United States
Environmental Protection
Agency
Solid Waste and
Environmental Response
(5305W)
PB97-963 232
EPA540-R-97-020
OSWER Directive 9205.5-12
June 1997
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Superfund Community
Involvement
Updated January 1997
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DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA. It is
intended to be used as a training tool for Hotline specialists and does not represent a statement of EPA
policy.
The information in this document is not by any means a complete representation of EPA's regulations or
policies. This document is used only in the capacity of the Hotline training and is not used as a reference
tool on Hotline calls. The Hotline revises and updates this document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency. This
document is not intended and cannot be relied upon to create any rights, substantive or procedural,
enforceable by any party in litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except federal holidays.
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SUPERFUND COMMUNITY INVOLVEMENT
CONTENTS
1. Introduction 1
2. Regulatory Summary 3
2.1 Definitions 3
2.2 Background 4
2.3 Community Involvement in Site Discovery and Notification 5
2.4 Community Involvement in Response Actions 5
2.5 Technical Assistance Grants 11
2.6 Community Advisory Groups 11
3. Module Summary 13
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Superflmd Community Involvement - 1
1. INTRODUCTION
This module covers EPA's Superfund community involvement program, a set of
requirements under the National Contingency Plan (NCP) designed to ensure that the
public is informed about site conditions and given the opportunity to comment on the
proposed remedy of a Superfund site. EPA, through the response authority granted by
CERCLA, is required to protect human health and the environment, but must also address
the concerns of citizens within the immediate proximity of a site. The NCP serves to
uphold the public's right to voice opinions and express concerns about Superfund site
activities. EPA must involve communities throughout the Superfund process — particularly
at critical decision-making steps in the process.
Community involvement in Superfund response actions is intended to build citizen's trust
and enhance EPA's or the lead agency's credibility. The process allows community
representatives such as citizens directly affected by abandoned or uncontrolled release
sites, interested parties, organized citizen groups, elected officials, and potentially
responsible parties to voice concerns and express preferences regarding proposed and final
remedies. Open communication between EPA and the community facilitates the collection
of information about site conditions.
The goal of this module is to describe the community involvement requirements and
policies as they relate to removal actions, remedial priorities, remedial responses, and
administrative records.
After completing this module, you will be able to:
• Provide the statutory authority for and purpose of Superfund community
involvement activities
• Explain how citizens may participate in the discovery and notification process and
may prompt a preliminary assessment and site investigation
• Identify the community involvement activities which must take place regarding
removal actions
• Specify the community involvement activities necessary to respond to the
establishment of remedial priorities (placement on or deletion from the National
Priorities List)
• Identify the community involvement activities which must take place in conjunction
with remedial actions (remedial investigation/feasibility study, selection of remedy,
record of decision, and remedial decision/remedial action)
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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• Identify the steps necessary to establish an administrative record file containing the
documents that form the basis for the selection of a response action.
Use this list of objectives to check your knowledge of this topic after you complete the
training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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Superflmd Community Involvement - 3
2. REGULATORY SUMMARY
When CERCLA was reauthorized in 1986, Congress wanted to ensure that citizens living
near Superfund sites were given the opportunity to influence cleanup decisions affecting
their community, and that they could voice concerns throughout the cleanup process.
Soliciting input from citizens living near Superfund sites provides EPA with valuable
information for selecting and implementing appropriate remedies. Community involvement
allows potentially affected citizens, interested parties, organized citizen groups, elected
officials, and potentially responsible parties to engage in meaningful dialogue with the lead
agency implementing the Superfund remedy. This two-way communication ensures public
concerns are accounted for when final remedy selection decisions are made.
The NCP requires community involvement activities at specific points in the Superfund
process. Compliance with these regulations is necessary at all Superfund sites, but the
program is flexible enough to be tailored to meet individual community needs. The
community involvement program has demonstrated that including citizens as stakeholders
enhances the effectiveness of the cleanup process.
2.1 DEFINITIONS
Familiarity with the following terms is key to understanding this module.
ADMINISTRATIVE RECORD
The administrative record contains the information the lead agency uses to select a
response action under CERCLA. This file must be available for public review and a copy
must be kept at or near the site, usually at one of the information repositories. A duplicate
file is held in a central location, such as a regional or state office.
COMMUNITY ADVISORY GROUPS
As part of EPA's initiative to increase public participation during the Superfund response
process, EPA is encouraging the use of Community Advisory Groups (CAGs). CAGs are
made up of representatives with diverse community interests and provide a public forum for
community members to present and discuss their needs and concerns about the
decision-making process at sites affecting them.
COMMUNITY INVOLVEMENT
This term refers to EPA's program to inform and encourage public participation by citizens
located near a Superfund site, other interested citizens or parties, organized
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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groups, elected officials, and potentially responsible parties in the Superfund process, as
well as to respond to community concerns.
COMMUNITY INVOLVEMENT COORDINATOR
The Community Involvement Coordinator (CIC) is a lead agency staff member who works
with the on-scene coordinator or remedial project manager to inform the public about
response actions in accordance with the interactive community involvement requirements
set forth in the NCP.
COMMUNITY RELATION PLAN
The community relations plan (CRP) is a formal plan for conducting EPA community
involvement activities at a Superfund site.
INFORMATION REPOSITORY
The information repository is a file containing current information, technical reports, and
reference documents regarding a Superfund site. The information repository is usually
located in a public building that is convenient for local residents, such as a public school,
city hall, or library.
TECHNICAL ASSISTANCE GRANT PROGRAM
The Technical Assistance Grant (TAG) program awards grants of up to $50,000 for
qualified citizens' groups to hire independent technical advisors to assist them in
understanding and commenting on technical factors in cleanup decisions. The money may
also be used to communicate technical comments to other members of the community.
2.2 BACKGROUND
In order to ensure that citizens have the opportunity to make an impact on cleanup decisions
affecting their community, and to ensure that citizens have access to all pertinent
information about a site, Congress included language in SARA §§113(k), 117, 122(d)(2),
and 122(i) stipulating community involvement activities at Superfund sites and authorizing
EPA to promulgate regulations designed to support community involvement efforts. These
authorities provide citizens the tools and information needed to become active participants
in the cleanup process, and to significantly influence the scope and direction of a cleanup.
COMMUNITY INVOLVEMENT PHILOSOPHY
Although CERCLA and the NCP require a number of community involvement activities
throughout removal and remedial processes, EPA has learned that early
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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and continuous involvement of affected citizens is a crucial aspect to successful Superfund
cleanups. The present community involvement program stresses:
• early and continuous involvement
• direct contact with citizens
• innovