Name;
o Affiliation;
o Address;
o Phone number;
o Site documents viewed; and
o Cost of copied materials (if applicable).
The lead agency may choose not to use sign-in books if the
books deter the public from reviewing the record files.
Since documents in the record file should be complete,
properly organized and legible, the integrity of the record file
must be maintained. If possible, storage and reading areas
should be supervised to maintain proper security. Documents
should not leave the document room or be left unattended. To the
extent feasible, the Administrative Record Coordinator should
check the order of the documents after being viewed by the public
to be certain all documents have been returned intact. The
documents in the record file should be kept secure, either in a
locked room or in locked cabinets.
The record file located at or near the site should be
handled with similar care. If possible, the record file should
be treated as a non-circulating reference; it should not leave
the local repository except under supervision. The phone number
of a record file contact should be provided to record file users
and to the manager of the local repository so that problems can
be identified and resolved. This information can be included in
an informational fact sheet accompanying the record file (see
Appendix H). In addition, the Record Coordinator should plan
periodic reviews of the local record files.
Where the site is a fund-lead or PRP-lead, EPA should retain
(in addition to the publicly available record file) a master copy
of the record file at the regional office or other central
18
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OSWER Directive No. 9833.3A-1
location, if feasible. Whore a otato or other federal agency is
the load agency at a oito, EPA ohould eoouro that the otato or
other federal agency maintains (in addition to the publicly
available record file) a naotor copy of the record file. The
record files are permanent rocordo that nuot bo retained.
Ac to the local ropooitory, the otatuto and rogulationo are
oilont concerning the duration of public availability of the
record file. The load agency'o prinary concern iq public
participation in development of the odainiotrativo record.
Following initiation of the rooponoo action, public interest in
background information other than the Record of Docioion or RI/FS
may vane. In any event, the otatutory proviciono for judicial
review and doadlinoo for filing coot recovery actions provide
uceful roforonceo for keeping the record file publicly available.
See Sections 113(g) and (h) of CERCLA.
Whore there io ongoing (or poooiblo) litigation, the record
file in the regional or other central location ohould be
available at loaot until the litigation io over.
The record file continuoo to oorvo ao o historical record of
the rooponoo ooloction, oven after the otatuto of limitations for
cost recovery action has paoood. Whoro there io conoidorable
public interest, the local ropooitory may wioh to koop the record
file available for public viewing.
H. Confidential File
In certain oituationo, documents in the record file may be
subject to an applicable privilege (ooo ooction III.H. at page
34). To the extent feasible, information relevant to the
response ooloction which io contained in a privileged document
ohould bo summarized or redacted ao to nako the docunont
disclosablo and then included in tho publicly occoooiblo portion
of tho record file. Tho privileged docunont nhould bo included
in a confidential portion of tho record file.**
Tho Adniniotrativo Record Coordinator ohould naintain a
confidential portion of tho record file for privileged documents.
Those doounonto ohould bo liotod in tho index to tho entire
record file and identified ao "privileged.0 Tho index ohould
identify tho title and location of tho privileged docunont, and
describe tho baoio for tho aooertod privilege.
The confidential portion of tho record file ohould be otored
in locked filoo at tho regional office or othor central location
25 See 40 C.F.R. 0300.810(d).
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OSWER Directive No. 9833.3A-1
and ohould not bo located at or noar the oito. The confidential
portion of tho record file ohould i;o ooparato fron the publicly
available record file to protect againot inadvertent dioclooura.
Each privileged docunont ohould bo otampod "confidential" at the
bottom of each page of tho docunont. Where tho natorial io not a
written document (ouch ao a computer diok or caoootto tape) the
jacket ohould bo otampod "confidential.0 A complete liot of all
natorialo contained in tho confidential portion of tho record
file ohould bo naintainod by tho Record Coordinator. Tho Record
Coordinator ohould aloo maintain a log which will include the
time, date, document name, and will identify poroono chocking out
and returning natorialo to tho confidential file.
Ao ooon ao a now record file io ootabliohod, a routine
accooo liot for tho confidential file ohould bo prepared for each
record file. When EPA io tho load agency, thio routine access
liot muot be approved by tho Waoto Management Divioion Director
or tho Environmental Servicoo Divioion Director, ond ORC. Once
approval io given, poroono on tho liot will bo able to accooo the
confidential filoo through tho Record Coordinator. No one ohould
have accooo to tho confidential filoo other than thooe identified
on the routine accooo liot. For ctato or other federal agency-
load cites, tho Rogiono ohould take otopo to inouro that otato or
other federal agoncioo develop routine confidential file access
list procedures.
This policy and procedure for privileged materials does not
oupersede any policy and procedures ootabliohod under the Freedom
of Information Act (FOIA), 5 U.S.C. 0552, and EPA regulations
implementing FOZA at 40 C.F.R. Part 2. Upon receipt of requests
for tho adminiotrativo record file purouant to FOIA, if the
roquooter io in clooo proximity to tho record file, tho load
agency may roopond to FOIA roquooto by tolling a roquootor tho
location and availability of tho record file. Docioiono
regarding diocloouroo of natorialo under FOIA ohould bo
coordinated among tho variouo load agency officialo with accoos
to ouch natorialo.
I. Copying
Section 117(d) of CERCLA roquiroo that each docunont
developed, received, publiohod, or node available to tho public
under Section 117 bo nado available for public inopoction and
copying at or near tho oito. Under Section 113(k)(2)(B) of
CERCLA, thooo docunento nuot aloo bo included in tho
adminiotrativo record file. Under thooo provioiono of CERCLA,
tho load agency muot onouro that docunonto in tho record file are
available for copying, but doeo not bear rooponoibility for
copying the documents themselves. Therefore, it io preferable
20
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OSWER Directive No. 9833.3A-1
that tho rocord filo chould be located in a facility which
contains a copying machine (e.g., a public library).
When tho adminiotrativo rocord filo io available at a
facility at or near tho oito and copying facilitioo are available
there, the load agency may oncourago tho roquocter to make use of
the copying facilitioo at that location. If copying of tho
rocord filo located at or near tho oito io difficult for a
roqueoting party, the load agency nay arrange for copying on
bohalf of a roquoctor at tho regional or other central location.
Tho load agency Bay aok that requestors arrange for copying by
contractors or commercial copy contoro who then bj.ll the
requester directly.
The load agency ohould follow the FOIA regulations at 40
C.F.R. Part 2, in determining tho appropriate charge for copying.
Copying foeo ohould bo waived for other federal agencies, EPA
contractors or grantees, and members of Congrooo. The EPA
currently chargoo $.20 a page for paper copioo ao provided in 40
C.F.R. Part 2. Reproduction of photographs, nicrofiloo or
magnetic tapes, and computer printouto ohould bo charged at tho
actual cost to the load agency.
J. Micrographics
The lead agency may make the adminiotrativo rocord file
available to tho public in microform. Uoo of micrographics can
significantly reduce tho apace required to otoro adminiotrative
rocord files. In addition, nicrographico can simplify tho tasks
of reproducing copioo of tho rocord filo and tranoBiocion of the
rocord filoo to tho local ropooitorioo. Any uoo of nicrographics
ohould bo conducted in an orderly nannor conoiotont with records
management procoduroo. If uoing micrographics to naintain the
record filoo, tho load agency oust provide a nicrogrephic reader
at tho regional office or other contral location to onouro public
access to tho rocord file. If a rocord filo io located at or
near tho oito and micrographics are used, tho load agency nuot
onouro that a nicrographic reader at that location io available,
Microform copioo of original documents are admiooablo in
court if created in an organized faohion. The Business Records
ao Evidence Act (28 U.S.C. 01732) specifies that copioo of
rocordo, which aro node °in tho regular course of business" and
copied by any process which accurately roproducoo tho original,
aro "as admissible in ovidonce ao tho original itoolf.0 800 also
Federal Ruloo of Evidence 1003. Since tho HCP providoo for uoo
of microform, microform copies of adminiotrativo rocord documents
26 See 40 C.F.R. fi300.805(c).
21
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OSWER Directive No. 9833.3A-1
that are produced in the regular course of business are likely to
be admissible in courx.
The Office of Information Resources Management (OIRM) has
granted approval for the use of micrographics in establishing
administrative records (see Appendix J). Any use of
micrographics should still comply with the remaining provisions
of Chapter 6 of the EPA Records Management Manual (7/13/84).
K. Certification
A certification as to the completeness of the administrative
record must be performed when the record is filed in court.
Appendix K contains a model court certification.
When EPA is the lead agency such certification should be
signed by the Regional Administrator's designee, after
consultation with ORC. Any certification of the record should be
made by program staff and not legal staff. The region may also
choose to have the Administrative Record Coordinator certify that
the record was compiled and maintained in accordance with
applicable agency regulations and guidance. Such certification
would attest that the record was compiled in accordance with
current agency procedures and would not address the completeness
of the record file.
If a state or other federal agency is the lead agency that
agency must certify that the record was compiled and maintained
in accordance with applicable EPA regulations and guidance.
After the state or federal agency provides this certification,
the Regional Administrator's designee should certify as to the
completeness of the record, as provided in Appendix K.
ZZZ. CONTENTS Of THE ADMINISTRATIVE RECORD
A. Remedial Actions
The administrative record for selection of a remedial action
should consist of:
o documents which were considered or relied on to select the
remedial action; and
o documents which demonstrate the public's opportunity to
participate in and comment on the selection of the remedial
action.17
27 See 40 C.F.R. 11300.810 and 300.815.
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OSWER Directive No. 9833.3A-1
Below is a list of documents that are usually generated when
a remedial response action is selected. These documents should
be included in the administrative record file if they are
generated and considered or relied on in selecting the remedial
response action. Documents that demonstrate the public's
opportunity to participate in and comment on selecting the
remedial response action should also be included in the record
file. Documents not listed below, but meeting the above
criteria, should be included.
Factual Information/Data
o Preliminary Assessment (PA) report;
o Site Investigation (SI) report;
o Remedial Investigation/Feasibility Study (RI/FS) work plan;
o Amendments to the final work plan;
o Sampling and Analysis Plan (SAP): consisting of a quality
assurance project plan (QAPP) and a field sampling plan;
o Sampling data: verified data during the RI/FS, or any data
collected for previous actions such as RCRA or removal
actions which are considered or relied on in selecting the
remedial action. Unvalidated data should be included only
if relied on in the absence of validated data (see note 9 at
page 10);
o Chain of custody forms;
o Inspection reports;
o Data summary sheets;
o Technical studies performed for the site (e.g., a ground-
water study);
o Risk evaluation/endangerment assessment and underlying
documentation (see section III.C. at page 29);
o Fact sheet or summary information regarding remedial action
alternatives generated if special notice letters ere issued
to PRPs at an early stage of the RZ/F8 (see "Interim
Guidance on Notice Letters, Negotiations, end Information
Exchange," October 19, 1987 - OSWER Directive No. 9834.1);
o RI/FS (as available for public comment and as final, if
different); and
23
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OSWER Directive No. 9833.3A-1
o Data oubmittod by the public, including PRPo.
Policy and Guidance
o Memoranda on oito-opocific or ioouo-opocific policy
docioions. Examploc include nomoranda on off-oito diopooal
availability, opocial coordination noodo (0.9., dioxin),
applicable or relevant and appropriate requirements (ARARs)
(to the extent not in the RI/?S), coot effectiveness and
utilization of permanent oolutiono and alternative treatment
technologies;
o Guidance documents (oee oection III.I. at page 37); and
o Technical literature (see oection XXX.J. at page 38).
Public Participation (Include the documontc that ohov the public
was notified.of cite activity and had an opportunity to
participate in and comment on the ooloction of rooponoe action)
o Community rolationo plan;
o Newspaper articles ohowing general community awareness;
o Propoced plan;
o Documents oent to poroono on the community relations mailing
list and aooociated date when ouch document wao oont;
o Public notices: any public noticoo concerning response
action ooloction ouch ao noticoo of availability of
information, noticoo of mootings and noticoo of
opportunitioo to comment;
o The community rolationo mailing liot (including all known
PRPo);M
o Docunontation of informal public nootingc: information
generated or received during nootingo with the public and
20 Individual nanoo and addrooooo of nonboro of the general
public which are on the community rolationo nailing liot ohould
not bo included in the public record filo. Diocloouro of ouch
information nay rooult in a Privacy Act violation (ooo aloo ooction
III.H. at page 34) or inhibit the general public from requesting
information about the oito. The load agency ohould then place
individual names and addroooes in the confidential portion of the
record file.
24
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OSWER Directive No. 9833.3A-1
memoranda or notes oummarizing significant information
oubmittod during ouch moetingo;
o Public comments: complete text of all written comments
oubmitted (oee also ooction III.D. at page 30);
o Transcripts of formal public nootingo: including nootings
hold during tho public comment period on the RI/FS, proposed
plan, and any waiver of ARARs under Section I2l(d)(4) of
CERCLA;
o Responses to significant comments: rooponooo to significant
comments received from tho public concerning tho selection
of a remedial action; and
o Responses to comments from tho otato and other federal
agencies.
Enforcement Documents (Include if tho docuaont contains
information that was considered or relied on in selecting the
response selection or shows that tho public had an opportunity to
participate in and comment on tho selection of response action.
Do not include enforcement documents solely pertaining to
liability)
o Administrative orders;
o Consent decrees;
o Affidavits containing relevant factual information not
contained elsewhere in tho record file;
o Notice letters to PRPs;
o Responses to notice letters;
o Section 104(o) information request letters and Section
122(o) subpoenas; and
o Rooponooo to Section 104(o) information request letters and
Section 122(o) subpoenas.
Other Infornation
o Index (see ooction II.D. at page 7);
o Documentation of otato involvement: docuBontation of the
request and response on ARARs, Section 121(f)(l)(C) notices
and responses, a statement of the state's position on the
proposed plan (concurrence, nonconcurronco, or no comment at
25
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OSWER Directive No. 9833.3A-1
the time of publication), opportunity to concur in the
•elected remedy and be a party to a settlement (see section
IV.A. at page 42);
o health assessments, health studies, and public health
advisories issued by the Agency for Toxic Substances and
Disease Registry (ATSDR)(see section IV.C. at page 45) ; and
o Natural Resource Trustee notices and responses, findings of
fact, final reports and natural resource damage assessments
(see section IV.D. at page 45)
Decision Documents
o Record of decision (ROD): remedial action decision document
(including responsiveness summary);
o Explanations of significant differences (under Section
117(c)) and underlying information; and
o Amended ROD and underlying information.
The administrative record serves as an overview of the
history of the site and should be understandable to the reader.
Appendix B provides a model file structure for organizing the
record file. Appendix C contains a model index.
B. Removal Actions
The administrative record for selection of a removal action
should consist of:
o documents which were considered or relied on to select the
removal action; and
o documents which demonstrate the public's opportunity to
participate in and comment on the selection of the removal
action, when appropriate.
Below is a list of documents that are usually generated when
a removal response action is selected. These documents should be
included in the administrative record file if they are generated
and considered or relied on when selecting the removal action.
Documents that demonstrate the public's opportunity to
participate in and comment on the removal response action should
also be included in the record file. Documents not listed below,
but meeting the above criteria, should be included.
29 See 40 C.F.R. 11300.810 and 300.820.
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OSWER Directive NO. 9833.3A-1
Factual Information/Data
o Preliminary assessment (PA) report;
o Site evaluation (SI) report;
o EE/CA (for a non-time-critical reaoval action);
o Sampling plan;
o Sampling data: verified data obtained for the removal
action, or any data collected for previous actions such as
RCRA or other response actions which are considered or
relied on in selecting the removal action. Unvalidated data
should be included only if relied on in the absence of
validated data (see note 9 at page 10);
o Chain of custody forms;
o Inspection reports;
o Technical studies performed for the site (e.g., a ground
water study);
o Risk evaluation/endangerment assessment and underlying
documentation; and
o. Data submitted by the public, including PRPs.
Policy and Guidance
o Memoranda on site-specific or issue-specific policy
decisions. Examples include memoranda on off-site disposal
availability, compliance with other environmental statutes,
special coordination needs (e.g., dioxin);
o Guidance documents (see section ZZZ.Z. at page 37); and
o Technical literature (see section ZZZ.J. at page 38).
Public Participation (Znclude the documents that show the public
was notified of site activity and had an opportunity to
participate in the response selection.)
o Community relation* plan;
o Newspaper articles showing general community awareness;
o Documents sent to persons on the community relations mailing
list and associated date when such documents was sent;
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OSWER Directive No. 9833.3A-1
o Public notices": any public notices concerning response
action selection such as notices of availability of
information, notices of meetings, and notices of
opportunities to comment;
o The community relations mailing list (including all known
PRPs);M
o Documentation of public meetings: information generated or
submitted during meetings with the public (including PRPs)
and memoranda or notes summarizing significant information
submitted during such meetings;
o Public comments: complete text of all written comments
submitted (see section IZZ.D. at page 30);
o Responses to significant comments: responses to significant
comments received from the public concerning the selection
of a removal action; and
o Responses to comments from states and other federal
agencies.
Enforcement Documents (Include if the document contains
information that was considered or relied on in selecting the
response selection or shows that the public had an opportunity to
participate in and comment on the selection of response action.
Do not include enforcement documents solely pertaining to
liability)
o Administrative orders;
o Consent decrees;
o Affidavits containing relevant factual information not
contained elsewhere in the record file;
o Notice letters to PRPs;
30 Individual names and addresses of •embers of the general
public which are on the community relations mailing list should
not be included in the public record file. Disclosure of such
information may result in a Privacy Act violation (see also section
III.H. at page 34) or inhibit the general public from requesting
information about the site. The lead agency should then place
individual names and addresses in the confidential portion of the
record file.
28
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OSWER Directive No. 9833.3A-1
o Responses to notice letters;
o Section 104(e) information request letters and Section
122(e) subpoenas; and
o Responses to Section 104(e) information request letters and
Section 122(e) subpoenas.
Other Information
o Index (see section II.D. at page 7);
o Documentation of state involvement (see section IV.A. at
page 42);
o ATSDR health assessments, health studies, and public health
advisories (see section IV.C. at page 45); and
o Natural Resource Trustee notices and responses, findings of
fact, final reports and natural resource damage assessments
(see IV.D. at page 45).
Decision Documents
o EE/CA Approval Memorandum;
o Action Memorandum;
o Amended Action Memorandum; and
o Other documents which embody the decision for selection of a
removal action.
The administrative record serves as an overview of the
history of the site and should be understandable to the reader.
Appendix B provides a model file structure for organizing the
record file. Appendix C contains a model index.
C. Imminent and Substantial Endangerment
Under Section 106 of CERCLA, the EPA may find the existence
of an imminent and substantial endangerment to the public health
or welfare or the environment because of an actual or threatened
release of a hazardous substance.
Determining the existence of an imminent and substantial
endangerment is an important component in selecting the response
action. Therefore, all documents considered or relied on in
making that determination, including any risk assessment, and its
supporting documentation, must be included in the administrative
29
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OSWER Directive No. 9833.3A-1
record file.31 If there is proper documentation of the
determination of an imminent and substantial endangerment in the
record file, judicial review of that determination in an action
under Section 106 of CERCLA should be limited to the
administrative record.
O. Public Comments
The administrative record file should document the public's
opportunity to be involved in selecting a response action. This
can be accomplished by including in the record file all documents
related to the opportunity to participate (e.g., notices and fact
sheets), and relevant written comments and information submitted
by the public (e.g., reports and data).
Public requests for information (e.g., Freedom of
Information Act (FOIA) requests for copies of reports), need not
be included in the record file.
The lead agency should request that substantive oral
comments (either in person or over the phone) be put in writing
by the commenter and submitted to the record file. The commenter
should be advised that the obligation to reduce the comment to
writing rests with the commenter. The lead agency, however, may
reduce it to writing where the lead agency will want to rely on
the comment.
The lead agency may respond to comments received prior to a
public comment period in various ways, depending on the nature
and relevance of a particular comment. The lead agency's
consideration of such a comment may be in the form of a written
response, or reflected by documented actions taken after
receiving the comment, or even by changes in subsequent versions
of documents. Zf the lead agency prepares a written response to
a comment, the comment and response should be included in the
record file.
The lead agency may notify commenters that comments
submitted prior to a formal public comment period must be
resubmitted or specifically identified during the public comment
period in order to receive formal response by the lead agency.
Alternatively, the lead agency may notify a commenter that the
lead agency will respond to the comment in a responsiveness
summary prepared at a later date. The lead agency, however, has
3 See "Guidance on Preparing Superfund Decision Documents:
The Proposed Plan, The Record of Decision, Explanation of
Significant Differences, ROD Amendment," OSWER Directive No.
9355.3-02, June 1989.
30
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OSWER Diroctivo No. 9833.3A-1
no duty to roopond to any commento rocoivod boforo the formal
public comment period, or to respond to commento during the
public comment period until the clone of the public comment
period.
The load agency, however, io encouraged to conoidor, rocpond
to and include in the record file oignificant conmonto that were
oubmittod before the public coomcnt period. Conoidoring early
commonto providoo practical bonofito both oubotontivoly and
procodurally. Early commento nay provide inportant information
for tho selection docioion, and early conoideratioh provides the
public (and, particularly, PRP'o) with additional informal
opportunities for participating in tho docioion naking process.
All commento rocoivod by tho load agency during tho formal
public comment period are to be included in tho record file in
their original form, or if not foaoiblo, on explanation ohould be
placed in the record file explaining why ouch commonto were not
included. Commonto rocoivod during tho fornal public comment
period rauct bo addressed in tho rooponoivonooo nunnery (included
with the ROD in remedial rooponoo actiono). Tho rooponooo nay be
combined by oubjoct or other category in tho record file.
Commento which arc received after tho fornal comment period
clooos and before tho docioion docunont io oignod ohould be
included in tho record file but labeled nlato comment.0 Such
commento ohould bo handled ao poot-docioion information (ooe
section III.N. at pago 40).
Commento rocoivod after tho docioion document io oigned
ohould bo placed in a poot-docioion docunont file. They may be
added to tho record file in limited circunotancoo (ooo ooction
ZII.N. at pago 40).
E. Enforcement Actiono
Tho oomo proceduroo ohould bo uood for .establishing an
adminiotrativo record whether or not a rooponoo action io
ooloctod in tho context of an enforcement action. Tho following
additional information, however, nay aooiot the load agency whore
there io enforcement activity.
E.I. Negotiation Docuaonto
During nogotiationo with tho load agency, a potentially
reopbnoiblo party (PRP) may produce docunonto and clain that they
32
See 40 C.F.R. 00300.815(b), 300.825(a)(2) and (b)(2)
31
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OSWER Directive No. 9833.3A-1
constitute confidential business information (CBI) or offers of
settlement subject to Rule 408 of the Federal Rules of Evi£«nce.
Generally, those documents are not part of the
administrative record for response selection unless they are
submitted by PRPs for consideration in selecting a response
action and are considered or relied on in selecting the response
action. A privileged document which was considered or relied on
in selecting the response action should be placed in the
confidential portion of the record file. Such a document should
be summarized and the summary included in the publicly accessible
portion of the record file (see section ZZ.H. at page 19). If
the information cannot be summarized in a disclosable manner, the
information should be placed in the confidential portion of the
record file only and listed in the index to the file.
E.2. PRP-Lead RI/FS
Where a PRP is conducting the RI/FS, the PRP must submit all
technical information on selection of the remedial action
generated during the RZ/FS to the lead agency. Technical
information includes work plans, sampling data, reports, and
memoranda. The lead agency, and not the PRP, will establish and
maintain the administrative record file (see "Interim Guidance on
Potentially Responsible Party Participation in Remedial
Investigations and Feasibility Studies," Nay 16, 1988, OSWER
Directive No. 9835.la and "Model Administrative Order on Consent
for Remedial Investigation and Feasibility Study," January 30,
1990, OSWER Directive No. 9835.10.)
PRPs may be delegated responsibility for some record file
maintenance activities, such as housing the files at or near the
site. PRPs cannot, however, be responsible for decisions on what
documents comprise the record file, because of, among other
things, the potential for a conflict of interest.
E.3. Administrative Orders and Consent Decrees
Final administrative orders and consent decrees issued prior
to selection of the response action (e.g., ordering a PRP to
conduct the RI/FS), should be included in the administrative
record file. Administrative orders or consent decrees issued
after the signing of the ROD or the action memorandum should not
be included in the record file, unless the consent decree or
administrative order meets the criteria for the inclusion of
post-decision documents in the record file (see section III.N. at
page 40). Drafts of administrative orders and consent decrees
should not be included in the record file, unless the drafts
contain factual information that was considered or relied on and
is not found elsewhere in the record file.
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OSWER Directive No. 9833.3A-1
The issues relating to administrative records for
administrative orders and de minimis settlements are not
addressed by this guidance.
F. Excluded Documents
Certain documents should not be included in the
administrative record file because they are irrelevant to the
selection of the response action. Documents should be excluded
from the record file if they were not considered or relied on in
selecting the response action.
Material beyond the scope of the record file should be kept
in separate files maintained at the regional office or other
central location. These files need not be made publicly
available, although many of the documents in the files may be
available to the public if requested under POIA.
Examples of documents that are irrelevant to the decision on
selecting a response action may include Hazard Ranking System
(HRS) scoring packages, contractor work assignments, cost
documentation (as opposed to cost effectiveness information), and
National Priorities List (NPL) deletion information. If,
however, these documents contain information that is considered
or relied on in the response action selection and is not
contained elsewhere in the record file, then the documents should
be included in the record file.
Information regarding PRP liability is generally not
included in the record file for selection of the response action
except to the extent such information (typically substance
specific).is considered or relied on in selecting the response
action. Documents relating to PRP liability, however, should be
compiled and maintained in the regional office or other central
location so that they are available at the time of notice to PRPs
or referral of any litigation.
C. Draft Documents and Internal Memoranda
In general, only final documents should be included in the
administrative record file. The record file should not include
preliminary documents such as drafts and internal memoranda.
Such documents are excluded from the record file because drafts
and internal memoranda are often revised or superseded by
subsequent drafts and memoranda prior to the selection of the
response action. The preliminary documents are, therefore, not
considered or relied on in making the response action decision.
Drafts (or portions of them) and internal memoranda should
be included, however, in three instances. First, if a draft
33
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OSWER Directive No. 9833.3A-1
document or internal memorandum is the basis for a response
decision the draft document or internal memorandum should be
placed in the record file. This Bay occur if the draft contains
factual information which was relied on but is not included in a
final document, a final document does not exist, or a final
document did not exist when the response decision vas made.
Second, if a draft document or internal memorandum is
circulated by the lead agency to other persons (e.g., the support
agency, PRPs or the general public) who then submit comments
which the decisionmalcer considers or relies on when making a
response action decision, relevant portions of the draft document
or the memorandum and comments on that document should be
included in the record file.
Third, if a draft document or internal memorandum explains
or conveys decisions on the procedures for selecting the remedy
or the substantive aspects of a proposed or selected remedy
(e.g., the scope of a site investigation or the identification of
potential ARARs), the document should be placed in the record
file, even though the document was signed by a person other than
the Regional Administrator and generated long before the decision
document was signed.
Examples of internal memoranda and staff notes which should
not be included in the record file are documents that express
tentative opinions or internal documents that evaluate
alternative viewpoints. Recommendations of staff to other staff
or management should also not be included in the record file,
except for those staff recommendations which ultimately embody a
final decision relevant to response selection. Drafts and
internal memoranda may also be subject to claims of privilege
(see section XXX.H., below).
H. Privileged Documents
Some documents in the administrative record file may be
protected £rom public disclosure on the basis of an applicable
privilege. Any documents which are considered or relied on in
a response action selection, but withheld from the public portion
of the record file based on privilege, must be placed in a
confidential portion of the record file (cee section XX.H. at
page 19).
If a document is excluded from the public portion of the
record file based on privilege, the relevant information should,
to the extent feasible, be extracted and included in the public
53 See 40 C.F.R. |300.810(c).
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OSWER Directive No. 9833.3A-1
record filo. This can often bo accomplished by deleting or
redacting the privileged information from the document.
The privilogoo diocuoood below nay bo assorted with roopoct
to documents that aro considered or roliod on in the ooloction of
a response action. The head of the office rooponoiblo for
developing the document in question ohould assort the privilege.
In all cases, the official aooorting a privilege ohould conoult
with ORC.
Public diocloouro of a privileged docuoont nay result in
waiver of the privilege, although the nature and extent of the
waiver will depend on the privilege assorted and the
circumstances of the disclosure. If the privilege is waived and
the document becomes a public docunont, it oust bo disclosed to
any requestor. In light of the potential for waiver, it is
important that personnel not release potentially privileged
documents to any party without consulting with ORC.
Deliberative Process
The deliberative process privilege applies to pro-
docisional, deliberative communications that express opinions,
advice, and recommendations of otaff to other otaff or
management. The privilege functions to encourage the honest and
free expression of opinion, suggestions and ideas among those
formulating policy for government agencies (see "Guidance for
Assertion of Deliberative Process Privilege,p 10/3/84).
In general, if a document contains factual information
forming the basis for the ooloction of the response action, the
factual portion ohould bo included in the record file.
Use of the deliberative process privilege ohould bo balanced
with the statutory nandato of including the public in the
response action ooloction procooo. The privilege ohould bo
assorted if diocloouro of the docunont will hove on inhibiting
effect on frank and open discussion anong government otaff and
docisionnaJeers. Documents should not bo withheld solely because
they would reveal flawo in the case or inforoation embarrassing
to the gevornnont. Specific procedures exist for assertion of
the deliberative procooo privilege, which include conoulting with
ORC.
Confidential Business Information (CBI)
Tho EPA must withhold from the public record trade oocrots
and commercial and financial information that io subject to
protection under 40 C.F.R. Part 2. However, Section 104(o)(7) of
CERCLA greatly restricts the aooortiono of confidentiality claims
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OSWER Diroctivo No. 9833.3A-1
by PRPs Qt CERCLA citoo. The docioionmakor ohould attempt to
avoid ucing CBI in oaking rooponoc action decisions and can do so
in most caooa by using other information instead. Where the
docioionmakor nust uoo CBI in naking ito docioion, 40 C.F.R. Part
2 and Section 104(o)(7) of CERCLA will apply and ouch information
ohould bo placed in the confidential portion of the
odminiotrativo record file.
Attorney Work Product
Thio oxcluoion applies to docunonto prepared in anticipation
of possible litigation. The work product privilege covorc all
documents prepared by an attorney or under an attorney's
supervision, including reports prepared by a consultant or
program employee. Litigation nood not have commenced but it must
be reasonably contemplated. Those documents generally relate to
enforcement or dofonsibility of o decision and are not considered
or relied on in selecting a response action. Those docunonto
should not, therefore, be in the administrative record file.
Attorney-Client Communication
The attorney-client privilege applies to confidential
communications nado in connection with securing or rendering
legal advice. The privilege io linitod to communications where
there was an intention to keep the infornation confidential.
Personal Privacy
This exemption covers information about individuals in
personnel, medical, and similar files, the disclosure of which
would constitute a clearly unwarranted invasion of personal
privacy. The records must pertain to an individual, and not a
business, to bo excluded fron the public portion of the ,
administrative record file under this exception. Often,
information subject to the protection under the personal privacy
privilege can bo redacted from the document and the redacted
version can bo placed in the public portion of the record file.
State Socrots
The load agency io authorized to exclude from public
scrutiny information which, if roloaood, would ham national
oocurity or interfere with the government's ability to conduct
foreign relations. Thio privilege could bo particularly
important whore the PRP is a federal agency or a contractor for a
federal agency. In the case of a federal facility cleanup, an
34 See 40 C.F.R. Q300.810(d).
36
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OSWER Directive No. 9833.3A-1
Intor-Agoncy Agreement ohould opoll out procoduroo for assorting
this privilege.
Confidential Informant
Statemento obtained from witnoooos who have boon granted
confidentiality may be privileged.
Information Exempted by Other Statutoo
Information specifically exempted from disclosure by a
federal otatuto need not bo part of the public record. The
otatute in question muot leave no diocrotion no to the
requirement that mattoro bo withhold from the public, or it must
ootablioh particular criteria for withholding or refer to
particular typos of matters to bo withhold.
I. Guidance Documents
Guidance documonto, or portiono of guidance documents, that
are considered or relied on in oolocting a rooponoo action ohould
be included in the administrative record file for that response
action. Any guidance documonto generated to address issues that
specifically arise at the oito for which the record file is being
compiled should bo physically included in the record file.
Certain guidance documents, however, do not have to be kept in
the record file. Guidance documents not generated for the
particular site for which the record is being compiled may be
kept in a compendium of guidance docuxaonts naintainod at the
regional office or other central location.
Each Region ohould maintain a conpondiun of guidance
documents which are frequently uood in oolocting rooponoo
actions. As with on administrative record filo, the compendium
of guidance documonto nuot bo available to the public, but only
at the rogional offico or other central location. The record
filo located at or near the oito ohould contain an indox to the
compondiuD of guidance documonto. The Adniniotrativo Record
Coordinator ohould naintoin and update the conpondiun of guidance
documonto. Zf a guidance document naintainod in the compendium
io considered or relied on when naking a rooponoo action
decision, the indox to the record filo auot liot the document and
indicate ito location and availability. Soo oloo Appendix E.
If a guidance document io liotod in a bibliography to a
document included in the record filo (e.g., liotod in the
bibliography to the RI/FS), it need not bo liotod again in tho
35 See 40 C.F.R. 0300.805(a) (2).
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OSWER Diroctivo No. 9833.3A-1
index to the record filo. In thic caoo, however, the index oust
otate that documentb liotod ao bibliographic oourcoc night not be
liotod ooparatoly in tho indox.
If a guidance document which io not included in the guidance
compendium io conoidorod or roliod on in oolocting tho rooponoe
action, tho document ohould bo phyoically included in tho record
filo.
J. Technical Literature
Technical literature gonoratod for tho oito at ioouo ohould
bo phyoically included in tho odminiotrativo record file for that
oite, whether or not it io publicly available.
Similarly, technical literature not opecifically generated
for the cite which io not publicly available ohould aloo be
included in tho oito-opocific record filo. Such documonto
include technical joumalo and unpubliohod documonto that are not
available through tho Library of Congrooo or not circulated to
technical librarioo.
Publicly available technical literature not gonoratod for
the oito, however, need not be located at or near the oito or at
the regional office or other central location if tho documents
are referenced in tho indox to tho record file. Thooe
documento do not have to bo phyoically included in the record
filo, unlooo roquootod, bocauoo they are already available to the
public. Copying ouch documonto croatoo a oignificant burden to
the load agency and copyright lawo nay pooe additional barriers
to ouch copying. Examploo of publicly available technical
literature include engineering nanualo, groundwator nonitoring or
hydrogoology toxtbooko, ATSDR toxicological profiloo, and
orticloo from technical journalo.
If technical literature io liotod in a bibliography to a
document included in tho record filo (e.g., liotod in tho
bibliography to the RI/FS), it need not be liotod again in tho
indox to tho record file. In thio cooo, however, tho index nuot
otato that docunontc liotod ao bibliographic oourcoo night not be
liotod ooparatoly in tho indox.
Computer nodolo and technical databaooo need not bo
phyoically included in tho record filo but ohould be referenced
in tho indox to tho record filo and nado available upon roquoot.
Printouto or other documento produced frota tho oodolo and
databaseo ohould be phyoically included in tho record filo if
36 Soo 40 C.F.R. S300.805(b) (3)
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OSWER Directive No. 9833.3A-1
ouch documonto contain information which wao conoidorod or rolied
on in oolooting tho rooponeo action.
K. Legal Sources
Copies of otatutoo and rogulationo citod in documonto
included in tho record filo nood not bo included in tho record
filo if thoy aro readily available to tho public. For example,
tho NCP and other rogulationo are oacily accoooiblo oinco they
aro publiohod in tho Federal Rogiotor and tho Code of Federal
Rogulationo (C.F.R.).
Copioo of the actual otandardo (otatutoo or rogulationo)
comprioing federal and otato ARARo ohould bo phyoically included
in the record filo if thoy aro not oaoily accoooiblo. Aloo,
other federal and otato criteria, advioorioo, and guidance
documento pertinent to tho oito (e.g., what tho EPA roforo to as
"TBCo," or otandardo "to bo conoidorod"), cay not bo oaoily
accoooiblo. Zf ouch documonto aro citod in on RX/FS, appendix to
tho RI/FS, EE/CA, or ROD, thooo advioorioo which aro not readily
available ohould bo included in tho record filo.
L. NPL Rulonaking Docket Information
Generally, information included in tho National Priorities
List (NPL) rulomaking docket, ouch ao the Hazard Ranking Syotem
(HRS) ocoring package and commento received on tho lioting, need
not be included in tho record filo for ooloction of a rooponoe
action. Tho NPL docket eontaino information relevant to the
docioion to liot a oito, which nay bo irrelevant to the docioion
on rooponoe action ooloction.
Documonto in tho NPL docket which contain oaxapling data or
other factual information which wao conoidorod or relied on in
oolocting a rooponoo action ohould bo included in tho record file
if the information io not available already in tho record filo.
Such information nay include oarly oompling data taken by parties
other than tho load agency or ito contractors (e.g., a State).
M. RCRA Docunonto
If on action io taken under CERCLA at a oito with a hiotory
of Rooourco Conoorvation and Recovery Act (RCRA) activity, nuch
of the information relating to thooo RCRA activitioo nay bo
conoidorod or relied on in naking tho CERCLA rooponoo action
ooloction. Any relevant RCRA information, particularly
information on waoto management and RCRA corrective action at the
oite, ohould be included in tho adminiotrativo record filo (e.g.,
RCRA permit applications, inopection roporto, RCRA Facility
Aosessment (RFA), RCRA Facility Invootigation (RFI), Corrective
39
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OSWER Directive No. 9833.3A-1
ttoasuroo Studioo (CMS), or responses to RCRA information
requests).
Not all pro-existing RCRA information will be coneidorod or
roliod on in oolocting a CERCLA rooponoo action, but information
on typos of wastes, quantity of wastes, and observations of
potential throato gathered during RCRA invootigationo generally
trill bo considered and thuo should bo included in the record
file.
N. Poet-Decision Information
In all cases, documents generated or received after signing
the docioion document ohould bo kept in a post-decision document
file. Thio file io not part of the ad&inistrativo record file
and ohould bo maintained only at the regional office or other
central location.
In general, poot-docioion docunonto ohould not bo added to
the adminiotrativo record file. Since the record file containo
the information which was conoidorod or roliod on in oolocting
the responoe action, documento generated or received after
oolecting the rooponee action are not relevant to that rocponoe
decision and ohould not bo included in the record file. Such
documents may, however, bo relevant to lator rocponoo oelection
docioiono and, if GO, ohould bo included in the record file
pursuant to Section 300.825 of the NCP.
Documents kept in the poot-docioion docunont file may be
added to the record file in the oituationo described below:
o Whore a docioion document does not address or reserves a
portion of the docioion to bo nado Qt a lator date. For
example, a docioion document that does not rooolvo the type
of treatment technology. In ouch CQOOO, the load agency
ohould continue to odd docunonto to the record file which
forn the basic for the unaddroosod or reserved portion of
tho docioion;
o Whoro there io a significant change in tho ooloctod response
action. Change© that result in a significant difference
to o basic feature of tho ooloctod remedial action (e.g.,
tining, ARARo), with respect to ocopo, porfomanco, or cost
37 40 C.F.R. 0300.825(a)(l).
38 40 C.F.R. 6300.825(a)(2). See 40 C.F.R. 0300.435(C)(2)(i).
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OSWER Diroctivo No. 9833.3A-1
nay bo addrooood in an oxplanation of (significant
difforoncoo. Section 117(c) of CERCIA otatoo:
[a]ftor adoption of a final ronodial action plan -
(1) if any rosodial action io taken, (2) if any
enforcement oction vmdor ooction 106 io token, or
(3) if any oottlonont or conoont docroo under
ooction 106 or ooction 122 io entered into, and if
ouch action, oottloiaont, or docroo difforo in any
oignificant roopocto fron the final plan, the
Prooidont or the State ohall publioh an
explanation of the oignificant difforoncoo and the
roaoono ouch changoo wore oado.
The record file ohould include the explanation of
oignificant difforoncoo, underlying documentation for the
rooponoo action changoo, any oignificant coononto from the
public, and the load agency rooponooo to any oignificant
comnentc. A formal public conmont period io not required
for an oxplanation of oignificant difforoncoo;
Where the changeo are oo oignificant that thoy fundamentally
alter the very nature or baoio of the overall rooponoe
action. Such changes will require an amended docioion
document. The Region will decide whether a change to a
responoe action io conoidorod a oignificant or a fundamental
change for purpoooo of addroooing the change (ooe Chapter 8
of "Interim Final Guidance on Preparing Suporfund Docioion
Documentor The Propoood Plan and Record of Docioion," June
1989, OSWER Diroctivo No. 9355.3-02).
When the docioion document io oiaondod, the ooondod docioion
document, the underlying documentation, any oignificant
commonto from the public, and the load agency'o rooponooo to
any oignificant commonto, ohould bo included in the record
filo. ROD ocondmonto will require a fornal public comment
period; •
Whore commonto containing oignificant infomation ore
oubnittod by intorootod poroono after the clooo of the
public comment period. The load agency nuot conoidor ouch
coimonto only to the extent that the coomonto contain
oignificant information not contained oloowhoro in the
record filo which could not have boon oubnittod during the
public comment period and which oubotantially oupport the
39 40 C.F.R. fi300.825(a) (2).
*° 40 C.F.R. 5300.435(0) (2) (ii).
41
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OSWER Directive No. 9833.3A-1
need to cignifleantiy alter the response action.41
Docuaonto Exacting thio toot ohould bo included in tho record
file, along with the load agency'o responses to tho
significant comments, whether or not ouch information
roeulto in a change to tho ooloctod docioion. In thio caoe,
tho cooaonto and tho load agency rooponooo to ouch comments,
including any oupporting docuoonto, ohould bo included in
tho rocord file; and
o Whore tho load agency holdo public cotmont periods after the
selection of tho rooponoo action. Tho load agency aay
hold additional public consent poriodo or extend tho time
for oubmission of public cosaaont on any ioouo concerning
response oeloction. Such comment ohould bo limited to the
issues for which the lead agency requested additional
comment. All comments rooponoivo to tho request submitted
during ouch comment poriodo, along with any public notices
of tho comment period, transcripts of public neetings, and
load agency responses to tho comments, ohould bo placed in
the rocord file.
IV. INVOLVEMENT OF OTHER PARTIES
A. States
A.I. State Involvement in Federal-Load Sitos
The administrative rocord for a federal-load oito oust
reflect tho otato'a opportunity to bo involved in oolecting the
response action. The rocord for a romodial action ohould include
documents that reflect at least tho following otato participation
or tho opportunity for otato participation:^
o Letter to otato roquooting identification of ARARs and the
final rooponoo froo otato identifying ARARo (and
certification from tho otato);
o Coononto, or tho opportunity to comment, on a propoood
finding or docioion to ooloct a rooponoo action not
attaining a lovol or otandard of control at least equivalent
to a otato ARAR;
41 40 C.F.R. C300.825(C).
42 40 C.F.R. 0300.825(b).
43 See also Section 121 (f) of CERCIA
42
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OSWER Directive No. 9833.3A-1
o Comments, or the opportunity to comment, on the final draft
RI/FS, the proposed plan and EPA responses to the comments;
o Significant post-decision convents by the state and EPA
responses to the cements (place in the post-decision
document file for possible inclusion in the record file -
see section IZZ.N. at page 40).
The administrative record for a removal action should
reflect any state participation, especially any state comments
and EPA responses to the comments.
The record file should only include final state comments,
unless the comments explain or convey decisions on substantive
aspects of a proposed or selected remedy (e.g., the scope of a
proposed action or the identification of potential ARARs). Any
preliminary deliberations between the state and EPA relevant to
the response selection need not be part of the record file if
superseded by documentation of the state's final position.
The governing body of an Indian tribe should be afforded the
same treatment as a state in accordance with Section 126 of
CERCLA.
A.2. Federal Involvement in State-Lead Sites
Where a state has been officially designated the lead agency
for a CERCLA site, the state must compile and maintain the
administrative record for that site in accordance with Section
113(X) of CERCLA and Section 300.800 of the NCP. Since EPA has
ultimate responsibility for both the selection of a response
action (e.g., EPA signs the ROD) and the record on which that
response action is based, EPA must participate in compiling and
maintaining the record. In such cases, EPA must assure that the
record file forms a complete basis for the selection of the
response action.
The state as lead agency must maintain the record file at a
state office (e.g., the state's central environmental agency
office) and at or near the site. At a minimum, the state as lead
agency also must transmit a copy of the index, the RI/FS work
plan, the RI/FS released for public comment, the proposed plan,
and any public comments received on the RI/FS and the proposed
plan to the appropriate EPA Regional office. These documents
should be transmitted to EPA as they are generated or received.
Transmittal of the index will not suffice. In addition, other
documents may be requested by EPA on a case-by-case basis.
44 See 40 C.F.R. |300.800(c).
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OSWER Directive No. 9833.3A-1
The Superfund Memorandum of Agreement (SMOA), or Cooperative
Agreement (CA), must address the administrative record
requirements. The following language should be included in the
SMOA or CA where the state has been officially designated the
lead agency for a CERCLA site:
The state must compile and maintain the administrative
record upon which the selection of the [remedial,
removal] action is based. The compilation and
maintenance of the record must follow 40 C.F.R. Part
300, Subpart Z and EPA guidance on the administrative
record. The administrative record must be located at
the state [environmental agency] office, and at or near
the site. In addition, the state must submit copies of
the index, the RI/FS workplan, the RI/FS released for
public comment, the proposed plan, and any public
comments received on the RI/FS and proposed plan to the
EPA Regional office, as they are added to the
administrative record file. In addition, the state
must submit other documents that are requested by EPA.
The state shall comply with Section 113 of CERCLA and
any applicable regulations. EPA may require the
retention of other documents for cost recovery
purposes.
The record file compiled by the state should reflect EPA's
participation, comments, concurrence, and disagreements at the
same stages as are required for state involvement in a federal-
lead site. The state must place in the record file any documents
submitted by EPA for inclusion in the record file.
B. Federal Facilities
Federal agencies have the responsibility, pursuant to
Executive Order 12580, to establish the administrative record for
federal facilities under their jurisdiction, custody, or control
where using CERCLA authority for a response action. The record
file for a federal facility must include all documents considered
or relied en in selecting a response action, including documents
submitted by EPA on the selection of the response action. The
federal agency must comply with all NCP (see Appendix M) and
CERCLA requirements in compiling and maintaining the record,
including the minimum public participation requirements in
Sections 113 and 117 of CERCLA.4'
45 See 40 C.F.R. |300.800(b).
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OSWER Directive No. 9833.3A-1
The federal agency must maintain the record file at or near
the site and ensure easy public access to the record file. If,
for example, a site is a Department of Defense facility, the
record file should be housed in a location which does not require
military clearance for access. The federal agency should keep a
complete copy of the record file at a location within the federal
agency office comparable to an EPA Regional office.
At NPL sites and any other site where EPA is involved in
selecting a response action at a federal facility, EPA must
participate in compiling and maintaining the record. In such
cases, EPA must assure that the record file forms a complete
basis for the selection of the response action. At a minimum,
the federal agency must transmit a copy of the index, the RI/FS
workplan, the RI/FS released for public comment, the proposed
plan, and any public comments received on the RI/FS and proposed
plan to the appropriate EPA Regional office. These documents
should be transmitted to EPA as they are generated. Transmittal
of the index will not suffice. In addition, other documents may
be requested by EPA on a case-by-case basis. Inter-Agency
Agreements (lAGs) should spell out procedures for compiling and
maintaining the record.
C. ATSDR
Participation in the selection of a response action by the
Agency for Toxic Substance and Disease Registry (ATSDR) should be
reflected in the administrative record. The record file must
include the initial and subsequent health assessments and any
other information EPA solicits and obtains from ATSDR which EPA
considers or relies on in its selection of a response action.
Draft versions of the health assessment and other draft
documents upon which ATSDR comments should not be included in the
record file. If, however, EPA solicits comments from ATSDR on a
draft document such as a draft work plan or RI report, and
receives formal comments from ATSDR which EPA considers or relies
on in selecting a response action, then the document and comments
should be included in the record file.
In the event that the ATSDR health assessment and EPA's risk
assessment appear inconsistent, a document explaining the
difference should be generated and placed in the record file.
D. Natural Resources Trustees
Section 122(j)(1) of CERCLA requires that the EPA give
notice to the Natural Resources Trustee of a release or
threatened release of any hazardous substance which may have
resulted in damages to natural resources. The administrative
45
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OSWER Directive No. 9833.3A-1
record file must include the notice to the Natural Resources
Trustee, and any subsequent final communications (e.g., a release
or final report). in addition, any factual information provided
by the Natural Resources Trustee which is considered or relied on
in selecting a response action should be included in the record
file.
In the event that the Natural Resources Trustee's damage
assessment and EPA's risk assessment appear inconsistent, a
document explaining the difference should be generated and placed
in the record file.
V. DISCLAIMER
The policies and procedures established in this document are
intended solely for the guidance of employees of the U.S.
Environmental Protection Agency. They are not intended and
cannot be relied upon to create any rights, substantive or
procedural, enforceable by any party in litigation with the
United States. EPA reserves the right to act at variance with
these policies and procedures and to change them at any time
without public notice.
VI. FURTHER INFORMATION
For further information concerning this memorandum, please
contact Gary Worthman in the Office of Waste Programs Enforcement
at FTS (202) 382-5646.
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OSWER Directive No. 9833.3A-1
GLOSSARY
Administrative Record; as used in this guidance, the body of
documents that were considered or relied on which form the basis
for the selection of a response action.
Administrative Record File; as used in this guidance, the
ongoing collection of documents which are anticipated to
constitute the administrative record when the selection of
response action is made.
ARAR; applicable or relevant and appropriate requirements (see
Section 121(d) of CERCLA).
ATSPR; Agency for Toxic Substance and Disease Registry.
CA: cooperative agreement (entered into with a state or local
government to transfer funds to conduct response activities).
CBI; confidential business information.
CERCLA; Comprehensive Environmental Response, Compensation, and
Liability Act of 1980, as amended by the Superfund Amendments and
Reauthorization Act of 1986 (also known as Superfund).
C.F.R.; Code of Federal Regulations.
CMS; corrective measure study (RCRA corrective action document,
equivalent to an FS).
CRC; Community Relations Coordinator.
CRP; community relations plan.
Document; as used in this guidance, includes writings, drawings,
graphs, charts, photographs, and data compilation from which
information can be obtained. It does not, however, include
physical samples.
DOJ: Department of Justice.
EE/CA: engineering evaluation/cost analysis (removal document).
EPA; United States Environmental Protection Agency.
ESP; Environmental Services Division.
Explanation of Significant Differences; post-ROD document
described in Section 117(c) of CERCLA.
47
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OSWER Directive No. 9833.3A-1
FQIA: Freedom of Information Act.
FSP; field sampling plan.
HRS: Hazard Ranking System.
IAG; inter-agency agreement (made with a federal agency).
Lead Agency; the agency that provides the OSC or RPM to plan and
implement a response action under the NCP.
NCP: National Oil and Hazardous Substances Pollution Contingency
Plan, as revised on March 8, 1990 (55 FR 8859).
NPL: National Priorities List.
OE; EPA Office of Enforcement.
OERR; EPA Office of Emergency and Remedial Response.
OIRM; EPA Office of Information Resources Management.
Operable Unit; a discrete action that comprises an incremental
step toward comprehensively addressing site problems (see section
300.5 of the NCP).
ORC; EPA Office of Regional Counsel.
OSC; On-Scene Coordinator (project manager for a removal action)
OSWER; EPA Office of Solid Waste and Emergency Response.
OWPE; EPA Office of Waste Programs Enforcement.
PA; preliminary assessment.
PRP; potentially responsible party.
QAPP; quality assurance project plan.
RA; remedial action.
RCRA; the Solid Waste Disposal Act, as amended by the Resource
Conservation and Recovery Act.
RD; remedial design.
RI/FS; remedial investigation/feasibility study.
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OSWER Directive No. 9833.3A-1
RFA; RCRA facility assessment (RCRA document, equivalent to a
PA/SI).
RFI; RCRA facility investigation (RCRA corrective action
document, equivalent to an RI).
ROD; Record of Decision (documents the selection of a remedial
action).
RPM: remedial project manager (project manager for a remedial
action).
SAP: sampling and analysis plan.
SARA; Superfund Amendments and Reauthorization Act of 1986 (see
CERCLA above).
Site File; the file containing all site documentation.
SI; site investigation.
SMOA; Superfund memorandum of agreement (made with a state).
Support Aoencv; the agency that provides the support agency
coordinator to furnish necessary data to the lead agency, review
response data and documents, and provide other assistance as
requested by the lead agency. The support agency may also concur
on decision documents.
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APPENDIX A
SECTION 113 (J) OP CERCLA
(j) JUDICIAL REVIEW.—
(1) LIMITATION.—In any judicial action under this Act, judi-
cial review of any issues concerning the adequacy of any re-
sponse action taken or ordered by the President shall be limit.
ed to the administrative record. Otherwise applicable princi-
ples of administrative law shall govern whether any supple-
mental materials may be considered by the court.
(2) STANDARD.—In considering objections raised in any judi-
cial action under this Act, the court shall uphold the Presi-
dent's decision in selecting the response action unless the ob-
jecting party can demonstrate, on the administrative record,
that the decision was arbitrary and capricious or otherwise not
in accordance with law.
(3) REMEDY.—If the court finds that the selection of the re-
sponse action was arbitrary and capricious or otherwise not in
accordance with law, the court shall award (A) only the re-
sponse costs or damages that are not inconsistent with the na-
tional contingency plan, and (B) such other relief as is consist-
ent with the National Contingency Plan.
(4) PBOCZDUKAL ERRORS.—In reviewing alleged procedural
errors, the court may disallow costs or damages only if the
errors were so serious and related to matters of such central
relevance to the action that the action would have been signifi-
cantly changed had such errors not been made.
50
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SECTION H3 (K) OF CERCIA
(k) ADMINISTRATIVE RECORD AND PARTICIPATION PROCEDURES —
(1) ADMmiSTRAtrvE RECORD.—The President shall establish
an administrative record upon which the President shall base
tho selection of a response action. The administrative record
shall be available to the public at or near the facility at issue.
The President also may place duplicates of the administrative
record at any other location.
(2) PARTICIPATION PROCEDURES.—
(A) REMOVAL ACTION.—The President shall promulgate
regulations in accordance with chapter 5 of title 5 of the
United States Code establishing procedures for the appro-
priate participation of interested persons in the develop-
ment of the administrative record on which the President
will base the selection of removal actions and on which ju-
dicial review of removal actions will be based.
(B) REMEDIAL ACTION.—The President shall provide for
the participation of interested persons, including potential-
ly responsible parties, in the development of the adminis-
trative record on which the President will base the selec-
tion of remedial actions and on which judicial review of re-
medial actions will be based. The procedures developed
under this subparagraph shall include, at a minimum
each of the following:
(i) Notice to potentially affected persons and the
public, which shall bo accompanied by a brief analysis
of the plan and alternative plans that wore consid-
ered.
(ii) A reasonable opportunity to comment and pro*
vide information regarding the plan.
(iii) An opportunity for a public meeting in tho af-
fected area, in accordance with section HT(aX2) (relat-
ing to public participation).
(iv) A response to each of the «jgmfigq"t comments.
criticisms, and new data submitted in mitten or oral
presentations.
(v) A statement of tho booio and purpose of tho so-
lectcd action.
For purposes of thin subporagraph, tho administrative
record shall include all itomo developed and received
under thio gubparagraph and all itomo described in tho
second contonco of section 117(4). Tho President shall pro-
mulgate regulations in accordanco with chapter 5 of tiuo 5
of tho United States Code to carry out tho requirements of
thio oubporagmph.
(O iNttmm nacottD.—Until ouch regulations under sub-
paragraphs (A) and (B) aro promulgated, tho adminiotra*
tivo record shall consist of all items developed and re-
ceived pursuant to current proccdureo for colcction of the
rooponco action, inching proccdureo for tho participation
of interested portico and tho public. The development of an
administrative record and tho colcction of raponco action
under this Act shall not include an adjudicntory hearing.
(D) POTENTIALLY BBDPONSXDLS PAimED.--Tho President
ahnil mftfra reasonable efforts to identify and notify poten-
tially reoponsiblo parties as early an possible before selec-
tion of a response action. Nothing in this paragraph shall
be construed to bo a defense to liability.
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APPENDIX B
MODEL FILE STRUCTURE
This model fil« structure may be used to compile an
administrative record file for a remedial action, a removal action,
or a combination of both remedial and removal actions. If the
record documents a remedial action decision, section 2 of the file
will contain only those removal action documents which (a) predate
the remedial record of decision and (b) are relevant to the
selection of the remedial action. If the record documents a removal
action decision, sections 3, 4, and 5 of the file will contain only
those remedial action documents which (a) predate the removal action
memorandum and (b) are relevant to the selection of the removal
action.
Justification is unnecessary for file categories without any
documents. Those categories should be left out of the index.
A document should be filed in only one category, even if it
falls into more than one category. It nay be referenced in another
category. If necessary, additional subcategories may be developed
to accommodate documents not falling in any of the defined
subcategories. Avoid adding categories of miscellaneous documents.
The correspondence subcategory can include comments and
responses specific to the category. If the comments and responses
are general in nature or address more than one category, they may be
included in the public participation category;
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INDEX [FIRST DOCUMENT]
1.0 SITE IDENTIFICATION
1.1 Background - RCRA and other information
1.2 Notification/Site Inspection Reports
1.3 Preliminary Assessment (PA) Report
• 1..4 Site Investigation (SI) Report
1.5 Previous Operable Unit Information
2.0 REMOVAL RESPONSE
2.1 Sampling and Analysis Plans
2.2 Sampling and Analysis Data/Chain of Custody Forms
2.3 EE/CA Approval Memorandum (for non-time-critical removals)
2.4 EE/CA
2.5 Action Memorandum
2.6 Amendments to Action Memorandum
3.0 REMEDIAL INVESTIGATION (RI)
3.1 Sampling and Analysis Plan (SAP)
3.2 Sampling and Analysis Data/Chain of Custody Forms
3.3 Work Plan
3.4 RI Reports
4.0 FEASIBILITY STUDY (FS)
4.1 ARAR Determinations
4.2 FS Reports
4.3 Proposed Plan
4.4 Supplements and Revisions to the Proposed Plan
5.0 RECORD OF DECISION (BOD)
5.1 ROD
5.2 Amendments to ROD
5.3 Explanations of Significant Differences
6.0 STATE COORDINATION
6.1 Cooperative Agreements/SMOAs
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6.2 State Certification of ARARs
7.0 ENFORCEMENT
7.1 Enforcement History
7.2 Endangerment Assessments
7.3 Administrative Orders
7.4 Consent Decrees
7.5 Affidavits
7.6 Documentation of Technical Discussions with PRPs on
Response Actions
7.7 Notice Letters and Responses
8.0 HEALTH ASSESSMENTS
8.1 ATSDR Health Assessments
8.2 Toxicological Profiles
9.0 NATURAL RESOURCE TRUSTEES
9.1 Notices Issued
9.2 Findings of Fact
9.3 Reports
10.0 PUBLIC PARTICIPATION
10.1 Comments and Responses
10.2 Community Relations Plan
10.3 Public Notice(s) (Availability of the Administrative Record
File, Availability the Proposed Plan, Public Meetings)
10.4 Public Meeting Transcripts
10.5 Documentation of Other Public Meetings
10.6 Fact Sheets and Press Releases
10.7 Responsiveness Summary
10.8 Late Comments
11.0 TECBMICAL SOURCES AMD GUIDANCE DOCUMENTS
ll.l EPA Headquarters Guidance
11.2 EPA Regional Guidance
11.3 State Guidance
54
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11.4 Technical Sources
55
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APPENDIX C
MODEL INDEX
Attached is an excerpt of the Index of documents included in
the Administrative Record for the Love Canal site. The Index lists
the documents according to the EPA file structure (category number).
The Index includes the following information fields:
DOCUMENT NUMBER.... indicates the first and last page numbers of
the document. Both page numbers will be the
same for one-page documents. In this
particular index, the document number
consists of a three letter site code
followed by microfilm reel and frame
numbers.
TITLE indicates the title or an enhanced
description of the document in parentheses.
AUTHOR indicates the author or primary originator
and the author's corporate affiliation.
RECIPIENT indicates the addressee or primary recipient
and the addressee's corporate affiliation.
DATE indicates document date by month/day/year.
/ / means no date was available.
TYPE indicates the document type.
CATEGORY indicates the EPA file structure number.
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APPENDIX 0
MODEL POSITION DESCRIPTION FOR ADMINISTRATIVE RECORD COORDINATOR
INTRODUCTION
The incumbent serves as an Administrative Record Coordinator in
one of the Regional offices of the Environmental Protection Agency
(EPA). [Each Region may want to add an introduction to Superfund
and the Regional office here.] The incumbent is responsible for
compiling and maintaining administrative record files for CERCLA
(Superfund) response action decisions.
Section 113(k) of CERCLA requires the establishment of an
administrative record upon which the selection of a response action
is based. Such a record is a compilation of all documents which the
Agency considered or relied on in making its response action
decision. Judicial review of any issues concerning the adequacy of
any response action decision is limited to the administrative
record. Public participation in the development of the record is
required by law.
Establishment of thorough and complete administrative records is
essential to EPA's Superfund program. Administrative records which
include public participation and withstand judicial scrutiny allow
EPA to meet its goals and objectives.
The incumbent will be responsible for compiling and maintaining
administrative records for large numbers of Superfund sites. Each
record requires coordination with many people including: Federal
staff, state and local officials, private contractors, the general
public and potentially responsible parties. Further
responsibilities include deliberations over which materials to
include in each record and requirements for dealing with privileged
materials.
The incumbent is responsible for compiling and maintaining all
of the administrative records for selection of CERCLA response
actions for a Regional office of the EPA. The incumbent must
have complete knowledge of all rules and procedures governing
development of the administrative record files.
Receives and reviews all documents submitted by the Remedial
Project Manager (RPM), On-Scene Coordinator (OSC), Office of
Regional Counsel (ORC) and other appropriate staff for inclusion
in the administrative record files. The incumbent will
coordinate with staff responsible for deciding what documents
are included in the record and will arrange for adding documents
to the record file.
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3. Compiles the administrative record file for each CERCLA
response action. This includes logging the receipt of each
document, maintaining a central master file of documents,
redacting information from privileged documents as directed
by ORC, maintaining any privileged portions of each record
using Agency security measures, arranging for copying of
documents in each record and transmitting the documents to
appropriate repositories.
4. Coordinates the compilation of the administrative record
files with state and federal agencies. This includes
receiving records maintained by state and federal agencies
and notifying appropriate personnel of these records for
their review.
5. Maintains and updates (monthly) an index of each
administrative record file in confonnance with Agency
guidelines.
6. Ensures public access to administrative record files. This
includes notifying the public of the availability of the
record, making the record available for public inspection,
coordinating with personnel at the facility where the record
is located, maintaining an adequate copying facility and
maintaining a log of persons reviewing documents. The
incumbent will have to respond to phone calls and visitors
wanting information on and from the record. These functions
will be coordinated with the Office of Public Affairs and
Superfund Community Relations Coordinators.
7. Maintains the Regional Superfund Central Library of guidance
documents and technical references.
CONTROLS OVER WORK
The incumbent works under the general supervision of the
[Hazardous Wast*. Branch Chief]. An administrative record is
reviewed and certified for litigation by a person designated by
the Regional Administrator.
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APPENDIX' E
COMPENDIUM OF CERCLA
RESPONSE SELECTION
GUIDANCE DOCUMENTS
USERS MANUAL
U. S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF WASTE PROGRAMS ENFORCEMENT
MAY 1989
59
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TABLE OF CONTENTS
Sectiqtj Pa
1.0 INTRODUCTION
:.0 OVERVIEW OF COMPENDIUM USE
2.1 USE BY EPA PERSONNEL .
2.: USE BY THE PUBLIC
3.0 STRUCTURE OF THE COMPENDIUM
3.1 FILE STRUCTURE . .
3.2 INDEX STRUCTURE
4.0 UPDATING THE COMPENDIUM (5J
4.1 REGIONAL INPUT .' £5}
42 KEEPING THE COMPENDIUM CURRENT (6)
LIST OF TABLES
Table
3-1 COMPENDIUM CATEGORIES AND NUMBER SERIES (4)
Appendix
R]
COORDINATORS
(A*) REGIONAL COMPENDIUM LOCATIONS AND ADMINISTRATIVE RECORD
(f) COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
INDEX
60
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1.0 INTRODUCTION
This manual describes how to use the "Compendium of CERCLA Response Selection
Guidance Documents" (Compendium). Each U.S. Environmental Protection Agency (EPA)
Regional Office maintains a compendium of guidance documents frequently used during
development and selection of response actions under the Comprehensive Environmental
Response. Compensation, and Liability Act (CERCLA).
EPA Headquarters used several sources to develop the initial Compendium. These sources
included a pamphlet titled "Selected Technical Guidance for Superfund Projects" (OSWER
Directive 9200.7-01); the OSWER Directive System; the Superfund, Resource Conservation and
Recovery Act (RCRA), and Enforcement dockets; the Hazardous Waste Collection Database; and
any existing regional compendiums. The documents in the Compendium are referenced in
administrative records for decisions on selection of response actions.
The administrative record described here is the body of documents that form the basis for
selection of a CERCLA response action. Establishment of the administrative record is required
by §113(k) of CERCLA. An administrative record is the compilation of documents considered or
relied on by EPA in making a decision. Documents that EPA anticipates will be included in the
administrative record when the decision on a response action selection is made, are referred to as
the "administrative record file." Guidance documents, or portions of guidance documents, that
are considered or relied on in selecting a CERCLA response action should be part of an
administrative record file.
Certain frequently used guidance documents may be referenced in the index to an
administrative record but not physically included in the administrative record file. The reference
should indicate the title and location of any documents included in the administrative record but
maintained in the Compendium, which is kept at a central regional location. If a guidance
document that is not listed in the Compendium is considered or relied on in selecting the response
action, the dooajBMt must be physically included in the administrative record file. The
Compendium ilftft reduce the burden of copying and storing multiple copies of frequently used
guidance
Section 2.0 of this manual briefly discusses use of the Compendium by EPA personnel and
the public. Section 3.0 discusses the Compendium's file and index structure. Documents in the
Compendium are filed in three-ring binders and listed on an index which is generated by and
(1)
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maintained on a computer database. Procedures for updating the Compendium are presented in
Section 4.0.
2.0 OVERVIEW OF COMPENDIUM USE
The Compendium is intended for use by two groups: EPA personnel, during the process
of response action selection and administrative record development, and the public, for review of
documents referenced in the index to an administrative record.
The user should note that although the term "guidance" is often used in discussing the
Compendium, it does not imply that only guidance documents are included. The documents may
also be policies, memoranda, clarifications, case studies, manuals, handbooks, reports, and other
documents used in the selection of CERCLA response actions.
2.1 USE BY EPA PERSONNEL
EPA personnel use the Compendium primarily to reference frequently used guidance
documents that may be maintained in the Compendium rather than physically included in each
administrative record file. The index must indicate which documents are physically located in
the Compendium and must specify the location and accessibility of the Compendium. The index
should also reference only the specific documents in the Compendium that were considered or
relied on for the site for which the record is being compiled. The index should not reference the
entire Compendium.
2.2 USE BY THE PUBLIC
As with any unrestricted document included in a record, the Compendium documents are
accessible for public review. When EPA publishes t notice of availability of an administrative
record file, that notice will include the location of the Compendium. The Compendium will be
available for pejHfe viewing at a central regional establishment (for example, the EPA Regional
Office), and •*£$ or near the site for which the record is being compiled. (See Appendix A for
a list of the facade* of each regional copy of the Compendium and the names of the Regional
Administrative Record Coordinators.)
(2)
62
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3.0 STRUCTURE OF THE COMPENDIUM
Currently, the Compendium is organized into 10 categories. An overview of the file
strucrur? is presented below, is well is a discussion of the index that identifies the documents
included in the Compendium. This section also discusses the data elements identified in the
index. The dita elements provide vital information on the documents included in the
Compendium and are contained in a database used to compile the Compendium and generate the
index.
3.1 FILE STRUCTURE
The Compendium is structured according to 10 major categories that generally reflect the
various components of a response action selection under CERCLA. Table 3-1 lists the current
Compendium categories. The documents are further grouped into subcategories that indicate
their more specific nature, when applicable. For example, the remedial investigation/feasibility
study (RI/FS) section of the Compendium is broken down into more specific subcategories to
identify the wide range of RI/FS documents available. When the documents apply to multiple
categories, secondary references are provided in the Compendium index.
Each document has been assigned a unique four-dig it document number. The bound
documents contained in each category are arranged numerically. When a user wants to access a
document, he or she will find the document filed according to the assigned number. The four-
digit number series assigned to each category are also listed in Table 3-1.
3.2 INDEX STRUCTURE
When an administrative record index refers to a document contained in the Compendium,
that document is also identified in the Compendium index. The index, contained as the first
document in the) Compendium, provides the information necessary to identify and locate the
desired documeflB (For a copy of the current Compendium index, see Appendix B.)
Because ia most cases the user will know the title of the document rather than the number
assigned, the index lists the documents under each category in alphabetical order. An
alphabetical listing of secondary references follows the primary documents listed under each
category.
(3)
63
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TABLE 3-1
COMPENDIUM CATEGORIES AND NUMBER SERIES
CATEGORIES NUMBER SERIES
Index 0000
Pre-Remedial 0001-0999
Removal Action 1000-1999
Remedial Investigation/ 2000-2999
Feasibility Study
General 2000-2099
RI Data Quality/Site &
Waste Assessment 2100-2199
Land Disposal Facility Technology 2200-2299
Other Technologies 2300-2399
Groundwater Monitoring &
Protection 2400-2499
ARARs1 3000-3999
Water Quality 4000-4999
Risk Assessment 5000-5999
Cost Analysis 6000-6999
Community Relatioas 7000-7999
Enforce***! 1000-1999
SeletttaM Re»«4y/D«eUloa
9000-9999
1 Applicable or Relevant and Appropriate Requirements
(4)
64
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The Compendium index is maintained on a database using dBASE III Plus software. This
database contains numerous data elements that store the information distinguishing and grouping
each document into the appropriate categories. The database is currently maintained at EPA
Headquarters.
Maintaining the index in a database allows the information to be organized in different
ways. For example, should the Region need an index that is sorted entirely in alphabetical order
by title, chronologically by document date, numerically by the number assigned each document,
etc., EPA Headquarters can generate and forward.such an index. The data elements of the
Compendium database, as identified on the index, are included in Appendix B.
4.0 UPDATING THE COMPENDIUM
The Compendium is designed to allow for the periodic addition of newly developed policy
or guidance documents. Updates to the Compendium are necessary in the following cases: (1)
EPA releases relevant new guidance, policy, reports, etc.; (2) regional staff find additional
documents that should be included in the Compendium; and (3) existing documents are revised or
superseded. EPA Headquarters will continue to monitor the information sources used to develop
the initial Compendium for new or revised documents that may qualify for inclusion in the
Compendium.
Guidance documents identified for addition to the Compendium will be reviewed and
relevant information will be entered into the existing database. After the database is updated, a
new index will be generated and sent to each Regional Office. This new index will replace any
previous indices. Hard copies of the additional documents will be sent to each region for
inclusion in the Compendium. The revised index will indicate the category for each new
document.
4.1 REGIONAL INPUT
in the response action selection process, as well as Administrative Record
Coordinator*, mtj find documents that are frequently included in administrative records but are
not referenced in the Compendium. In such cases it may be desirable to include the documents
in the Compendium as part of the updating process. However, since the Compendium is designed
to be nationally applicable, only documents used frequently in different regions will be included.
Any region-specific document should be maintained in separate regional files and not in the
Compendium.
(5)
65
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4.2 KEEPING THE COMPENDIUM CURRENT
Once a document is included in the Compendium, it will remain in the Compendium :o
maintain the integrity of any record that refers to it. However, documents contained in the
Compendium may be revised in the future to reflect changes, for example, changes in policy,
technology, or law. The most current version of these documents will be added to the
Compendium, as appropriate, so that they will be available for the administrative record process.
Although no document included in the Compendium will ever be replaced or removed
once an administrative record index refers to it, those documents that are superseded will be
flagged and identified on a separate index (superseded index) attached to the Compendium's main
index. The superseded index will also identify the corresponding revised version added to the
Compendium to indicate the new document that should be used.
Response action selections frequently rely on technical data generated at Superfund sites
across the country. Such data is often maintained on national databases. Depending on their use
and availability, certain of these databases may be included in the Compendium. For example,
the Public Health Risk Evaluation Database (PHRED) is part of the Compendium. PHRED is
stored on two floppy diskettes that are regularly updated as additional information becomes
available. Whenever updated PHRED diskettes are generated, they will be added to the
Compendium. Those diskettes that were previously included will also remain in the Compendium
and will be identified on the superseded index.
(6)
66
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(APPENDIX A)
REGIONAL COMPENDIUM LOCATIONS AND ADMINISTRATIVE RECORD COORDINATORS
Region
I
II
III
IV
VI
Address
90 Canal Street
Boston, MA 02203
60 Westview Street *
Lexington, MA 02173
26 Federal Plaza
New York, NY 10278
Woodbridge Avenue *
Raritan Depot - Bldg 10
Edison, NJ 08837
841 Chestnut Street
Philadelphia, PA 19107
345 Courtland Street, N.E.
Atlanta, GA 30365
230 South Dearborn Street
Chicago, IL 60604
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, TX 75270
Coordinator/PH #
1. Remedial
2. Removal
1. Brenda Haslett
(617)573-1759
FTS 833-1759
2. Pam Bruno
(617)860-4309
1. Jenny Delcimento
(212)264-8676
FTS 264-8676
2. Norman Vogelsang
(201)321-6657
FTS 340-6657
1. Margaret Leva
(215)597-3037
FTS 597-3037
2. Joan Henry
(215)597-2711
FTS 597-2711
1. Debbie Jourdan
(404)347-2930
FTS 257-2930
2. Same
1. Jamie Bell
FTS 353-7446
2. Jan Pfundheller
FTS 353-7626
1. Karen Witten
(214)655-6720
FTS 255-6720
2. Joann Woods
(214)655-2270
FTS 255-2270
The Compendium was initially distributed to remedial
Administrative Record Coordinators only. Copies may be
located at this address.
67
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Region
VII
VIII
IX
Address
726 Minnesota Avenue
Kansas City, KS 66101
25 Funston Road *
Kansas City, KS 66115
999 18th Street
Suite 500
Denver, CO 80202
215 Fremont Street
San Francisco, CA 94105
1200 Sixth Avenue
Seattle , WA 98101
Coordinator/PH #
1. Remedial
2. Removal
1. Barry Thierer
FTS 276-7052
2. Helen Bennett
(913)236-3881
FTS 757-3881
1. Carole Macy
FTS 330-1281
2. Tina Ardemus
FTS 330-7039
1. Tom Mix
FTS 484-1960
Don Briggs
FTS 556-6637
2. Holly Hadlock
(415)768-1354
1. Lynn Williams
(206)442-2121
FTS 399-2121
2. Same
The Compendium was initially distributed to remedial
Administrative Record Coordinators only. Copies may not be
located at this address.
68
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(APPENDIX B
COMPENDIUM OF CERCLA
RESPONSE SELECTION
GUIDANCE DOCUMENTS
INDEX
69
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TABLE OF CONTENTS
:r'. - Subcaceaorv
Pre- Remedial 0001-0002
Removal Action 1000-1008
RI. FS - General 2000-2012
RI/FS - RI Data Quality/Site & Waste Assessment 2100-21 19
RI/FS - Land Disposal Facility Technology 2200-2212
RI/FS - Other Technologies 2300-2320
RI/FS - Ground-Water Monitoring ft Protection 2400-2408
ARARs 3000-3005
Water Quality 4000-4003
Risk Assessment 5000-5015
Cost Analysts 6000-6001
Community Relations 7000-7000
Enforcement 8000-8001
Selection of lUMtfr/Decision Documents 9000-9001
Data Element Definitions
List of Organizational Abbreviations and Acronyms Identified in the Index
"The range for each number series identified represents the numbers assigned to those documents
currently in the Compendium.
70
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PAGE NO. 1
02/03/92
- INDEX-
COMPENDIUM OF CERCLA RESPONSE
SELECTION GUIDANCE DOCUMENTS
Ooc
No Vol Title/ID Mutter
•••• Index
Date Authors
Super
No. Pages
0000 1 INDEX TO COMPENDIUM OF CERCLA RESPONSE SELECTION
GUIDANCE DOCUMENTS
**** Pre-Recnedial
OS/01/89 OWPE PRC-ENVIRONHENTAL
MANAGEMENT, INC.
0001 1 EXPANDED SITE INSPECTION (ESI) TRANSITIONAL
GUIDANCE FOR FY-88; OSWER #9345.1-02
10/01/87 OERR
74
000? 1 PRELIMINARY ASSESSMENT (PA) GUIDANCE FISCAL YEAR
1988; OSUER #9345.0-01
01/01/88 OERR/HSCD
83
Removal Action
1000 1 CERCLA REMOVAL ACTIONS AT METHANE RELEASE SITES;
OSWER #9360.0 8
01/23/86 LONGEST, H.L./OERR
1001 1 COSTS OF REMEDIAL RESPONSE ACTIONS AT UNCONTROLLED
HAZARDOUS WASTE SITES
1002 1 EMERGENCY RESPONSE PROCEDURES FOR CONTROL OF
HAZARDOUS SUBSTANCE RELEASES; EPA-600/D-84-023
1003 1 ENVIRONMENTAL REVIEW REQUIREMENTS FOR REMOVAL
ACTIONS; OSWER #9318.0-05
1004 1 GUIDANCE ON IMPLEMENTATION OF THE "CONTRIBUTE TO
EFFICIENT REMEDIAL PERFORMANCE" PROVISION; OSUER
#9360.0-13
01/01/81 RISHEL, H.L., ET.AL./SCS
ENGINEERS ALBRECHT, O.W./MERL
01/01/83 MELVOLD, R.W./ROCKWELL
INTERNATIONAL MCCARTHY,
04/13/87 OERR/ERD
04/06/87 OSWER
164
23
1005
1 INFORMATION ON DRINKING WATER ACTION LEVELS
04/19/88 FIELDS, JR., T./OSWER/ERD
17
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I'AI.I NO.
INDEX-
COMPENDIUM OF CERCLA RESPONSE
SELECTION GUIDANCE DOCUMENTS
NO Vol Title/ID Nuwber
•••• Removal Action
NMI6 1 SUPERFUNO REMOVAL PROCEDURES. REVISION 03; OSUER
#9360.0-038
Kin; 1 THE ROLE OF EXPEDITED RESPONSE ACTIONS (EPA) UNDER
SARA; OSUER 09360.0-15
1(108 2 GUIDANCE ON NON-NPL REMOVAL ACTIONS INVOLVING
NATIONALLY SIGNIFICANT OR PRECEDENT SETTING
ISSUES; OSUER 19360.0-19
».
*** Secondary References ***
Mill? 26 INTERIM FINAL GUIDANCE ON REMOVAL ACTION LEVELS AT
CONTAMINATED DRINKING WATER SITES; OSUER
#9560.1 01
6001 12 REMOVAL COST MANAGEMENT MANUAL; OSUER #9360.0-028
**•• RI/FS - General
2000 2 CASE STUDIES 1-23: REMEDIAL RESPONSE AT HAZARDOUS
WASTE SITES; EPA 540/2-84/002B
2001 3 EPA GUIDE FOR MINIMIZING ADVERSE ENVIRONMENTAL
EFFECTS OF CLEANUP OF UNCONTROLLED HAZARDOUS-WASTE
SITES; EPA/600/8-85/008
2002 3 GUIDANCE FOR CONDUCTING REMEDIAL INVESTIGATIONS
AND FEASIBILITY STUDIES UNDER CERCLA; OSUER
#9355.3-01
Date Authors
02/01/88 OSUER/OERR
04/21/87 LONGEST, H.L./OERR
04/03/89 LONGEST, H.L./OERR
10/06/87 OSUER/OERR
04/01/88 OSUER/OERR
03/01/84 ORD/OEET/MERL OSUER/OERR
06/01/85 ENVIRONMENTAL RESEARCH
LABORATORY
10/01/88 OSUER/OERR
Super
No. Pages
===== =====
365
170
830
250
390
-------
r*r,f MO.
-INDEX-
COMPENDIUM OF CERCLA RESPONSE
Den-
No Vol Title/ID Number
----- ~~- = = = = = = = = = = = = = = = = = = = = = = = = = = = === = = = = ==== = = = = = = = = = == = = :
•••• RI/FS General
?003 3 JOINT CORPS/EPA GUIDANCE; OSWER #9295.2-02
?(W. 4 MODELING REMEDIAL ACTIONS AT UNCONTROLLED
HAZARDOUS WASTE SITES (VOL. I-IV); OSWER
#9355.0-08
SELECTION GUIDANCE DOCUMENTS
Date
Authors
Super
No. Pages
= s ==s==r=z srs ==3ss = = = = = = = = = 3 = s ====r = = = = =:r = = = = = =r = = s 5 =
?005
?n(16
?
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I'AI.I NO.
- INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
Vol Title/ID Number
RI/FS General
Date Authors
======== ==================
Super
No. Pages
===== ==%==
?OU 33 GUIDANCE ON REMEDIAL ACTIONS FOR SUPER FUND SITES
WITH PCB CONTAMINATION; OSUER *9355.4-01
?01S 33 GUIDE FOR CONDUCTING TREATABILITT STUDIES UNDER
CERCLA; INTERIM FINAL;; EPA/540/2-89/058
?016 33 MODEL STATEMENT OF WORK FOR A REMEDIAL
INVESTIGATION AND FEASIBILITY STUDY CONDUCTED BY
POTENTIALLY RESPONSIBLE PARTIES; OSUER «9835.8
?017 3J RI/FS IMPROVEMENTS PHASE II, STREAMLINING
RtCOMMENDATIONS; OSWER f9355.3-06
?01R 33 THE FEASIBILITY STUDY - DEVELOPMENT AND SCREENING
Or REMEDIAL ACTION ALTERNATIVES (QUICK REFERENCE
FACT SHEET]; OSWER #9355.3-01FS3
<>ni9 33 THE FEASIBILITY STUDY: DETAILED ANALYSIS OF
REMEDIAL ACTION ALTERNATIVES (QUICK REFERENCE FACT
SHEET); OSWER *9355.3-01FS4
2020 33 TREATABILITY STUDIES UNDER CERCLA: AN OVERVIEW
(QUICK REFERENCE FACT SHEET); OSWER 09380.3-02FS
*** Secondary References *•*
8001 32 INTERIM GUIDANCE ON POTENTIALLY RESPONSIBLE PARTY
PARTICIPATION IN REMEDIAL INVESTIGATIONS AND
FEASIBILITY STUDIES; OSWER »9835.la
•*•• RI/FS Rl Data Quality/Site t Waste Assessment
S * COMPf WHUN Of SUPERFUND FIELD OPERATIONS
"i"«i'S USUIR Mm o u
08/01/90 OERR
12/01/89 ORD/OERR
06/02/89 OWPE
01/01/89 OERR/OWPE
11/01/89 OSWER
03/01/90 OSWER
12/01/89 OSWER
D5/16/88 PORTER, J.W./OSWER
150
118
31
50
12/01/87 OERR/ OWPE
550
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CAf.l NO.
One
No
2101
-------
!'*(,( NO.
-INDEX-
COMPENDIUM Or CERCLA RESPONSE
SELECTION GUIDANCE DOCUMENTS
Dor
Nn
Vol Title/ID Nunber
Date Authors
•• RI/FS Rl Data Quality/Site t Uaste Assessment
7 GEOPHYSICAL TECHNIQUES FOR SENSING BURIED UASTES
AND UASTE MIGRATION; EPA-600/7-84/064
8 GUIDELINES AND SPECIFICATIONS FOR PREPARING
QUALITY ASSURANCE PROGRAM DOCUMENTATION
8 LABORATORY DATA VALIDATION FUNCTIONAL GUIDELINES
FOR EVALUATING INORGANICS ANALYSES (DRAFT)
?1K 8 LABORATORY DATA VALIDATION FUNCTIONAL GUIDELINES
ton EVALUATING ORGANICS ANALYSES (DRAFT)
2115 8 PRACTICAL GUIDE FOR GROUND UATER SAMPLING;
EPA/600/2-85/104
8 SEDIMENT SAMPLING QUALITY ASSURANCE USER'S GUIDE;
EPA/600/4-85/048
2117 8 SOIL SAMPLING QUALITY ASSURANCE USER'S GUIDE; EPA
600/4-84/043 -
2118 9* TEST METHODS FOR EVALUATING SOLID UASTE,
LABORATORY MANUAL PHYSICAL/CHEMICAL METHODS, THIRD
EDITION (VOLUMES IA, IB, 1C, AND II)
?11
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I'»M NO. 7
II.VOV9?
-INDEX-
COMPENOIUM OF CERCLA RESPONSE
No vol Title/ID Number
"•• Rl/FS Rl Data Quality/Site ft Waste Assessment
••* Secondary References •••
Sli?S 37 THE REMEDIAL INVESTIGATION - SITE CHARACTERIZATION
AND TREATABILITY STUDIES (QUICK REFERENCE FACT
SHEET); OSWER (T9355.3-01FS2
**** Rl/FS Land Disposal Facility Technology
2200 12 COVERS FOR UNCONTROLLED HAZARDOUS WASTE SITES;
EPA/540/2-B5/002
.VIII I) DESIGN. CONSTRUCTION. AND EVALUATION CF CLAY
LINERS FOR WASTE MANAGEMENT FACILITIES;
EPA/530/SW-86/007F
2202 13 EVALUATING COVER SYSTEMS FOR SOLID AND HAZARDOUS
WASTE; OSWER «9476.00-1
2203 13 GUIDANCE MANUAL FOR MINIMIZING POLLUTION FROM
WASTE DISPOSAL SUES; EPA-600/2-78-142
2204 13 LAND DISPOSAL RESTRICTIONS
2205 14 LINING OF WASTE CONTAINMENT AND OTHER IMPOUNDMENT
FACILITIES; EPA/600/2-88/052
2206 15 LINING OF WASTE IMPOUNDMENT AND DISPOSAL
FACILITIES; OSWER 09480.00-4
<>
-------
I *(,( NO.
(V/OVV2
Hoc
No Vol
*•"* RI/FS
2208 15
2209 15
2210 15
-INDEX-
COMPENDIUM OF CERCLA RESPONSE
Title/ID Number
- Land Disposal Facility Technology
RCRA GUIDANCE DOCUMENT: LANDFILL DESIGN LINER
SYSTEMS AND FINAL COVER (DRAFT)
SETTLEMENT AND COVER SUBSIDENCE OF HAZARDOUS WASTE
LANDFILLS: PROJECT SUMMARY; EPA 600/S2 85-035
SUPPLEMENTARY GUIDANCE ON DETERMINING
LINER/LEACHATE COLLECTION SYSTEM COMPATIBILITY;
OSWER 09480.00-13
??11 15 TECHNICAL GUIDANCE DOCUMENT: CONSTRUCTION QUALITY
ASSURANCE FOR HAZARDOUS WASTE LAND DISPOSAL
FACILITIES; OSUER 09472.003
22)2 15 TREATMENT OF REACTIVE WASTES AT HAZARDOUS WASTE
LANDFILLS: PROJECT SUMMARY; EPA/600/S2-83/118
2213 33 APPLICABILITY OF LAND DISPOSAL RESTRICTIONS TO
RCRA AND CERCLA GROUND WATER TREATMENT RE INJECT ION
SUPERFUNO MANAGEMENT REVIEW: RECOMMENDATION
NO.26; OSUER 419234.1-06
22K 33 SUPER FUND LDR GUIDE »1 OVERVIEW OF RCRA LAND
DISPOSAL RESTRICTIONS (LDRs); OSWER «9347.3-01FS
?215 33 SUPERFUND LDR GUIDE #2 COMPLYING WITH THE
CALIFORNIA LIST RESTRICTIONS UNDER LAND DISPOSAL
RESTRICTIONS (LDRs); OSWER »9347.3-02FS
2216 33 SUPERFUND LDR GUIDE *3 TREATMENT STANDARDS AND
MINIMUM TECHNOLOGY REQUIREMENTS UNDER LAND
DISPOSAL RESTRICTIONS (LDRs); OSWER *9347.3-03FS
SELECTION GUIDANCE DOCUMENTS
Date Authors
07/01/82 EPA
05/01/85 MURPHY, U.L. GILBERT. P.A.
08/07/86 WEDDLE, B.R./PERMITS AND STATE
PROGRAMS DIV.
10/01/86 HERRMANN,J.G./HUERL/LAND
POLLUTION CONTROL DIV./ OSWER
01/01/84 SHOOTER,D, ET.AL./ARTHUR D.
LITTLE, INC. LANDRETH, R./MERL
12/27/89 CLAY, D.R./OWSER
07/01/89 OERR
07/01/89 OERR
07/01/89 OERR
Super
No. Pages
JO
88
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r»i,l NO
-INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
IKK
NO
??\7
??19
Vol Title/ID Nutfcer
r = = =r=====S = = = = = S = = — = = = S = = = = S3r = BX3S3SCC* = 3 = = = S:: = = = = =
RI/FS - Land Disposal Facility Technology
33 SUPERFUND LDR GUIDE *4 COMPLYING WITH THE HAMMER
RESTRICTIONS UNDER LAND DISPOSAL RESTRICTIONS
(LDRs); OSUER f9347.3-04FS
33 SUPERFUND LDR GUIDE #5 DETERMINING WHEN LAND
DISPOSAL RESTRICTIONS (LDRs) ARE APPLICABLE TO
CERCLA RESPONSE ACTIONS; OSUER H9347.3-05FS
33 SUPERFUND LDR GUIDE *6A OBTAINING A SOIL AND
DEBRIS TREATABILITY VARIANCE FOR REMEDIAL ACTIONS;
OSUER K9347.3-06FS
33 SUPERFUND LDR GUIDE *7 DETERMINING WHEN LAND
DISPOSAL RESTRICTIONS (LDRs) ARE RELEVANT AND
APPROPRIATE TO CERCLA RESPONSE ACTIONS; OSUER
*9347.3-08FS
Date Authors
07/01/89 OERR
07/01/89 OERR
07/01/89 OERR
12/01/89 OERR
Super
No. Pages
*** Secondary References ***
3000 25 APPLICABILITY OF THE HSUA MINIMUM TECHNICAL
REQUIREMENTS RESPECTING LINERS AND LEACHATE
COLLECTION SYSTEMS; OSUER 99480.01(85)
**** RI/FS - Other Technologies
2300 16 A COMPENDIUM OF TECHNOLOGIES USED IN THE TREATMENT
OF HAZARDOUS UASTES; EPA/625/8-87/OH
2301 16 CARBON ABSORPTION ISOTHERMS FOR TOXIC ORGANICS;
EPA/oOO/8-80-023
04/01/85 SKINNER. J./OSU
09/01/87 ORD/CERI
04/01/80 DOBBS. R.A./MERL COHEN,
J.N./MERL
49
321
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- INDEX-
COMPENDIUM OF CERCLA RESPONSE
PA(,( NO. 10
(V/03/92
Doc
No Vol Title/ID Nunfcer
•••* RI/FS Other Technologies
730? 17 ENGINEERING HANDBOOK FOR HAZARDOUS WASTE
INCINERATION; OSUER 09488.00-5
2303 17 EPA GUIDE FOR IDENTIFYING CLEANUP ALTERNATIVES AT
HAZARDOUS-WASTE SITES AND SPILIS: BIOLOGICAL
TREATMENT; EPA-600/3-83-063
2304 17 EPA GUIDE FOR INFECTIOUS WASTE MANAGEMENT; OSWER
*9410.00-2
SELECTION GUIDANCE DOCUMENTS
Date
Authors
09/01/81 BONNER. T.A., ET. AL./MONSANTO
RESEARCH CORP. OBERACKER,
/ / PACIFIC NORTHWEST LABORATORY
RANIERE, L.C./CORVALLIS
ENVIRONMENTAL RESEARCH LAB
05/01/86 OSWER/OSW
Super
No. Pages
445
120
2305 17 GUIDANCE DOCUMENT FOR CLEANUP OF SURFACE
IMPOUNDMENT SITES; OSWER H9380.0-06
2306 17 GUIDANCE DOCUMENT FOR CLEANUP OF SURFACE TANK AND
DRUM SITES; OSWER 09380.0-03
2307 18 HANDBOOK FOR EVALUATING REMEDIAL ACTION TECHNOLOGY
PLANS; EPA-600/2-83-076
2308 18 HANDBOOK FOR STABILIZATION/SOLIDIFICATION OF
HAZARDOUS WASTE; EPA/540/2-86-001
2309 19 HANDBOOK REMEDIAL ACTION AT WASTE DISPOSAL SITES
(REVISED); EPA/625/6-85/006
2310 20 LEACHATE PLUME MANAGEMENT; EPA/540/2-85/004
2311 20 MOBILE TREATMENT TECHNOLOGIES FOR SUPERFUND
WASTES; EPA/540/2-86-003F
06/01/86 COM/WOODWARD-CLYDE/ROY F. WESTON
BARTH. E./OERR
05/28/85 CDM/WOODWARD-CLYDE/ROY F.
WESTON/C.C. JOHNSON BARTH. E.
AND BIXLER, B./OERR
08/01/83 EHRENFELD. J. AND BASS.
J./ARTHUR D. LITTLE INC. PAHREN.
06/01/86 CULL INAME JR., M.J. ET. AL./U.S.
COE/WES HOUTHOOFD,
10/01/85 ORD/HWERL/ OSWER/OERR
11/01/85 REPO, E. AND KUFS. C./JRB
ASSOCIATES BARKLEY, N./EPA
09/01/86 CAMP, DRESSER, AND MCKEE INC.
GALER, L.D./HRSD
39
135
439
125
560
590
130
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CAfiF NO. 11
M?/03/°?
-INDEX-
COMPENDIUM Or CERCLA RESPONSE
Doc
No
Vol Title/ID Number
SELECTION GUIDANCE DOCUMENTS
Date Authors
= = S = =33 32=33333
•••• RI/FS - Other Technologies
2312 21 PRACTICAL GUIDE-TRIAL BURNS FOR HAZARDOUS WASTE
INCINERATORS; EPA/600/2-86/050
?313 21 PRACTICAL GUIDE-TRIAL BURNS FOR HAZARDOUS WASTE
INCINERATORS. PROJECT SUMMARY; EPA/600/S2-86/050
2314 21 PROHIBITION ON THE PLACEMENT OF BULK LIQUID
HAZARDOUS WASTE IN LANDFILLS-STATUTORY
INTERPRETIVE GUIDANCE; OSWER IW487.00-2A
2515 21 REVIEW OF IN PLACE TREATMENT TECHNIQUES FOR
CONIAMINATED SURFACE SOILS-VOL. 2: BACKGROUND
INFORMAITON FOR IN-SITU TREATMENT;
EPA-540/2-84-003b
?316 21 REVIEW OF IN-PLACE TREATMENT TECHNIQUES FOR
CONTAMINATED SURFACE SOILS-VOL. 1: TECHNICAL
EVALUATION; EPA/540/2-84-003s
2317 22 SLURRY TRENCH CONSTRUCTION FOR POLLUTION MIGRATION
CONTROL; EPA/540/2-84-001
2318 22 SYSTEMS TO ACCELERATE IN SITU STABILIZATION OF
WASTE DEPOSITS; EPA 540/2-86/002
2319 22 TECHNOLOGY SCREENING GUIDE FOR TREATMENT OF CERCLA
SOILS AND SLUDGES; EPA 540/2-88/004
2320 22 TREATMENT TECHNOLOGY BRIEFS: ALTERNATIVES TO
HAZARDOUS WASTE LANDFILLS; EPA/600/8-86/017
04/01/86 GORMAN. P., ET. AL./MIDWEST
RESEARCH INSTITUTE OBERACKER,
D.A./HWERL
07/01/86 GORMON. P.. ET.AL./MIDWEST
RESEARCH INSTITUTE OBERACKER.
06/11/86 OSWER/OSW
11/01/84 SIMS, R.C., ET.AL./-JRB
ASSOCIATES BARKLEY. N./MERL
09/19/84 OSWER/OERR/ ORD/MERL
02/01/84 OERR/ ORD/MERL
09/01/86 AMDURER. M., ET.AL./ENVIROSPHERE
CO. GRUBE, W./HWERL
09/01/88 OSWER/OERR
07/01/86 HWERL
Super
No. Pages
X=3£* 33333
63
35
350
165
220
285
130
35
-------
-INDEX-
COMPENDIUH OF CERCLA RESPONSE
CAGt NO. 12
(W03/92
Doc
No Vol Title/ID NuNber
•*•* Rl/FS - Other Technologies
7321 33 ADVANCING THE USE OF TREATMENT TECHNOLOGIES FOR
SUPERFUND REMEDIES; OSUER *9355.0-26
2322 33 GUIDE TO TREATMENT TECHNOLOGIES FOR HAZARDOUS
UASTES AT SUPERFUNO SITES; EPA/540/2-89/052
2323 33 INNOVATIVE TECHNOLOGY - BEST SOLVENT EXTRACTION
PROCESS (QUICK REFERENCE FACT SHEET]; OSUER
*9200.5-253FS
2324 33 INNOVATIVE TECHNOLOGY - GLYCOLATE DEHALOGENATION
(QUICK REFERENCE FACT SHEET]; OSUER *9200.5-254FS
2325 33 INNOVATIVE TECHNOLOGY - IN-SITU VITRIFICATION
[QUICK REFERENCE FACT SHEET]; OSUER *9200.5-251FS
2326 33 INNOVATIVE TECHNOLOGY - SLURRY-PHASE
BIODEGRADATION (QUICK REFERENCE FACT SHEET);
OSUER 09200.5-252FS
2327 33 INNOVATIVE TECHNOLOGY - SOIL HASHING [QUICK
REFERENCE FACT SHEET]; OSUER (W200.5-250FS
2328 33 TECHNOLOGICAL APPROACHES TO THE CLEANUP OF
RADIOLOGICALLY CONTAMINATED SUPERFUND SITES;
EPA/540/2-88/002
*••• Rl/FS - Ground-Uater Monitoring I Protection
2400 23 CRITERIA FOR IDENTIFYING AREAS OF VULNERABLE
HYDROGEOLOGY UNDER RCRA: STATUTORY INTERPRETIVE
GUIDANCE; OSUER «9472.00-2A
SELECTION GUIDANCE DOCUMENTS
Date Authors
======== ====================
Super
No. Pages
02/21/89 OERR/OUPE
03/01/89 RREL
11/01/89 OSUER
11/01/89 OSUER
11/01/89 OSUER
11/01/89 OSUER
11/01/89 OSUER
08/01/88 ORD
07/01/86 OSUER/OSU
26
120
950
-------
NO. 13
-INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
?/.()?
Vol Title/ID Number
=== = = = = = = = = = ====== ===*==rsKssa=«*n*x«rs«se===s = = =:==r==
RI/FS - Ground-Water Monitoring I Protection
24 FINAL RCRA COMPREHENSIVE GROUND-WATER MONITORING
EVALUATION (CME) GUIDANCE DOCUMENT; OSWER *9950,2
24 GROUND-WATER MONITORING AT CLEAN-CLOSING SURFACE
IMPOUNDMENT AND WASTE PILE UNITS; OSWER
#9476.00-14
?403 24 GROUND-WATER PROTECTION STRATEGY;
EPA/440/6-6% J002
II. GUIDELINES FOR GROUND-WATER CLASSIFICATION UNDER
W. {PA GROUND-WATER PROTECTION STRATEGY (DRAFT)
21. OPERATION AND MAINTENANCE INSPECTION GUIDE (RCRA
GROUND-WATER MONITORING SYSTEMS); OSWER 09950-3
24 PROTOCOL FOR GROUND-WATER EVALUATIONS; OSWER
#9080.0-1
25 RCRA GROUND-WATER MONITORING TECHNICAL ENFORCEMENT
GUIDANCE DOCUMENT (TEGD); OSWER «9950.1
25 RCRA GROUND-WATER MONITORING TECHNICAL ENFORCEMENT
GUIDANCE DOCUMENT, TEGD: EXECUTIVE SUMMARY;
OSWER f9950.1-a
34 A GUIDE ON REMEDIAL ACTIONS FOR CONTAMINATED
GROUND WATER (QUICK REFERENCE FACT SHEET); OSWER
*9283.1-2FS
34 CONSIDERATIONS IN GROUND WATER REMEDIATION AT
SUPERFUND SITES; OSUER #9355.4-03
?407
2408
2409
AH)
Date Authors
12/19/86 LUCERO, G.A./OWPE
03/31/88 PORTER, J.W./OSWER
08/01/84 OFFICE OF GROUND-WATER
PROTECTION
12/01/86 OFFICE OF GROUND-WATER
PROTECTION
03/30/88 OSWER/OWPE/RCRA ENFORCEMENT
DIVISION
09/01/86 HAZARDOUS WASTE GROUND WATER
TASK FORCE
09/01/86 EPA
07/01/87 LUCERO, G.A./OWPE
04/01/89 OSWER
10/18/89 OSWER
Super
No. Pages
===== =====
55
65
600
50
200
270
-------
I'AI.I NO. U
n?/t)5/92
-INDEX-
CQMPENOIUM OF CERCLA RESPONSE
llnr
No Vol Title/ID Number
~~~~ = = = =l~ = = = = = = ===== =====3:====a3asxaaae«fir===a
•"* RI/FS - Ground-Water Monitoring t Protection
34 DETERMINING SOIL RESPONSE ACTION LEVELS BASED ON
POTENTIAL CONTAMINANT MIGRATION TO GROUNDUATER: A
COMPENDIUM OF EXAMPLES; EPA/540/2-89/057
?412 34 EVALUATION OF GROUND -WATER EXTRACTION
REMEDIES-VOLUME 1 SUMMARY REPORT;
EPA/540/2-89/054
34 GUIDANCE ON REMEDIAL ACTIONS FOR CONTAMINATED
GROUND WATER AT SUPER FUND SITES; OSUER #9283.1-2
*** Secondary References ••*
50K 34 CONTROL OF AIR EMISSIONS FROM SUPER FUND AIR
STRIPPERS AT SUPERFUND GROUNDUATER SITES; OSUER
#9533.0-28
SELECTION GUIDANCE DOCUMENTS
Date Authors
10/01/89 OERR
09/01/89 OERR
12/01/88 OERR
06/15/89 OSWER/OAQPS
Super
No. Pages
144
60
125
**** ARARs
3000 25 APPLICABILITY OF THE HSWA MINIMUM TECHNICAL
REQUIREMENTS RESPECTING LINERS AND LEACHATE
COLLECTION SYSTEMS; OSUER •9480.01(85)
3001 25 CERCLA COMPLIANCE WITH OTHER ENVIRONMENTAL
STATUTES; OSWER #9234.0-2
3002 25 CERCLA COMPLIANCE WITH OTHER LAWS MANUAL (DRAFT);
OSUER #9234.1-01
3003 25 ERA'S IMPLEMENTATION OF THE SUPERFUND AMENDMENTS
AND REAUTHORIZATION ACT OF 1986
04/01/85 SKINNER. J./OSW
10/02/85 PORTER. J.W./OSWER
08/08/88 OERR
05/21/87 THOMAS, L. M./EPA
19
245
-------
r»r,F NO. IS
ti?/03/92
nor
Vol Title/ID Nunfcer
ARARs
- INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
Date Authors
Super
No. Pages
== ===== S==£S
25 GUIDANCE MANUAL ON THE RCRA REGULATION OF RECYCLED
HAZARDOUS WASTES; OSUER *9441.00-2
3005 25 INTERIM RCRA/CERCLA GUIDANCE ON NON- CONTIGUOUS
SITES AND ON-SITE MANAGEMENT OF WASTE AND
TREATMENT RESIDUE; OSUER *9347.0-1
3006 34 ARARs O'S & A'S (QUICK REFERENCE FACT SHEET);
OSUER 09234. 2-01FS
03/01/86 INDUSTRIAL ECONOMICS, INC. OSU
03/27/86 PORTER, J.U./OSWER
05/01/89 OSUER
3SO
3007 14 ARARs SHORT GUIDANCE QUARTERLY REPORT (QUICK
REFERENCE FACT SHEET]; OSUER #9234.3-001
5008 34 ARARs SHORT GUIDANCE QUARTERLY REPORT [QUICK
REFERENCE FACT SHEET]; OSUER #9234.3 001
1009 34 CERCLA COMPLIANCE WITH OTHER LAWS MANUAL - CERCLA
COMPLIANCE WITH STATE REQUIREMENTS (QUICK
REFERENCE FACT SHEET]; OSUER 19234.2-05FS
3010 34 CERCLA COMPLIANCE WITH OTHER LAWS MANUAL - CERCLA
COMPLIANCE UUH THE CUA AND SOUA (QUICK REFERENCE
FACT SHEET); OSUER *9234.2-06FS
3011 34 CERCLA COMPLIANCE UITH OTHER LAWS MANUAL -
OVERVIEW OF ARARs - FOCUS ON ARAR WAIVERS (QUICK
REFERENCE FACT SHEET]; OSUER W234.2-03FS
3012 34 CERCLA COMPLIANCE UITH OTHER LAWS MANUAL - SUMMARY
OF PART II - CAA, TSCA, AND OTHER STATUTES (QUICK
REFERENCE FACT SHEET); OSWER (H9234.2-07FS
12/01/89 OSUER
03/01/90 OERR/OPM
12/01/89 OSWER
02/01/90 OSWER
12/01/89 OSWER
04/01/90 OERR/OPM
-------
p*r,r MO. 16
(W03/92
Hoc
No Vol Title/ID Nuifcer
" = = = = = = = ~=======s=====
*•*• ARARs
-INDEX-
COMPENDIUM OF CERCL* RESPONSE
SELECTION GUIDANCE DOCUMENTS
Date Authors
Super
No. Pages
3013 34 CERCLA COMPLIANCE WITH OTHER LAWS MANUAL PART II:
CLEAN AIR ACT AND OTHER ENVIRONMENTAL STATUTES AND
STATE REQUIREMENTS; OSUER 419234.1-02
3014 34 CONTROL OF AIR EMISSIONS FROM SUPER FUND AIR
STRIPPERS AT SUPERFUNO GROUNDUATER SITES; OSUER
#9533.0-28
08/01/89 OERR
06/15/89 OSUER/OAOPS
175
3015 34 INTERIM GUIDANCE ON ESTABLISHING SOIL LEAD CLEANUP
LEVELS AT SUPERFUND SITES; OSUER 09355.4-02
3016 34 IANO DISPOSAL RESTRICTIONS AS RELEVANT AND
APPROPRIATE REQUIREMENTS FOR CERCLA CONTAMINATED
SOIL AND DEBRIS; OSUER 09347.2-01
5017 34 RCRA ARARs: FOCUS ON CLOSURE REQUIREMENTS [QUICK
REFERENCE FACT SHEET); OSUER 09234.2-04FS
3018 34 TREATMENT STANDARDS AND MINIMUM TECHNOLOGY
REQUIREMENTS UNDER LAND DISPOSAL RESTRICTIONS
(LDR); OSUER 09347.3-03FS
•** Secondary References ***
2014 33 GUIDANCE ON REMEDIAL ACTIONS FOR SUPERFUNO SITES
UITH PCB CONTAMINATION; OSUER 09355.4-01
2208 15 RCRA GUIDANCE DOCUMENT: LANDFILL DESIGN LINER
SYSTEMS AND FINAL COVER (DRAFT)
?213 33 APPLICABILITY OF LAND DISPOSAL RESTRICTIONS TO
RCRA AND CERCIA GROUND UATER TREATMENT REINJECTION
SUPERFUND MANAGEMENT REVIEW: RECOMMENDATION
wj ^t>. OSgft IT92V4.1 06
09/01/89 OERR
06/05/89 OERR
10/01/89 OSUER
07/01/89 OSUER
08/01/90 OERR
07/01/82 EPA
12/27/89 CLAY. D.R./OUSER
150
30
-------
PAGf NO. 17
f)?/03/92
Hoc
Vnl Title/ID Nunber
-INDEX-
COMPENOIUN OF CERCL* RESPONSE SELECTION GUIDANCE DOCUMENTS
Date Authors
Super
No. Pages
~~~- ~~'~ = = = = = =================3*»3=*«3»»B«**»a=css=;e========3 ======== =======s======sr==r===============s
**** ARARs
*** Secondary References cont. **•
7218 33 SUPERFUND LDR GUIDE 05 DETERMINING UHEN LAND 07/01/89 OERR
DISPOSAL RESTRICTIONS (LORs) ARE APPLICABLE TO
CERCLA RESPONSE ACTIONS; OSUER 09347.3-05FS
33 SUPERFUND LDR GUIDE 06A OBTAINING A SOIL AND 07/01/89 OERR
DEBRIS TREATABILITY VARIANCE FOR REMEDIAL ACTIONS;
OSUER 09347.3-06FS
2220 33 SUPERFUNO LDR GUIDE 07 DETERMINING WHEN LAND
DISPOSAL RESTRICTIONS (LDRs) ARE RELEVANT AND
APPROPRIATE TO CERCLA RESPONSE ACTIONS; OSUER
09M7.3-08FS
2400 23 CRITERIA FOR IDENTIFYING AREAS OF VULNERABLE
HYDROGEOLOGY UNDER RCRA: STATUTORY INTERPRETIVE
GUIDANCE; OSUER 09472.00-2A
2401 24 FINAL RCRA COMPREHENSIVE GROUND-WATER MONITORING
EVALUATION (CME) GUIDANCE DOCUMENT; OSUER 09950.2
2405 24 OPERATION AND MAINTENANCE INSPECTION GUIDE (RCRA
GROUNO-UATER MONITORING SYSTEMS); OSUER f9950-3
2407 25 RCRA GROUND-UATER MONITORING TECHNICAL ENFORCEMENT
GUIDANCE DOCUNENT(TEGD); OSUER #9950.1
2408 25 RCRA GROUND-UATER MONITORING TECHNICAL ENFORCEMENT
GUIDANCE DOCUMENT, TEGD: EXECUTIVE SUMMARY;
OSUER «9950.1-a
12/01/89 OERR
07/01/86 OSUER/OSU
12/19/86 LUCERO. G.A./OWPE
03/30/88 OSWER/OUPE/RCRA ENFORCEMENT
DIVISION
09/01/86 EPA
07/01/87 LUCERO, G.A./OWPE
950
55
SO
270
-------
I'AM NO. 18
IWDJ/92
-INDEX-
CONPEND1UM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
Dor
No Vol Title/ID Number
**•• ARARs
•** Secondary References cont. •••
9001 32 RCRA/CERCLA DECISIONS MADE ON REMEDY SELECTION
•*** Uater Quality
Date Authors
Super
No. Pages
06/24/85 KILPATRICK. N./COMPLIANCE
BRANCH. OUPE
4000 26 ALTERNATE CONCENTRATION LIMIT GUIDANCE PART 1, ACL 07/01/87 OSW/UMD
POLICY AND INFORMATION REQUIREMENTS; OSWER
*9481.00-6C
4001 26 GUIDANCE DOCUMENT FOR PROVIDING ALTERNATE UATER
SUPPLIES; OSUER K9355.3-03
02/01/88 OERR
4002 26 INTERIM FINAL GUIDANCE ON REMOVAL ACTION LEVELS AT 10/06/07 OSUER/OERR
CONTAMINATED DRINKING UATER SITES; OSUER
#9360.1-01
4003 26 QUALITY CRITERIA FOR UATER 1986; EPA/440/5-86-001 OS/01/87 OFFICE OF UATER REGULATIONS AND
STANDARDS
*•* Secondary References ***
1005 1 INFORMATION ON DRINKING UATER ACTION LEVELS
2301 16 CARBON ABSORPTION ISOTHERMS FOR TOXIC ORGANICS;
EPA/600/8-80-023
•*** Risk Assessment
SOOO 27 ATSDR HEALTH ASSESSMENTS ON NPL SITES (DRAFT)
04/19/88 FIELDS, JR.. T./OSWER/ERD
04/01/80 DOBBS, R.A./MERL COHEN,
J.N./MERL
06/16/86 DEPT. OF HEALTH AND HUMAN
SERVICES/ATSDR
124
64
325
17
321
14
-------
!•»(,( NO. 19
- INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
No Vol Title/ID Number Date
---= " = ==========**=========*=====«»=«»*»»»»»=============== =====
••** Risk Assessment
Super
Authors No. Pages
= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = «» V»SB
snoi 27 CHEMICAL, PHYSICAL i BIOLOGICAL PROPERTIES OF
COMPOUNDS PRESENT AT HAZARDOUS WASTE SITES; OSUER
#9850.3
09/27/85 CLEMENT ASSOCIATES, INC.
320
5002 27 FINAL GUIDANCE FOR THE COORDINATION OF ATSOR
HEALTH ASSESSMENT ACTIVITIES WITH THE SUPERFUND
REMEDIAL PROCESS; OSUER #9285.4-02
5003 27 GUIDELINES FOR CARCINOGEN RISK ASSESSMENT (FEDERAL
REGISTER, SEPTEMBER 24. 1986, p. 33992)
•>0(K 27 GUIDELINES FOR EXPOSURE ASSESSMENT (FEDERAL
REGISTER. SEPTEMBER 24. 1986, p. 34042)
SOUS 27 GUIDELINES FOR HEALTH ASSESSMENT OF SUSPECT
DEVELOPMENTAL TOXICANTS (FEDERAL REGISTER,
SEPTEMBER 24. 1986, p. 34028)
5006 27 GUIDELINES FOR MUTAGENICITT RISK ASSESSMENT
(FEDERAL REGISTER, SEPTEMBER, 24, p. 34006)
5007 27 GUIDELINES FOR THE HEALTH RISK ASSESSMENT OF
CHEMICAL MIXTURES (FEDERAL REGISTER, SEPTEMBER 24,
1986. p. 34014)
5008 28* HEALTH EFFECTS ASSESSMENT DOCUMENTS (58 CHEMICAL
PROFILES); EPA/540/1-86/001-058
5009 31 INTEGRATED RISK INFORMATION SYSTEM (IRIS) [A
COMPUTER-BASED HEALTH RISK INFORMATION SYSTEM
AVAILABLE THROUGH E-MAIL--BROCHURE ON ACCESS IS
INCLUDED]
05/14/87 PORTER, J.U./OSUER/OERR/ ATSDR
09/24/86 EPA
09/24/86 EPA
09/24/86 EPA
09/24/86 EPA
09/24/86 EPA
09/01/84 ORD/OHEA/ECAO/ OSWER/OERR
/ / OHEA
22
13
14
14
13
1750
-------
r«M NO. ?0
-INDEX
COMPENDIUM OF CERCLA RESPONSE
SELECTION GUIDANCE DOCUMENTS
()"{
No
Vol Title/ID Nuifcer
"= = = = :: = === = z = = = = = = = 3aa = x33a»saa«Mm««a»a»eaaaaaaaa = sa = =
Risk Assessment
Date Authors
Super
No. Pages
MHO 31 INTERIM POLICY FOR ASSESSING RISKS OF "01 OX INS"
OTHER THAN 2.3.7.8 TCDD
Mill 31 PUBLIC HEALTH RISK EVAUATION DATABASE (PHRED)
(USER'S MANUAL AND TUO DISKETTES CONTAINING THE
OBASEIII PLUS SYSTEM ARE INCLUDED)
01/07/87 THOMAS, L.M./EPA
09/16/88 OERR/TOXICS INTEGRATION BRANCH
50
18
Mil? 31 ROLE OF ACUTE TOXICITY BIOASSAYS IN THE REMEDIAL
ACTION PROCESS AT HAZARDOUS WASTE SITES;
EPA/600/8-87/044
08/01/87 ATHEY. L.A., ET.AL./PACIFIC
NORTHWEST LABORATORY MILLER.
W.E./CORVALLIS ENVIRONMENTAL
RESEARCH LAB
106
SOU 31 SUPERFUND EXPOSURE ASSESSMENT MANUAL; OSWER
#9285.5 1
SOU 31 SUPERFUND PUBLIC HEALTH EVALUATION MANUAL; OSUER
#9285.4-1
S015 31 TOXICOLOGY HANDBOOK; OSWER #9850.2
5016 35 AIR/SUPERFUNO NATIONAL TECHNICAL GUIDANCE STUDY
SERIES VOLUME I - APPLICATION OF AIR PATHWAY
ANALYSES FOR SUPERFUND ACTIVITIES
5017 35 AIR/SUPERFUNO NATIONAL TECHNICAL GUIDANCE STUDY
SERIES VOLUME II - ESTIMATION OF BASELINE AIR
EMISSIONS AT SUPERFUND SITES; EPA/450/1-89/002
501S 36 AIR/SUPERFUNO NATJONAL TECHNICAL GUIDANCE STUDY
SERIES VOLUME III - ESTIMATION OF AIR EMISSIONS
FROM CLEANUP ACTIVITIES AT SUPERFUND SITES;
[PA/450/1 B9/003
04/01/88 OERR
10/01/86 OERR OSWER
08/01/85 LIFE SYSTEMS, INC. /TYBURSKI,
T.E./OWPE
12/01/88 EPA REGION III/NUS CORP.
01/01/89 OAQPS/RADIAN CORP.
01/01/89 OAOPS/RADIAN CORP
160
500
126
90
235
230
-------
PAGE NO. 21
0?/03/92
-INOEX-
COMPENDIUM OF CERCLA RESPONSE
Doc
Mo
Vol Title/10 Nunber
SELECTION GUIDANCE DOCUMENTS
Date Authors
**•* Risk Assessment
5019 36 AIR/SUPERFUND NAT'I TECHNICAL GUIDANCE STUDY
SERIES - VOLUME IV PROCEDURES FOR DISPERSION
MODELING AND AIR MONITORING FOR AIR PATHWAY
ANALYSES (DRAFT)
5030 37 EXPOSURE FACTORS HANDBOOK; EPA/600/6-89/043
5021 37 GUIDANCE FOR SOIL INGEST ION RATES; OSUER 09850.4
5022 37 OPTIONS FOR INTERIM POLICY FOR SOIL IMGESTION
ASSUMPTIONS
5023 37 RISK ASSESSMENT GUIDANCE FOR SUPERFUND, VOLUME I,
HUMAN HEALTH EVALUATION MANUAL; OSUER
•9285.7-OlB
5024 37 RISK ASSESSMENT GUIDANCE FOR SUPERFUND. VOLUME II.
ENVIRONMENTAL EVALUATION MANUAL; EPA/540/1-89/001
5025 37 THE REMEDIAL INVESTIGATION - SITE CHARACTERIZATION
AND TREATABILITY STUDIES [QUICK REFERENCE FACT
SHEET]; OSWER *9355.3-01FS2
5026 37 TOXICOLOGICAL PROFILE FOR 1. 4 * DICHLOROBENZENE
5027 37 TOXICOLOGICAL PROFILE FOR 2, 3. 7. 8 -
TETRACHLORO-DIBENZO-P-DIOXIN
50Z8 37 TOXICOLOGICAL PROFILE FOR ARSENIC
5029 38 TOXICOLOGICAl PROFILE FOR BENZENE
12/01/88 EPA REGION III/NUS CORP.
07/01/89 OHEA
01/27/89 OSUER
10/04/88 EPA
09/29/89 OERR
03/01/89 OERR
11/01/89 OSUER
01/01/89 ATSOR
06/01/89 ATSOR
03/01/89 ATSOR
05/01/89 ATSDR
Super
No. Pages
295
285
3
5
290
57
95
129
125
173
-------
PAGf NO.
0?/03/92
Ooc
No Vol
*•** Risk
5030
5031
5033
5033
5034
5035
5036
5037
5038
5039
5040
5041
38
38
38
38
38
39
39
39
39
39
39
39
22
Title/ID Number
Assessment
TOXICOLOGICAL
TOXICOLOGICAL
TOXICOLOGICAL
TOXICOLOGICAL
PROFILE
PROFILE
PROFILE
PROFILE
- INDEX -
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
Date Authors
FOR
FOR
FOR
FOR
BERYLLIUM
CADMIUM
CHLOROFORM
CHROMIUM
TOXICOLOCICAL PROFILE FOR
DK2-ETHYLHEXYDPHTHALATE
TOXICOLOGICAL
E POX IDE
TOXICOLOGICAL
TOXICOLOGICAL
TOXICOLOGICAL
TOXICOLOGICAL
(AROCLOR-1260
AND -1016)
TOXICOLOGICAL
TOXICOLOGICAL
PROFILE
PROFILE
PROFILE
PROFILE
PROFILE
, -125*.
PROFILE
PROFILE
FOR
FOR
FOR
FOR
HEPTACHLOR/HEPTACHLOR
METHYLENE CHLORIDE
N-NITRO SODIPHENYLANINE
NICKEL
FOR SELECTED PCBs
-12*8. -12*2. -1232. -1221.
FOR
FOR
TRICHLOROETHYLENE
VINYL CHLORIDE
12/01/88
03/01/89
01/01/89
07/01/89
04/01/89
04/01/89
04/01/89
12/01/88
12/01/88
06/01/89
10/01/89
08/01/89
ATSOR
ATSOR
ATSOR
ATSOR
ATSOR
ATSDR
ATSDR
ATSOR
ATSOR
ATSDR
ATSOR
ATSOR
Super
No. Pages
91
107
115
135
119
109
111
65
111
135
139
107
*** Secondary References **•
2015 33 GUIDE FOR CONDUCTING TREATABILITY STUDIES UNDER
CERCLA; INTERIM FINAL;; EPA/540/2-89/058
12/01/89 ORD/OERR
118
-------
r»r,E NO. ?3
0?/03/92
-INDEX-
COMPENDIUM OF CERCLA RESPONSE
Doc
No Vol Title/ID Nunfcer
••'•• Risk Assessment
**• Secondary References cont. •**
?020 33 TREATABILITY STUDIES UNDER CERCLA: AN OVERVIEW
[QUICK REFERENCE FACT SHEET); OSWER «9380.3-02FS
8000 32 ENDANGERMENT ASSESSMENT GUIDANCE; OSWER 09850.0-1
•••• Cost Analysis
6000 32 REMEDIAL ACTION COSTING PROCEDURES MANUAL
6001 32 REMOVAL COST MANAGEMENT MANUAL; OSWER f°360.0-02B
•*• Secondary References **•
1001 1 COSTS OF REMEDIAL RESPONSE ACTIONS AT UNCONTROLLED
HAZARDOUS WASTE SITES
1003 1 ENVIRONMENTAL REVIEW REQUIREMENTS FOR REMOVAL
ACTIONS; OSWER 19318.0-05
*••* Community Relations
7000 32 COMMUNITY RELATIONS IN SUPERFUND: A HANDBOOK
(INTERIM VERSION); OSWER *9230.0-03B
**** Enforcement
8000 32 ENDANGERMENT ASSESSMENT GUIDANCE; OSWER «9850.0-1
SELECTION GUIDANCE DOCUMENTS
Date Authors
12/01/89 OSWER
11/22/85 PORTER, J.W./OSWER
10/01/87 JRB ASSOCIATES/CH2N HILL
ORD/NERL OSWER/OERR
M/01/88 OSWER/OERR
01/01/81 RISHEL, H.L., ET.AL./SCS
ENGINEERS ALBRECHT. O.W./MERL
04/13/87 OERR/ERD
06/01/88 OERR
11/22/85 PORTER. J.W./OSWER
Super
No. Pages
11
56
170
164
188
11
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l'*(,r NO. 24
(W05/92
Doc
No Vol Title/ID Nunber
•••* Enforcement
-INDEX-
COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS
ZSS5SX=S=S==Z
Date Authors
XZS===S= KSXSXSSr
Super
No. Pages
=s=s=ss=s==== as
8001 32 INTERIM GUIDANCE ON POTENTIALLY RESPONSIBLE PARTY
PARTICIPATION IN REMEDIAL INVESTIGATIONS AND
FEASIBILITY STUDIES; OSUER *9835.1a
••• Secondary References *••
2016 33 MODEL STATEMENT OF WORK FOR A REMEDIAL
INVESTIGATION AND FEASIBILITY STUDY CONDUCTED BY
POTENTIALLY RESPONSIBLE PARTIES; OSUER 09835.8
•*** Selection of Remedy/Decision Documents
9000 32 INTERIM GUIDANCE ON SUPER FUND SELECTION OF REMEDY;
OSUER 09355.0 19
9001 32 RCRA/CERCLA DECISIONS MADE ON REMEDY SELECTION
9002 39 A GUIDE TO SELECTING SUPERFUND REMEDIAL ACTIONS;
OSUER *9355.0-27FS
05/16/88 PORTER, J.U./OSUER
37
06/02/89 OWPE
12/24/86 PORTER. J.U./OSUER
06/24/85 KILPATRICK, M./COMPLIANCE
BRANCH, OUPE
04/01/90 OERR/HSCO
31
10
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DATA ELEMENT
The data elements of the Compendium database, as.identified on the index, are
beiow:
DATA ELEMENT
Doc No
Vol
Title
Date
Authors
Sums
Pages
Tier
DEFINITION
JJnique four-digit number assigned to a document included
in the Compendium according to category.
Volume number of the binder in which the hard copy of
the document is contained.
Title of the document. Secondary Reftreace is identified
following the title when a document relates to more than
one category. The document itself is filed under the
number series assigned to its primary category.
The date the document was published by or released from
the issuing offict or entity.
Authors) and affiliation(s). Also includes identification of
the EPA Project Officer and issuing office, where
applicable.
Indicates the status of a document, either draft or final
version.
Total number of printed pages of the document, including
any attachments.
Tier 1 or Tier 2. Tier 1 documents are the core documents
of the Compendium as listed in the pamphlet titled
•Selected Technical Guidance for Superfund Projects.'
compiled by OERJL Tier 2 documents are all other
documents included in the Compendium.
Attachments to a document by complete or abbreviated
title.
EPA report or OSWER Directive System number?, where
applicable.
83
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LIST OF ORGANIZATIONAL ABBREVIATIONS AND ACRONYMS inFNTTFIED fN THf
Agency for Toxic Substances and Disease Registry
Center for Environmental Research Information
Contract Laboratory Program
U.S. Corps of Engineers
Exposure Assessment Research Division
Environmental Criteria and Assessment Office
Environmental Monitoring Systems Laboratory
Emergency Response Division
Environmental Research Laboratory
Hazardous Response Support Division
Hazardous Site Control Division
Hazardous Site Evaluation Division
Hazardous Waste Engineering Research Laboratory
Municipal Environmental Research Laboratory
Office of Environmental Engineering and Technology
Office of Emergency and Remedial Response
Office of Health Effects Assessment
Office of Research and Development
Office of SoUftltoi
Office of SoUiWkM and Emergency Response
Office of Waste Programs Enforcement
Policy Analysis Staff
Waterways Experiment Station
Waste Management Division
Acronym
ATSDR
CERI
CLP
COE
EARD
ECAO
EMSL
ERD
ERL
HRSD
HSCD
HSED
HWERL
MERL
OEET
OERR
OHEA
ORD
OSW
OSWER
OWPE
PAS
WES
WMD
84
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APPENDIX P
MODEL TRANSMITTAL COVER LETTER
[Name of Contact]
[Address]
Dear [Name of Contact]:
The U.S. Environmental Protection Agency is required by law to
establish administrative records "at or near a facility at issue."
This administrative record consists of information upon which the
Agency bases its selection of response action for a particular
Superfund site.
By providing the public with greater access to these records, it
is our hope that they will be better equipped to comment
constructively on site activities and to understand the issues
relating to the selection of the response action at the site.
We appreciate having the [Name of local repository] as the
designated administrative record facility for the [Name of site]
Superfund site. The enclosed record files, along with any future
documents relating to technical activities at the site should be
placed in the [Name of local repository] and be available for public
review. The record files should be treated as a non-circulating
reference - it should not be removed from your facility.
Also enclosed is a fact sheet to assist you and your staff in
answering questions posed by the public concerning administrative
records for selection of response actions at Superfund sites.
Please feel free to distribute this guide to the public.
To ensure the receipt of the administrative record file, I would
appreciate your completion of the attached Document Transmittal
Acknowledgment form. Please return this form in the enclosed self-
addressed, stamped envelop*.
Again, I would Ilk* to than* you for your cooperation with the
U.S. EPA in serving as a Field Repository. If you have any
questions or comments, please contact [Name of EPA contact] at
[Phone No.].
Sincerely,
[Name]
Administrative Record Coordinator
85
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APPENDIX G
MODEL DOCUMENT TRANSMITTAL ACKNOWLEDGMENT
Proa: [Regional Office Address]
To: [Field Repository Address]
I acknowledge that I have received the following documents from the
U.S. EPA Region Office, pertaining to [Site Name] Superfund
site.
Administrative Record Name - rsite Name!
Administrative Record Document Numbers -
Signed
Date
Please return this form to: [Regional Office Address]
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APPENDIX H
PACT SHEET
Records in Local RePoaitoriM
The "administrative record" is the collection of documents which
form the basis for the selection of a response action at a Superfund
site. Under section 113(k) of the Comprehensive Environmental
Response, Compensation, and Liability Act, as amended by the
Superfund Amendments and Reauthorization Act (CERCLA), EPA is
required to establish an administrative record for every Superfund
response action and to make a copy of the administrative record
available at or near the site.
The administrative record file must be reasonably available for
public review during normal business hours. The record file should
be treated as a non-circulating reference document. This will allow
the public greater access to the volumes and also minimize the risk
of loss or damage. Individuals may photocopy any documents
contained in the record file, according to the photocopying
procedures at the local repository.
The documents in the administrative record file may become
damaged or lost during use. If this occurs, the local repository
manager should contact the EPA Regional Office for replacements.
Documents may be added to the record file as the site work
progresses. Periodically, EPA may send supplemental volumes and
indexes directly to the local repository. These supplements should
be placed with the initial record file.
The administrative record file will be maintained at the local
repository until further notice. Questions regarding the
maintenance of the record file should be directed to the EPA
Regional Office.
The Agency welcomes comments at any time on documents contained
in the administrative record file. Please send any such comments to
[name and address]. The Agency may hold formal public comment
periods at certain stage* of response process. The public is urged
to use these formal reviev periods to submit their comments.
For further information on the administrative record file,
contact [name as* phone no. of Administrative Record Coordinator].
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APPENDIX I
MODEL NOTICE OF PUBLIC AVAILABILITY
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
ANNOUNCES THE AVAILABILITY OF THE
ADMINISTRATIVE RECORD
XYZ SITE, [Locality, State]
The U.S. Environmental Protection Agency (EPA) announces the
availability for public review of files comprising the
administrative record for the selection of the .[remedial, removal]
action at the XYZ site, [Locality, State]. EPA seeks to inform the
public of the availability of the record file at this repository and
to encourage 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 [remedial, removal] action at this
site. Documents now in the record files include [preliminary
assessment and site investigation reports, validated sampling data,
RI/FS work plan, and the community relations plan], other documents
will be added to the record files as site work progresses. These
additional documents may include, but are not limited to, the RI/FS
report, other technical reports, additional validated sampling data,
comments and new data submitted by interested persons, and EPA
responses to significant comments.
The administrative record file is available for review during
normal business hours at:
[Repository Name] and U.S.EPA - Region Z
[Address and Phone I] [Address and Phone I]
Additional information is available at the following locations:
Verified sampling data - Contract laboratory,
and documentation [Address and Phone I]
Guidaase documents and - EPA-Region z
Leal literature [Address and Phone I]
written consents on the administrative record should be sent to:
[Name], Office of Public Affairs
U.S. EPA - Region Z
[Address and Phone I]
88
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APPENDIX J
MICROFORM APPROVAL MEMORANDUM
k UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
? WASHINGTON. O.C. 20460
' *
OCT 2 I »
C»*'CS Zf
MEMORANDUM
SUBJECT: Microfilming f.e Admin.strative Record
FROM: Edward J. Hanley, Director
Office of Information Resources Management
TO: Asa R. Frost, Jr., Director^
OSWER Information Management Staff
In accordance with EPA Records Management Manual, Chapter 6,
dated 7/13/8U, I approve OSWER's request for an
administrative record micrographic system for regional
hazardous waste management programs.
The feasibility study prepared for OWPE, entitled
"Assessment it the Suitability and Costs of Alternatives for
the Adminis:.-ative Record" (June 30, 1988), satisfactorily
documents and justifies the need for converting the
administrative record to microform. In particular, the
requirement under SARA to make the administrative record
publicly available at or near each hazardous waste site
makes microform a coat-effective storage medium.
Please inform each regional hazardous waste program of my
approval of OSWER's request and of the need to comply with
the remaining provisions of Chapter 6 of the EPA Records
Manual should the region proceed with implemanting an
administrative record micrographic system.
cc: SIRMOs, Region 1 - X
89
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APPENDIX K
MODEL CERTIFICATION
IN THE [NAME OF COURT]
UNITED STATES OF AMERICA,
Plaintiff,
v.
;NAMES OF DEFENDANTS]
Defendants,
'number]
v.
[NAMES OF THIRD PARTY
DEFENDANTS]
Third Party Defendants
CIVIL ACTION NO,
CERTIFICATION OF DOCUMENTS
COMPRISING THE ADMINISTRATIVE RECORD
The United States Environmental Protection Agency (EPA) hereby
certifies that the attached documents constitute the administrative
record for selection of response actions under the Comprehensive
Environmental Response Compensation and Liability Act or 1980, as
amended, for the [name of site] site in [City or County], [State].
By the United States Environmental Protection Agency:
In witness whereof I have subscribed my
name this day of , 19
in rcitvi
r signature!
r typed name
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APPENDIX L
PREAMBLE TO SUBPART I OF NCP
Subnan 1—^dministmiive Record for
Selection of Response Action
Subpan 1 of the NCP is entirely new.
It imptemenu CERCLA requirements
concerning the establishment of an
administrative record for selection of a
response action. Section 113(k)(l) of
CERCLA requires the establishment of
"an administrative record upon which
the President shall base the selection of
a response action.'* Thus, today's rule
requires the establishment of an
administrative record that contains
documents that form the basis for the
selection of a CERCLA response action.
la addition, section 113(k)(2) requires
the promulgation of regulations
establishing procedures for the
participation of interested persona in the
development of the administrative
record.
These regulations regarding the
administrative record include
procedures for public participation.
Because one purpose of the
administrative record is to facilitate
public involvement procedures for
91
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establishing and maintaining the record
«rp closely related to the procedures
governing public participation. General
community relations provisions found in
other parts of the proposed NCP are
addressed elsewhere in this preamble.
The following section* discuss the
major comments received on the
proposed subpart I and EPA's responses.
\crne General comments.
Proposed i-Lie: Subpart I details how
the administrative record is assembled.
maintained and made available to the
public.
Response to comments: Comments on
the administrative record regulations
included the suggestion that the
preamble provide a general statement
differentiating betweea the
administrative record and the
information repository.
EPA agrees that while subpart t
includes ample information on the
requirements of the administrative
record, a brief clarification would help
to differentiate the record from the
information repository.
The information repository includes a
diverse group of documents that relate
to a Superfund site and to the Supcrfund
program in general, including documents
on site activities, information about tha
site location, and background program
and policy guides. EPA requires an
information repository at all remedial
action sites and any site when a
removal action is likely to extend
beyond 120 days. The purpose of the
information repository is to allow open
and convenient public access to
documents explaining the action* taking
place at a site.
The administrative record discussed
in this subpart. by contrast ta the body
of documents that forms the basis pf the
agency's selection of a particular
response at a site. i.e.. documents
relevant to a response selection that the
lead agency relies on. as well as
relevant comments and information that
the lead agency considers but may reject
in the ultimate response) selection
decision. Thus, the record wfll include
documents the lead and support agency
generate. PRP and public comments, and
technical and site-specific reformation.
These document* occasionally overlap
with those included in the information
repository. The administrative record
includes such information as site-
specific data and comments, guidance
documents and technical reference*
used in the selection of the response
action. The information repository nuy
include guides to the Superfund process.
background information, fact sheets
press releases, maps, and other
information to aid public understancung
of a sue response, regardless of whether
the information has beanng on the
eventual response selection at that site.
One commenter felt that there was no
mechanism for PRPj to participate in the
development of the administrative
record. In response. PRPs are given a
chance to participate in the development
of the administrative record throughout
its compilation. EPA will make available
information considered in selecting the
response action to PRPs and others
through the administrative record file.
Interested persons may peruse the
record file, submit information to be
included in the administrative record
file, or may comment on its contents
during the ensuing public comment
period.
Same: Section 300JOO(a).
Establishment of an administrative
record. Section 300.810( a). Contents of
the administrative record.
Proposed rule: Section 113(k)(l) of
CERCLA states that the "President shall
establish an administrative record upon
which the President shall base the
selection of a response action." EPA
used similar language in | 300.800(a) of
the proposed rule; "The lead agency
shall establish an administrative record
that contains the documents that/o/m
the basi» for the selection of a response
action." (Emphasis added.) Section
300.ai
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rooerai
•record. These shouid be distinguished
from unvaiidated data—data thai have
not been through the quality control
process—which may in limittd
circumstances b« considered by tht
agency in selecting tht respon** action.
It is EPA'* policy to avoid using
(invalidated data whenever possible.
Nonetheless, there are times when the
need for action and the lack of validated
data requires the consideration of such
data in selecting an emergency removal
action. If such data are used, they will
be included in the record.
In general, only final documents are
included in the administrative record
files. Draft documents axe not part of the
record for a decision because they
generally are revised or superseded by
subsequent drafts and thus are not the
actual documents upon which the
decision-maker relies. However, drafts
(or portions of them) generally will be
included in the administrative record for
response selection if there is no final
document generated at the rime the
response is selected and the draft ia the
document relied on. In addition, a draft
which ha* been released to die public
for tha purpose of receiving coounaau ia
aiao part of the record, along with any
comments received.
Similarly, oredacisional aad
deliberative document*, such as staff
notea or staff policy recommendauons
or option* papers, do not generally
belong ia the administrative record
because they merely reflect internal
deliberation* rather than final decisions
or factual information upon which the
response selection is based However.
pertinent factual information or
documents stating final decisions on
response selection issues for a site
generally would be included in tht
record
Technical studies are also part of the
record again. If considered by the lead
agency in selecting the response action.
The comraenter sterna to haw
misinterpreted EPA's intent by assuming
that only factual portions of a technical
study art part of the record, Tbt entire
study, or relevant part of the seedy.
should be part of the record.
Another comment stated that list
ttdmirustraUve record should Indmds)
any studies on cost cost-efftctfveaaaa.
permanence, and treatment that underlie
the record of decision. These studies are
already part of the remedial
investigation and feasibility study.
which ia always included ia the record
Another party stated that sampling
protocol* should be ia the
administrative record Sampling
protocols are part of the RUFS work
plan, which ia also part of the
administrative record And because
" protocols, like chain of custody
documents, are generally grouped
together. EPA has provided in this
rulereakirig that such grouped or serial
documents may be listed as a group in
the index to the administrative record
file.
A related comment requested that all
documents generated by contractors
should be induced in the record In
response, any document that forms the
basis of a response selection decision
will be included in the administrative
record It i* immaterial who develops
the document — it can be a contractor.
the public (including a PRP). a statt or
EPA.
One commenter asked that ARAR
disputes involving a disagreement over
whether a requirement i* substantive or
administrative be documented in the
record. Other comment* stated that EPA
must ensure that complete ARAR
documentation and documentation of all
remedial option*, not ju*i tha selected
remedy, be placed in the record Where
ARAR issues an relevant to response
selection, lead and support agency-
generated documents and public
information submitted to the lead
agency on thi* issue would be part of
the record The record will include
documentation of each alternative
remedy and ARAR studied during the
RI/FS process, and the criteria used to
select the preferred remedy during tha
remedy selection process.
EPA also received several comments
stating that every document contributing
to dedfton-making should be part of tht
administrative record EPA cannot
concur ia this formulation of the
administrative record since it is unclear
what "contributing to" »•••"• and that
phrase may be overly broad For
int'ift. the term "contributing to"
could be interpreted to include aQ draft
documents leading up to a Baal product
Theee draft documents do not generally
form tfa* basis of the response selection.
A^M AtwM
nreuTe
record mciudes documents wtuca form
the basis for the decision to select tha
response action. EPA believes mat meat
"contributing'* documents wtO be
included
One comment stated that the hazard
ranking system (HRS) informatioa
should be mcfeded la die administrative
record for aelectioa of the response
action. Specifically, they suggested mat
internal memoranda, daily aotee. aad
the original HRS score should be made
available. The National Priorities List
(NPL) docket ia a public docket, aad
already contains tha retevaat renkiRg
information. Tha informatioa generally
relevant to d>a listing of a atte on the
NPL is preliminary aad not necessarily
relevant to the j«lec:ion of the
action. If. however, there is mfoma;:on
in the NPL docket that is relied on m
selecting the response action, it will be
included in the administrative recoro.
Another commenter stated that ail
materials developed and received during
the remedy selection process should be
made a part of the record, and stated
that the NCP currently omits inclusion of
transcripts. A* noted above, certain
documents simply will not be relevant to
the selection of response actions. EPA
will, as required by the statute, include
in the record all those materials.
including transcripts, that form the basis
for the selection of a response action.
whether or not the materials support the
decision.
Several commenters asked that the
lead agency be required to mail them
individual copies of documents kept m
the administrative record These
requests included copies of sampling
data, a copy of any preliminary
as*es*ment petitions, potential
remedies, the risk aaaesament a list of
ARARst and notification of all future
work to be done. Commenters also
asked to be notified by mail when a lead
agency begins sampling at a site and
when a contractor ia choaea for a
response action. In addition, many
asked for the opportunity to comment on
tha docaments mentioned above. A
related comment suggested that EPA
maintain a mailing list for each site and
mail copies of key document* in the
record to every party on tha list
EPA believe* that maintaining an
administrative record file in two placet,
in addition to a more general
information repository, with provisions
for copying facilities reflect* EPA's
strong commitment to keeping the
I public, including PRPs.
informed aad providing the opportunity
for public involvement ia response
daostoa-making. Requiring EPA to mail
individual cop tea of document*
available ia the record file is beyond
any statutory requirements, unnecessary
due to dM ready availability of the
documents ia the file, aad a severe
burden en Agency staff and resources.
Most of dM docaments requested above
will generally be available in the
administrative record for public review
and copying. Additionally, the lead
agency should maiauia a mailing list of
tnssfsstsd parsons to whom key site
information and notice of site activities
can be mailed at part of their
commaauty relation* plac for a site.
Oae eommenter asked that all PRP
comments tad comments by other
Interested parties be induced In the
record regardless of their
93
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S!g-..fioarce." EPA «ill include all
corrmenu received during the comment
period in the administrative record.
regardless of their significance. When
the lead agency consider* comments
submitted after the decision document
has been signed, the "significance" of •
comment hat a bearing on whether it
will be included in the administrative
record, as specified in f 300.82S(c). In
addition, while EPA ia under no legal
obligation tc place in the record or
consider comments submitted prior to
the comment period. EPA will generally,
as a matter of policy, consider
significant comments submitted prior to
the comment period, place them into the
record, and respond to them at an
appropn
-------
:,Ti:r,q of the response action relative to
(he promulgation of these rules, cannot
be adhered to. For example, under the
final rule the administrative record Hie
must be available at the beginning of the
remedial investigation phase. H these
regulations are promulgated when a site
is in the middle of the remedial
investigation proce&s. and the
administrative record is not yet
available, the lead agency cannot at this
point comply with these regulations.
Additionally. EPA believes that adding
language to proposed NCP } 300 800(e)
to state that lead agencies will comply
with provisions of subpart I in any
future action after promulgation of the
new rule i» unnecessary, and redundant
compliance will be legally required, and
applicability to all future response
action* la implicit in that rule. Likewise.
insertion of the word "maximum'* before
the phrase "extent practicable" ia
unnecessary since it wo«id give
additional emphasis but would not
•ubstantiveiy change the requirement or
Use meaning of the rule.
One comment agreed with EPA'a
interpretation that subpart I applies to
ail response actions 'sought, secured or
ordered administratively or judicially."
but others disagreed. Several staled that
the term "judicially" should be deleted
from | 300 J00(d) because they argue
that response actions ordered judicially
would receive dt nova adjudication.
instead of administrative record review.
CERCLA section 113(j)U) states: "la any
judicial action under this Act judicial
review of any issues concerning the
adequacy of any response action taken
or ordered by the President shall be
limited to the administrative record.'*
Commeoters contend that this section
does not apply to injunctive actions
under CERCLA section 109 because
these are not actions "taken or ordered
by the President"To the contrary, the
selection of a response action is a
"response action taken * * * by the
President" Accordingly, section 113(D(1)
requires that judicial review of the
response action selected by the agency
is "limited to the administrative record."
Further, section 113(J)(2] stipulates that
"in any judicial action under this
chapter"—whether for injuneUre relief.
enforcement of an administrative order
or recovery of response costs or
damages—a party objecting to "the
President's decision in selecting the
response action" must demonstrate, "on
the administrative record, that the
decision was arbitrary or capricious or
otherwise not in accordance with law."
EPA received several cearaenta
objecting to EPA's determination that
review of an endangermcnt
assessment be limited to the
administrative record. They stated that
as a matter of administrative and
constitutional law. a Hading of imminent
and substantial endangerment is not an
issue concerning "the adequacy of the
response action." as stated in CERCLA
section U3(j). and therefore must
receive de novo review by a court. A
second comment requested that EPA
state in the regulation that review of
EPA's expenditures in the
implementation of a remedy is de novo.
An assessment of endangerment at a
site is a factor highly relevant to the
selection of a response action, and is in
fact part of the remedial investigation
(Rfl process central to the decision to
select a response action. Therefore, the
determination of endangerment (which
will generally be included in the
decision document) will be included in
the administrative record for selection
of a response action and should be
reviewed as part of that record (EPA
notes that the term "endangerment
assessment" document has been
superseded by the term "risk
assessment" document and while
assessments of endangerment at a site
are still conducted during the RJ. it Is the
"risk assessment" document that
becomes pert of the record.) In response
to the comment that Agency
expenditures on a response action
should receive dt novo review. EPA
notes that this issue was not raised In
the proposed NCP. and is therefore not
addressed in the final rule.
float ro/er EPA is promulgating the
rule as proposed
Atone.- Section 300401 Location of the
administrative record file.
Propose*/ru7av Section U3f>MU of
CERCLA states that "the administrative
record shall be available to the public at
or sear the facility at issue. That
rreaidsnt also may place duplicates of
the administrative record at any other
location." Section 300J05 of the
1 NCP provides five exempt
> information which need not be
placed at or near the facility at issue:
Sampling •*"! fot*'T*g data, guidance
publicly available technical
literature, documents in the T^T**
portion of die Bis, ead emergency
removal actions lasting less than 30
days.
Acspens* to oommtntM: One
commeater supported limiting the
amount of information which must be
located at or near the site, but many
oammentsn stated that every document
contributing to decision-making,
lnr**tfiiaB ffftKftqatiai documents which
are part of the record should be located
at or near the site and sgency
convenience is not a su:f:c:ent reaso.-. :n
exclude documents from :he site. They
asser.ed that such exclusions undermine
active public involvement at the site and
are contrary to statutory intent Another
comment stated that requiring the
administrative record to be kept ui two
places, at a central location and at or
near the site, runs counter to the
statutory requirement of keeping a
record only "at or near the facility dt
issue.' One commenter asked that EPA
acknowledge that Indian thbal
headquarters may be a logical place to
keep the administrative record when a
Superfund site is located on or near an
Indian reservation. A final comment
requested that EPA endorse through
regulatory language that administrative-
records can be kept on microfiche or
other record management technologies.
and have the equivalent legal validity to
paper records.
Requiring sampling data and guidance
documents to be placed at the site is
both unnecessary and. in many cases.
very costly. Administrative records are
often kept at public libraries where
space is limited and cannot
accommodate voluminous sampling data
for large, complex sites. Summaries of
the data are included in the Rl/FS.
which is nested at or near the site. In
addition, requiring publicly svailsble
technical literature at the site will
requiie; copying copyrighted material, an
additional expenditure of limited
Superfund dollars. Moreover. Agency
experience is mat as yet relatively few
people view the administrative record
file at or nesr the site or request review
of tke sampling data or general guidance
document* listed in the index to the site
file.
However. EPA has revised the rale to
specify that If an individual wishee to
review a document listed la the index
bet not available in the file located at or
near the site, SBCB document if not
confidential, will be provided for
inclusion in the file upon /vouest The
individual will not seed to submit s
Freedom of Information Act Request in
order to have the mformation mede
available for review in the file near the
sits. EPA beHeves that provision of such
documents n the file nesr the site upon
request meets the requirement of
CERCLA section iU(k) that the record
be "available" at or near the site. In
addition, this rule does not bar lead
agencies tram deciding to place this
information in the site file without
waiting for s request Lead agencies are
encouraged to place as much of this
iaformatioa at or near the site ss
practicsJL ***** to automatically placa
information at sites where there is a
95
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•JI13
high probability that the information
will be in demand or the information it
central to the response selection
decision.
The confidential portion of the Hie
need not be located tt or netr the site.
and will not be available upon request
either at the site or at the central
location, since the information is not
available for public review.
EPA believes that requiring that the
record be located in two places ia
necessary to ensure both adequate
public access to the record Hies and
better lead-agency control over the
record documents. The statutory
requirement in CERCLA section
113(k)(l) states that the President may
also place duplicates of the
administrative record at any other
location. This section clearly provides
authonty to maintain a second
administrative record at a central
location. Section 300.805 of the proposed
NCP (53 FR 51515) reflect* EPA's
decision to make this statutory option a
regulatory requirement. A centrally
located record may offer easier access
to interested parties located far from the
response site.
EPA agrees with the coounenter that
housing the centrally located copy of the
record at Indian tribal headquarters may
be appropriate when a Superfund site ia
located at or near an Indian reservation.
In the 1986 amendments to CERCLA,
Indian tribes are accorded status
equivalent to states, and can be
designated lead agencies for response
actions, in which case they would also
be required to compile and maintain the
administrative record at or near the site.
Finally, as EPA stated in the preamble
to the proposed NCP. maintaining the
administrative record on microfiche is
already recognized as a legally valid
and effective practice: "EPA may make
the administrative record available to
the public in microform. EPA may'
microform-copy documents that form the)
basis for the selection of a CERCLA
response action in the regular course of
business" (53 FR 51468). EPA agrees that
this should be specified la the rule and
has added i 300.808(e) accordingly.
providing that the lead agency may
make the record available ia microform.
Final rule: Section 300405 is modified
as follows:
1. Section 300.805(b) ia added to the
rule as follows; "Where documents are
placed in the central location bat not in
the file located at or near the site, such
documents shall be added to the file
located at or near the site upon request
except for documents included ia
paragraph (a)(4) of this section."
2. Section 3C0.805(c) is added tc the
rule as follows: 'The lead agency may c
make the administrative record file
available to the public in microform."
3. The lection hat betn renumbered
accordingly.
Name: Sections 300.810(aHd).
Documents not included in the
administrative record Tile.
Proposed rule: Section 300.810(b)
discusses which documents may be
excluded from the administrative record.
Section (c) discusses privileged
information that is not included in the
administrative record. Section 300.810(d)
discusses confidential information that
is placed in the confidential portion of
the administrative record.
Response to comments: One
commenter argued that f 300.810 should
specifically include an exemption for
•classified documents related to national
security. While the NCP currently does
not address the potential conflict
between national security concerns and
the requirement to establish a publicly
accessible administrative record, it is
not clear that such en exemption could
be adequately specified by rule or that
an exemption would appropriately
resolve this conflict Section 12l(j)
provides a national security waiver by
Presidential order of any requirements
under CERCLA. which can be invoked
in certain circumstances. Under this
provision, protection of national security
interests requires case-by-case review
under section I21(j) and not a blanket
exemption in the NCP. Nothing in the
NCP limits the availability of this
waiver.
Another comment received by EPA
stated that the treatment of privileged
and confidential documents in the
records is unfair, because it denies
access to documents that may be critical
to the selection of a remedy. EPA has
provided for a confidential portion of
the administrative record when
documents containing, for example.
trade secrets of companies that have
developed patented cleanup
technologies being considered as a
response-selection alternative can be
kept confidential To maintain • fair
balance between the need for
confidentiality and the public's right of
review of the record, the lead agency
must summarize or redact a document
containing confidential information to
make available to the greatest extent
possible critical factual information
relevant to the selection of a response
action in the noncoafidential portion of
the record.
A final comment proposed that an
index to the privileged documents
should be included in the
nonconfidentia! portion of the
' administrative record. EPA agrees.
believing that an index will let
interested parties know in general terms
what document* are included in the
record without compromising the
confidential nature of the information
contained in those documents.
Finally. EPA is adding a sentence to
§ 300.810(a)(8) to clarify that the index
can include a reference to a group of
documents, if documents are
customarily grouped. This will simplify
EPA's task without compromising the
integrity of the record.
Final rule: 1. EPA is promulgating
§f 300.810(b). (c) and (d) as proposed
with a minor editorial change to clarify
the first sentence of } 300.810(d).
2. The following language is added to
i 300.810(a)(6) to provide for listing
grouped documents in the
administrative record file index: "If
documents are customarily grouped
together, es with sampling data chain of
custody documents, they may be listed
as a group in the index to the
administrative record file."
Name: Section 300.815. Administrative
record file for a remedial action.
Proponed rule: The term
"administrative record file" is used
throughout the proposed NCP. Section
300.815(a) proposes that the
administrative record file be made
available for public inspection at the
beginning of the remedial investigation
phase.
Response to comments: EPA received
several comments objecting to the
concept of an administrative record file.
They objected because there is no
statutory authority for establishing a
file, and because they were concerned
that the lead agency could edit the file.
specifically by deleting public and PRP
comments and information that do not
support the response action ultimately
chosen by EPA. and that these
comments and information would not
remain a part of the final administrative
record.
The statute requires the President to
establish an administrative record.
Under subpart 1 of the NCP. the
administrative record die is the
mechanism for compiling, and will
contain, the administrative record
required by section 113(k). One reason
EPA adopted the concept of an
administrative record file is that EPA
felt that it may be confusing or
misleading to refer to an ongoing
compilation of documents as an
"administrative record" until the
compilation is complete. Until the
response action has been selected, there
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Federal Register / Vol. 55. No. 46 / Thursday March 8. 1990 / Rules and Resulav.ors
88C"
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
Hie rather than the administrative
record.
However, this does not mean, as the
comments appear to suggest, that the
lead agency may "edit" the
administrative record file in a manner
that removes comments and technical
data simply because they are not
supportive of the final selection
decision. Any comments and technical
information placed in the record file for
a proposed response action and relevant
to the selection of that response action.
whether in support of. or in opposition
to. the selected response action, become
part of the administrative record for the
final response selection decision. Such
materials will remain in the
administrative record file, and will
become part of the final administrative
record However. EPA believes that as a
matter of law documenU that are
erroneously placed in the administrative
record file (e.g.. documents that have no
relevance to the response selection or
that pertain to an entirely different site)
would not necessarily become part of
the final administrative record.
EPA received additional comments
stating that the administrative record
file should be available before the
beginning of the remedial investigation
phase. These comments suggested that
the file be available; When a site is
entered into the CERQJS data base:
when the MRS score i» calculated: when
proposed for inclusion on the NPL altar
the preliminary assessment report: and
after the remedial sit* investigation.
EPA believe* that the point at which a
site is entered into the CERCLIS data.
base is too early to put any information
which would be relevant to a selection
of a response action into a record file
because at this point that* has bean no
sit* evaluation and therefor* tttti*
factual information about th* sit* upon
which to base a respona* (iarttton
Interested parties can already find any
information on a site that would b*
included at the point of th* MRS scoring
and placement on th* NPL in th* NPL
docket which is publicly available. Th*
preliminary assessment and remedial
investigation stages of a response are
premature for making the administrative
record available: at these points then i»
little information relevant to response
selection on which to comment or to
review. One* th* RI/FS work plan is
approved, and th* RI/FS study begins—
including such activities as project
scoping, data collection, r.sk assessment
and analysis of alternatives— there is a
coherent body of site-specific
information with relevance to the
response selection upon which to
comment. EPA believes that the
beginning of the RI/FS phase is the point
in the process when it makes sense to
start a publicly available record of
information relevant to the response
selection.
One comment suggested that
interested persons would have no
chance to comment on the formation of
the RI/FS work plan. The comment
suggested that the record file should be
available before the RI/FS work plan is
approved, e.g.. with a draft work plan or
statement of work. EPA disagrees.
Approved work plans are often
amended. An interested person may
comment on the scope or formation of
the work plan, and such comments can
be taken into account by the lead
agency and incorporated into a final or
amended work plan. Such comments
must be considered if submitted during
the comment period on the proposed
action.
Final rule: EPA is promulgating
I 30O*l5(a) as proposed.
Name: Section 300415. Administrative
record file for a remedial action. Section
300.820(a). Administrative record file for
a removal action.
Proposed rule: Subpart I requires that
the administrative record for a remedial
action b* available for public review
when th* remedial investigation begins.
Thereafter, relevant documents an
placed in th* record as generated or
received. Th* proposed regulations also
require that th* lead agency publish a
newspaper notice announcing th*
availability of th* record flics, and a
second notice •""**"*"^"g that th*
proposed plan has been issued. A public
t-tu*mmnt period of at least 30 days is
required on th* proposed plan. Section
SOOOOta) outline* th* step* for th*
availability of th* record and public
at for a non-time-critical removal
action. EPA solicited comments on a
proposal currently under, consideration
to require quarterly or semi-annual
notification of record availability and
th* initiation of public cm"""1!* in the
Rttfotat to comments.- Some
eommenters suggested that me use of
th* Federal Register to announce th*
availability of th* administrative record
ia too costly or of little or no benefit
Several eommenters requested
clarification on how and whan th* lead
agency should respond to comments.
Another stated that lead agencies
should b* encouraged—though not
required—to respond to early corr..~.er.:s
before the formal comment period
begins.
EPA chose not to require a notice of
availability of the administrative record
in the Federal Register in this
rulemaking because it is still unclear
whether the benefits of this additional
notice outweigh its costs. EPA may
decide in the fufire to require this
additional notice if it determines that
such notice would improve notification.
EPA agrees with eommenters that
clarification is needed as to when the
lead agency should respond to
comments. We also agree that the lead
agency should be encouraged to respond
to comments submitted before the public
comment period. EPA generally will
consider any timely comments
containing significant information, even
if they are not received during the
formal comment period, and encourages
other lead agencies to do so. EPA will
strive to respond to comments it
receives as early as possible, and to
encourage other lead agencies to follow
suit However, any lead agency is
required to consider and respond to only
those comments submitted during a
formal comment period. Any other
comments an considered at the lead
agency's discretion. EPA has revised the
language of these sections to reflect the
policy on consideration of public
comments submitted prior to public
comment periods.
One comment recommended that the
regulations should provide how long the
administrative record must be available.
and suggested EPA coordinate efforts
with the National Archives about
retaining the record as a historical
record. Another felt that materials were
not always placed into the record in a
timely manner, and that the record was
not always available to the working
public during evenings and weekends or
accompanied by a copying machine.
Similarly, on* commenter felt that
should be placed in the
record when they an generated or in a
prescribed timeframa of two weeks.
Another asked that free copies of key
documents be included in the record.
EPA believe* that the length of time a
record must b* available at or scar th*
sit* will b* dependent on site-specific
considerations such as ongoing activity.
pm^H'^g litigation M1M* community
interest EPA also believes that
difficulties sometimes encountered by
th* working public require resolution on
• site-by-site basis and do not merit a
change in ta« proposed NCP language.
Special provisions may have to be made
by the records coordinator, with the aid
of other site team members, including
97
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ihe community relations coordinator or
regional s.te manager, to ensure that the
record location chosen is convenient to
the public and that copying facilities are
made available. Using public librmhta to
house the record should promote better
availability of the record during non-
working hours and on weekends. la
response to mandating deadline* for
lead agencies to place documents into
the administrative record file. Agency
guidance already directs record
compilers to place documents into the
record Hie as soon as they are received
Agency policy additionally prescribes a
suggested umeframe for placing
documents ia the record file. EPA
believes that mandatory deadlines in
the NCP would do little to increase the
rate at which records are already
compiled. The decision to place free
copies of key documents in the record at
or near the site will be a site-specific
decision based on the level of
community interest in these documents.
Those who wish to make copies of key
documents or any document contained
in the administrative record file should
already have access to copying
facilities.
EPA received a comment requesting
that it publish • joint notice of
availability of the administrative record
with a notice of availability of Technical
Assistance Gnats. Another «"yy?«
stated that the removal site evaluation
and engineering evaluation/cost
analysis (EE/CA) must be included ia
the record for a non-tune-critical
removal action.
Publishing notice of the availability of
the record in tandem with
announcements of the availability of
Technical Assistance Grants (TAGs) to
a good idee where TAG* are available
for a removal action. The TAG*,
however, are generally designed to
support citizen involvement in technical
issues for sites undergoing remedisJ
actions. The one-year. SZ million
limitations on removals tad the Umjtad
number of alternative* usually reviewed
make further expense on a *-•*•»««—i
advisor less beneficial than tt might be
for a long-tern remedial action. As for
placing the removal site evaluation and
EE/CA in the administrative record
EPA egnes that generally such
documents would be part of the
administrative record for the removal
action.
Finally. EPA is making a minor change
to the language of I 300J20(a)(4). EPA is
substituting the term "decision
document" in place of action
memorandum to allow for situations
where the agency's decision document
for • removal action is not named an
action memorandum.
Final rule: \. The second sentences of
ii 300.81 Vb). 300.820UH2) and
300.820(b)(2) are revised to reflect the
new language on responding to
comments is follows: The lead agency
is encouraged to consider and respond
as appropriate, to significant comments
that were submitted pnor to the public
comment period."
2. In S 300.620(a)(4). the term "decision
document" is substituted for "action
memorandum."
3. The remainder of i 300-820(a) is
promulgated as proposed
Name: Section 300.820(b)~
Administrative record file for a removal
action—time-critical and emergency.
Prcpoted rule; Section 300.820(b)
outlines steps for public participation
and administrative record availability
for time-critical and emergency removal
responses (53 FR 51516): "Documents
included ia the administrative record
file shall be made available for public
inspection oo later thaa 60 days after
initiation of on-eite removal activity." at
which point notification of the
availability of the record must be
published The lead agency then, aa
appropriate, will provide a public
comment period of not lea* than 30 days
oa the selection of the response action,
Responu to comments: Several
comments suggested that public
comment requirements ttra^^t
i 300 J20(b) wen unaeceasary and
burdensome, especially the requirement
to publish a notice of the availability of
the record One comment argued that
requiring public notification of both
record availability and of a site's
inclusion on the NFL was unnecessary
and duplicative. Another comment
stated that the requirements for public
notification and public comment are not
appropriate for all time-critical removal
action*, aad recommended that the
administrative record be available for
review only for those time-critical
removal action* that do require public
notice aad comment A related comment
stated that the requirement to publish a
notice of availability of the
administrative record for aQ time-critical
removal actions be eliminated in favor
of making the record available but not
requiring aa advertisemeat or comment
period, since some time-critical removal
action* an completed before a public
comment period could be held Others
asked that the public comment period
become mandatory, or at least
mandatory for removal activities not
already completed at the time the record
is made available. Another comment
requested that the record become
available sooner — at least 30 day* *f'.er
initiation of on-site removal activity —
because the current fiO-day penod
prevented the consideration of any pre-
work comments. A second comment
supported the 50-day period. Finally, a
commenter argued that it made little
sense to make the record available after
60 days for an emergency response
because the on-scene coordinator (OSC)
report containing most of the response
information isn't required to be
completed until one year following the
response action.
In general, the public participation
requirements under i 300a20(b) are
designed to preserve both the flexibility
and discretion required by the lead
agency in time-critical removal action
situations as well as EPA's commitment
to encouraging public participation and
to keeping an affected community well-
informed EPA believes the notification
and comment periods required in
t 300.A20(b) provide for both Agency
flexibility and meaningful public
involvement The regulatory language
stating that "The lead agency shall as
appropriate, provide a public comment
period of not less than 30 days"
provides the lead agency needed
flexibility when the emergency nature of
malryg holding a
comment period infeasible.
While EPA believes that it ia
necessary to mnfm** the availability
of the administrative record for time-
critical and emergency removal actions
as well aa non-time-critical actions. EPA
believes that requiring establishment of
the admiaistrative record and publishing
a notice of its availability 30 days after
initiating a removal action in all cases,
instead of "no later thaa 60 days after
initiating a removal action," as
proposed would be somewhat
premature. It has been EPA's experience
that it often takes 60 days to stabilize a
ait* (Le, those activities that help to
reduce, retard or prevent the spread of a
hatardous substance release aad help to
eliminate an immediate threat). EPA
believes that the overriding task of
emergency response teams during this
critical period must be the undertaking
of necessary stabilization, rather than
administrative duties. Compiling and
advertising the record before a site has
become stabilized would divert
emergency response teams from
devoting their fuD attention to a
response. EPA believes that such
administrative procedures are better left
for after site stabilization.
Public notice requirements for
announcing the availability of the
administrative record and for a site's
inclusion on the NFL are not duplicative.
98
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OOCI
but notify the public of two very
different decisions Removal actions do
not always take place at sites on the
NPL therefore, the notice requirements
are obviously not duplicative for these
removel actions. For remedial sites that
are on the NPL the administrative
record need not be established for some
time after listing on the NPL. so
publishing a notice of the availability of
the record would be essential to make
the affected public cognizant of site
progress and their opportunity for
review of documents included in the
record.
Lastly, the procedures specified in
S 300.820(b) are applicable to an
emergency removal that starts and
finishes within 60 days. However, as
provided in i 300.820(b)(2). a comment
period is held only where the lead
agency deems it appropriate. But
because the administrative record is an
avenue for public information as well as
for public comment. EPA also believes
that even if the action is completed
before the record file is made available.
it is still appropriate to make the record
available to the public. There is also no
inherent contradiction in the OSC report
being available one year after
completion of the response action while
the administrative record becomes
available 00 days after initiation of on*
site activities. Since the OSC report is a
summary of the site events and is not a
document which is considered in the
selection of response action, it is not
generally included in the administrative
record.
Final rule: EPA ia promulgating
{ 300.820(b) as proposed, except that:
1. The second sentence of
J 300.820(b)(2) is revised on responding
to public comments as described above.
2, Section 300.820(b)(3) ia revised
consistent with I 300.820(a){4); the term
"action memorandum" ia changed to
"decision document"
Name: Section 300.823. Record
requirements after decision document is
signed.
Proposed rule: Section 300429
describes situations when documents
may be added to the administrative
record after the decision document is
signed. Documents may bit added to a
record in the following circumstances:
When the document addresses a portion
of the decision which the decision
document does not address or reserves
for later: when the response action
changes and an explanation of
significant differences or an amended
decision document is issued: when the
agency holds additional public comment
periods after the decision is signed: and
when the agency receives comments
containing "significant information not
contained elsewhere in the record which
could not have been submitted during
the public comment period which
substantially support the need to
significantly alter the response action"
(S3 FR 51516). In addition, subpart E of
the proposed NCP discusses ROD'
amendments and Explanations of
Significant Differences. Explanations of
Significant Differences may be used for
significant changes which do not
fundamentally change the remedy, and
do not require public comment ROD
amendments must be used for
fundamental changes, and require a
public comment period.
Response to comments: One
commenter asked that subpart I reflect
the factors consistently applied by
courts when determining whether the
record should be supplemented.
including such criteria as Agency
reliance on factors not included in the
record, an incomplete record, and strong
evidence that EPA engaged in improper
behavior or acted in bad faith. A related
comment stated that since general
principles of administrative law apply to
administrative record restrictions and
supplementing the record, language
limiting supplementing the record should
be deleted from the NCP. EPA believes
that including specific tenets of
administrative law governing
supplementing of the record in the NCP
itself is unnecessary. These tenets apply
to record review of response actions
whether or not they are included in the
NCP. The requirements of | 300.82S(c)
do not supplant principles on
supplementing administrative records.
Another comment recommended that
EPA permit the record to be
supplemented with any issue contested
by • PRP. while granting an objective
third party the ability to accept or reject
record supplements. EPA already
requires that any documents concerning
remedy selection submitted by PRPs
within the public comment period be
included in the record All significant
evidence submitted after the decision
document is complete is already
included in the record, so long as it
meets the requirements of I 300J2S(c).
is not included elsewhere in the record.
could not have been submitted during
the public comment period, and supports
the need to significantly alter the
response action, EPA believes these
criteria are reasonable and do not
require the use of a-third-party
arbitrator.
One comment stated that all PRP
submissions oust be placed in the
record in order to protect a party's due-
process right to be beard EPA disagrees
that all PRP submissions to the lead
agency must be pUced m the record <-
order to protect the party's due process
nghts. The process provided m the
rules—including the notice of
availability of the proposed plan and the
administrative record for review, the
availability of all documents underlying
the response selection decision for
review throughout the decision-making
process, the opportunity to comment on
the proposed plan and all documents m
the administrative record file, the
requirement that the lead agency
consider and respond to all significant
PRP comments raised during the
comment period, the notice of significant
changes to the response selection, and
the opportunity to submit, and
requirement that the lead agency
consider, any new significant
information that may substantially
support the need to significantly alter
the response selection even after the
selection decision—is sufficient to
satisfy due process. Moreover, the
opportunity provided for PRP and public
involvement in response selection
exceeds the minimum public
participation requirements set forth by
the statute. Placing a reasonable limit on
the length of time in which comments
must be submitted and providing for
case-by-case acceptance of late
comments through | 300.829(c). does no.
infringe upon procedural nghts of PRPs.
One commenter asked that the
permissive "may" in | 300.82S(a) be
changed so there is no lead-agency
discretion over whether to add to the
administrative record documents
submitted after the remedy selection.
and stated that additional public
comment periods as outlined in
I 300.429(b) should not be only at EPA's
option. A related comment stated that
the multiple qualifiers in I 30O829(c).
including the phrases "substantially
support the need" and "significantly
alter the response action" (53 FR 91916).
grant EPA overly broad discretionary
powers over what documents may be
added to the record The commenter
suggests deleting the word
"substantially." as well as stating that
all comments, even those disregarded by
EPA, should be included in the record
for the purpose of judicial review. EPA
disagrees that the word "may" in either
I 300J2S(a) or | 30O82S(b).is too
permissive. Section SOOSZSfb) of the
proposal was simply intended to clarify
the lead agency's implicit authority to
hold additional public comment periods.
in addition to those required under
subpart E for ROD amendments.
whenever the lead agency decides it
would be appropriate. Because these
additional comment period* are tot
99
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required by statute or regulation, the
•permissive" language jimply reflects
the lead agency • discretion with respect
to these additional public involvement
opportunities. Similarly, lead-agency
discretion to add to the administrative
record documents submitted after a
decision document has been signed
provides the lead agency the option to
go beyond the minimum requirements
for public participation outlined in the
statute. In response to requests to delete
the qualifiers in § 300.a25(c), this
language is intentionally designed to
define carefully the circumstance* in
which EPA mu^t consider comments
submitted after (he response action has
been selected. This standard recognizes
CERCLrYs ni«nJate to proceed
expeditious:y io implement selected
response acnons. but also recognize*
that there will be certain instance* in
which significant new information
warrants reconsideration of the selected
response action. Section 300-825{c) is
intended to provide a reasonable limit
on what comments EPA must review or
consider after a decision has been made.
Several oommenten requested that
PRPs not identified until after the dote
of the public comment period should be
allowed an opportunity to comment on
the record within 60 day* of EPA's
notification of potential liability. EPA
makes significant efforts to involve PRP»
as early in the process as possible.
When PRPs are identified late in the
process, they may provide EPA with
comments at that time. EPA will
consider comments which art submitted
after the decision document is signed in
accordance with the criteria of
i 300.825(c). This is true no matter when
the PRP is identified in the process. EPA
believes that the currant rule is
sufficient for granting these late-
identified PRPs the opportunity for
submitting late comments for the record.
One commenter stated that new
information that confirms or
substantiates prior public cooiBienl
should be mad* part of the record, even
after a ROD is signed. EPA is eot
required by statute or regulation to
consider these comments, although a
lead agency may. and frequently does.
consider post-ROO comments tt
considers to be significant—m which
case both the comment and the lead
agency's response are part of the record.
Finally. EPA is making a minor change
to | 3floiBS(b) on additional public
comment periods to clarify that m
addition to comments and responses to
comments, documents supporting the
request for an additional comment
period, and any decision documents
would be placed in the administrative
record fiie. AJtbough thu is what EPA
intended in the proposal, a clarification
is necessary to ensure consistency.
Final rule: EPA is promulgating
{ 300.825 as proposed except for an
addition to the last sentence of section
(b) ss foliowr "All additional comments
submitted during such comment periods
that are responsive to the request and
any response to these comments, along
with documents supporting the request
and any final decision with respect to
the issue, shall be placed in the
administrative record file."
Subpart f—Use of Dispersants and
Other Chemicals
The following sections discuss
comments received on subpart J and
EPA's responses.
Name: Sections 300.900-300.920.
General.
Existing rule: Section 300.81 described
the purpose and applicability of existing
subpart H (now subpart ]\ and i 300.62
defines the key terms used in the
regulation. Section 30QJ3 provides that
EPA shall maintain a schedule of
dispersants and other chemical or
biological products that may be
authorized for use on oil discharges
called the "NCP Product Schedule."
Section 300.64 sets forth the
•procedures by which an OSC may
authorise the use of products listed on
the NCP Product Schedule. The section
provides that an OSC. with concurrence
of the EPA representative to the RRT
and the concurrence of the state(s) with
jurisdiction over the navigable waters
(as defined by the CWA) polluted by the
oil discharge, may authorize the use of
dispersants. surface collecting agents,
and biological additives listed on the
NCP Product Schedule.
This section also provides that if the
OSC determines that the use of a
dispenant surface rollerting agent or
biological additive ts necessary to
prevent or substantially reduce a hazard
to hitman lift, mil there is insufficient
M«M to obtain the needed wn^tnm*tfm^.
the OSC may unilaterally authorize the
use of any product '~>J'"<{>'g a product .
not oo the NCP Product Schedule. In
such instances, the OSC must inform the
EPA RRT representative and the
affected states of the use of a product as
soon as possible and must obtain their
concurrence for the continued use of the
product once the threat to human life
has subsided. This provision •"••'«•••«••
delays in potentially life-threatening
situations, such as spills of highly
flammable petroleum products in
barbers or near inhabited areas.
Although they will not be listed on the
Schedule, this section also provides for
authorization of tne us* of burning
agents on a tase-by-case basis. The use
of sinking agents is prohibited.
Section 300.84 explicitly encourages
advance planning for the use of
dispersants and other chemicals. The
OSC is authorized to approve the use of
dispersants and other chemicals without
the concurrence of the EPA
representative to the RRT and the
affected states if these parties have
previously approved a plan identifying
the products that may be used and the
particular circumstances under which
their use is preauthorized.
Section 300.85 details the data that
must be submitted before a dispenant.
surface collecting agent, or biological
additive may be placed on the NCP
Product Schedule. Section 300.86
describes the procedures for placing a
product on the Product Schedule and
also sets forth requirements designed to
avoid possible misrepresentation or
misinterpretation of the meaning of the
placement of a product on the Schedule,
including the wording of a disclaimer to
be used in product advertisements or
technical literature referring to
placement on the Product Schedule.
Appendix C details the methods and
types of apparatus to be used in carrying
out the revised standard dispenant
effectiveness and aquatic toxidty tests.
Appendix C also sets forth the format
required for summary presentation of
product test data.
Proposal nil* Proposed subpart J is
very similar to subpart H and contains
only minor revisions. Section numbers
and references to other sections and
subparts have been changed where
appropriate. Technical changes and
minor wording changes to improve
clarity have also been made.
Definitions formerly presented in
subpart H have been moved to subpart
A. sind a new definition has been added
for miscellaneous oil spill control
agents. Accordingly, a list of data
requirements for miscellaneous spill
control agents is proposed to be added
to | 30O91S. The definition for navigable
waters is as defined in 40 CFR 110.1.
Section 30O910, which addressed
"Authorization of ase." was modified
slightly m the proposed regulation to
emphasize the importance of obtaining
concurrence for the ase of dispersants
and other chemicals from the
appropriate state representatives to the
Regional Response Teem (RRT) and the
DOC/DOI natural resource trustees "as
appropriate,
fltr/rp"** to co0unent»~l.
Invorwneat of DOC/DOI trusses.
Many commenters opposed the
inclusion of the DOC/DOI trustees in
100
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APPENDIX M
SUBPART I OF NCP
Support I—Ai«<«im the adminismavo
record ia accordance with thin jubpnrt
(b) AK^» rogaletiooo.
(e) Foe thooo recpooeo actions oot
laciudjd to purayraph (d) of this tsstioiv
tho lend a^mcy shall comply with mia
onbport to tfc> extent proctlcnbte.
rcccrdCa
(o) Tho lend ajjoacy shall cotnaSsh a
dcdict at a afifao of tfea lead a£=cy or
other ccatrd tosotlea at tsttch
fljQCPBSS^P ICCIAQCd tB
Ob chafl bo
Bin fhflll «i«** ba ""****> crailaaio far
pvUteCDpesdaa at or aotr tbo t±s at
i
imp jBt ao preyioad
control and qooUly cc
dMumontattoa. cad chain of eacady
fanao. need cot bo located ot or c=ar tho
tito at lean or at tha oaalrel locottoa.
provided that do iadax to tho
pitr~ihi»Hinirbun mpifd Bio ifxjicnlco the
locnttaa and evailobillry of thia
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Federal Register / Vol. 55. No. 46 / Thursday, March 8. 1990 / Rules and Regulations
(2) Guidance document* not generated
specifically for (he site at issue need not
be located at or near the lite at issue,
provided that they are maintained at the
central location and the index to the
administrative record file indicates the
location and availability of these
guidance documents.
(3) Publicly available technical
literature not generated for the site at
issue, such as engineering textbooks.
articles from technical journals, and
lexicological profiles, need not be
located at or near the site at issue or at
the central location, provided that the
literature is listed in the index to the
administrative record file or the
literature is cited in a document in the
record.
(4j Documents included in the
confidential portion of the
administrative record file shall be
located only in the central location.
(5) The administrative record for a
removal action where the release or
threat of release requires that on-site
removal activities be initiated within
hours of the lead agency's determination
that a removal ia appropriate and on*
site removal activities cease within 30
days of initiation, need be available for
public inspection only at the central
location.
(b) Where documents are placed in
the central location but not in the file
located at or near the site, such
documents shall be added to the file
located at or near the site upon request
except for documents included in
paragraph (a)(4) of this section.
(c) The lead agency may make the
administrative record file available to
the public in microform.
{300J10 Contents of «e i
(a) Content*. The administrative
record file for selection of • response
action typically, but not in all cases, wffl
contain the following types of
documents:
(1) Documents containing factual
information, data and analysis of the
factual information, and data that may
form a basis for the selection of a
response action. Such documents may
include verified sampling data, quality
control and quality assurance
documentation, chain of custody forms,
site inspection reports, preliminary
assessment and site evaluation reports,
ATSDR health assessments, documents
supporting the lead agency's
determination of «*"m
substantial endangerment public health
evaluations, and technical and
engineering evaluations. In addition, for
remedial actions, such documents may
include approved workplans for the
remedial investigation/feasibility study.
state documentation of applicable or
relevant and appropriate requirements,
and the RI/FS:
(2) Guidance documents, technical
literature, and lite-specific policy
memoranda that may form a basis for
the selection of the response action.
Such documents may include guidance
on conducting remedial investigations
and feasibility studies, guidance on
determining applicable or relevant and
appropriate requirements, guidance on
risk/exposure assessments, engineering
handbooks, articles from technical
journals, memoranda on the application
of a specific regulation to a site, and
memoranda on off-site disposal
capacity;
(3) Documents received, published, or
made available to the public under
i 300.615 for remedial actions, or
I 300.820 for removal actions. Such
documents may include notice of
availability of the administrative record
file, community relations plan, proposed
plan for remedial action, notices of
public comment periods, public
comments and information received by
the lead agency, and responses to
significant comments:
(4) Decision documents. Such
documents may include action
memoranda and records of decision;
(5) Enforcement orders. Such
documents may include administrative
orders and consent decrees; and
(0) An index of the documents
included in the administrative record
file. If documents art customarily
grouped together, as with sampling data
chain of custody documents, they may
be listed as a group in the index to the
administrative record file.
(b) Documents not included in efts?
adaiinittmtin ncordfilt. The lead
agency is not required to incrads
documents in the) sdministrative record
fill which do not form a basis Cor the)
selection of the response action. Soch
documents include bat an not limited to
draft documents, internal memoranda,
and day-to-day notes of staff unless
such documents flifi****?! information
that forms the basis of selection of the
response action and the information is
not included in any other document in
the administrative record file.
(c) Privileged documents. Privileged
documents shall not be included in the
record file except as provided in
paragraph (d) of this section or where
such privilege is waived. Privileged
documents include but are not limited to
documents subject to the attorney-client
attorney work product deliberative
process, or other applicable privilege.
(d) Confidential file. If information
which forms the basis for the selection
of a response action is included only >n
a document containing confidential or
privileged information and is not
otherwise available to the public, the
information, to the extent feasible, shall
be summarized in such a way as to
make it disclosable and the summary
shall be placed in the publicly available
portion of the administrative record file.
The confidential or privileged document
itself shall be placed in the confidential
portion of the administrative record file.
If information, such as confidential
business information, cannot be
summarized in a disclosable manner.
the information shall be placed only in
the confidential portion of the
administrative record Hie. All
documents contained in the confidential
portion of the administrative record file
shall be listed in the index to the file.
1300415 Administrative record tUe for a
remedial action.
(a) The administrative record file for
the selection of a remedial action shall
be made available for public inspection
at the commencement of the remedial
investigation phase. At such time, the
lead agency shall publish in a major
local newspaper of general circulation a
notice of the availability of the
administrative record file.
(b) The lead agency shall provide a
public comment period as specified in
I 300.430(3(3) so that interested persons
may submit comments on the selection
of the remedial action for inclusion in
the administrative record file. The lead
agency is encouraged to consider and
respond as appropriate to significant
comments that war* submitted prior to
the public comment period. A written
response to significant comments
submitted during the public comment
period shall b* included in the
administrative record file.
(c) The bad agency shall comply with
the public participation procedures
required in 1300430(0(3) and shall
iiin!iiHnnt such wmnf^w* in the
administrative record.
(d) Documents generated or received
after the record of decision is signed
shall be addad to the administrative
record file only as provided in | 30042
I
record «• tori
(a) If. based on the site evaluation.
lead agency determines that s removt
action is eppropriate and that a planr
period of at least six months exists
before on-site removal activities mus
initiated:
(1) The administrative record file s
be mad* available for public inspect
whan the engineering evaluation/co-
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Federal Register / Vol. 55. No 46 / Thursday. March 8. 1990 / Rules and Aes'-i
836 i
analysis (EE/CA) is made available for
public comment. At such time, the lead
Agency shall publish in a major local
newspaper of general circulation a
notice of the availability of tht
administrative record file.
(21 The lead agency shall provide a
public comment period as specified >n
$ 300.415 so that interested persons may
submit comments on the selection of the
removal action for inclusion in the
administrative record file. The lead
agency is encouraged to consider and
respond, as appropriate, to significant
comments that were submitted prior to
the public comment penod. A whtten
response to significant comments
submitted during the public comment
penod shall be included in the
administrative record Hie.
(3) The lead agency shall comply with
the public participation procedures of
} 300.415(m) and shall document
compliance with } 300.415(m)(3)(i)
through (iii) in the administrative record
file.
(4) Document* generated or received
after the decision document it signed
•hall be added to the administrative .
record file only as provided in i 300.625.
(b) For all removal action* not
included in paragraph (a) of thii section:
(1) Documents included in the
administrative recorc file shall be made
available for public inspection no later
than 60 days after initiation of on-site
removal activity. At such time, the lead
agency shall publish in a major local
newspaper of general circulation a
notice of availability of the
administrative record Hie.
(2) The lead agency shall as
appropriate, provide a public comment
period of not less than 30 day* beginninf
at the time the administrative record file
is made available to the public. The lead
agency ia encouraged to consider and
respond, as appropriate, to significant
comments that were submitted prior to
the public comment period. A written
response to significant coouneats
submitted during the public ***•"••"*
period shall be included in th>
administrative record file.
(3) Documents generated or received
after the decision document is signed
shall be added to the administrative
record file only a* provided in 1300825.
f 300*28
requirement* after the
(a) The lead agency may add
documents to the administrative record
file after the decision document
•electing the response action hat been
signed if:
(1) The documents concern a portion
of a response action decision that the
decision document does not address or
reserves to be decided at a later date: or
(2) An explanation of significant
differences required by $ 300.435(c). or
an amended decision document is
issued, in which case, the explanation of
significant differences or amended
decision document and all documents
that form the basis for the decision to
modify the response action shall be
added to the administrative record file.
(b) The lead agency may hold
additional public comment periods or
extend the time for the submission of
public comment after a decision
document has been signed on any issues
concerning selection of the response
action. Such comment shall be limited to
the issues for which the lead agency has
requested additional comment. All
additional comments submitted during
such comment periods that are
responsive to the request, and any
response to these comments, along with
documents supporting the request and
any final decision with respect to the
issue, shall be placed in the
administrative record file.
(c) The lead agency is required to
consider comments submitted by
interested persona after the dose of the
public comment period only to the
extent that the comment* 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 significantly alter the
response action. AH such comments and
any responses thereto shall be placed in
tht administrative record file.
Subpavt J—UM of DtoporMnts and
(a) Section 3ll(c)(2)(C) of the dean
Water Act require* that EPA prepare a
schedule of dispersants and other
chemical*, if any. that may be used in
carrying oat the NCP. Thi* subpart
make* provisions for such a schedule.
(b) This subpart applies to the
navigable waters of the United States
and ad{oining shorelines, the waters of
the contiguous zone, and the high seas
beyond the contiguous zone in
connection with activities under the
Outer Continental Shelf Lands Act
activities under the Deepwater Port Act
of 1974. or activities that may affect
natural resource* belonging to.
appertaining to. or under the exclusive
management authority of the United
State*, including resources under the
Magnuson Fishery Conservation and
Management Act of 1976.
103
(c| This subpart applies to the use of
any chemical agents or other additives
as defined in subpart A of this part iha;
may be used to remove or control oil
discharges.
{300.905 NCP Product Schedule.
(a) Oil Discharges. (1) EPA shall
maintain a schedule of dispersants and
other chemical or biological products
that may be authorized for use on oil
discharges in accordance with the
procedures set forth in 5 300.910. This
schedule, called the NCP Product
Schedule, may be obtained from the
Emergency Response Division (OS-210).
U.S. Environmental Protection Agency.
Washington. DC 20460. The telephone
number is 1-202-382-2190.
(2) Products may be added to the NCP
Product Schedule by the process
specified in | 300.920.
(b) Hazardous Substance Releases
(Reserved].
1900*10 Atimortzaoof) of use.
(a) The OSC with the concurrence of
the EPA representative to the RAT and.
aa appropriate, the concurrence of the
RRT representatives from the states
with jurisdiction over the navigable
waters threatened by the release or
discharge, and in consultation with the
DOC and DO1 natural resource trustees.
when practicable, may authorize the use
of dispersants. surface collecting agents.
biological additives, or miscellaneous oil
spill control agents on the oil discharge.
provided that the dispersants. surface
collecting agents, biological additives, or
miscellaneous oil spill control agents are
listed on the NCP Product Schedule..
(b) The OSC with the concurrence of
the EPA representative to the RRT and.
aa appropriate, the concurrence of (he
RRT representatives from the states
with jurisdiction over the navigable
waters threatened by the release or
discharge, and in consultation with the
DOC and JDOI natural resource trustees.
when practicable, may authorize the use
of burning agent* on a case-by-case
basis.
(c) The OSC nay authorize the use of
any dispersant surface collecting agent.
other chemical agent burning agent
biological additive, or miscellaneous oil
•pill control agent including products
not listed on the NCP Product Schedule.
without obtaining the concurrence of the
EPA representative- to the RRT. the RRT
representative* from the state* with
jurisdiction over the navigable waters
threatened by the release or discharge.
whan, in die judgment of the OSC the
use of the product ia necessary to
prevent or substantially reduce a hazard
to human life. The OSC ia to inform the
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I UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
SOUO WASTE AND EMERGENCY RESPONSE
MEMORANDUM
SUBJECT: Final Guidance on Preparing Waste-in Lists and Volumetric
Rankings for Release to Potentially Responsible Parties
(PRPs) Under CERCLA ("Waste-in" Guidance)
FROM: Bruce M. Diamond, Director.
Office of Waste Programs Enforc'ement
TO: Director, Waste Management Division,
Regions I, IV, V, and VII
Director, Emergency and Remedial Response Division,
Region II
Director, Hazardous Waste Management Division,
Regions III, VI, VIII, and IX
Director, Hazardous Waste Division,
Region X
This memorandum transmits to you our "Final Guidance on
Preparing Waste-in Lists and Volumetric Rankings for Release to
Potentially Responsible Parties (PRPs) Under CERCLA," which has
been referred to as the "waste-in" guidance.
If EPA invokes special notice procedures under CERCLA section
122(e)(l), the Agency must provide PRPs with the names and
addresses of all PRPs, the volumes and types of substances sent to
the site by each PRP, and the volumes of all substances present at
the site. To the extent such information is available, it must be
released with the special notice letter.
This document provides guidance on the compilation and release
of waste-in lists and volumetric rankings to help you comply with
the information release requirements of CERCLA section 122(e) and
the information release and exchange policies outlined in OSWER
Directives 9835.12 and 9834.10.
Based on Regional input, we made several significant changes
to the guidance relating to information release with RI/FS special
notice, commonly contributed volumes, and the status of "mom and
pop" gas station waste oil generators on waste-in lists. I thank
you for your assistance.
Attachment
cc: Superfund Branch Chiefs, Regions I - X
"Waste-in" Guidance Contacts, Regions I - X
Printed on Recycled Paper
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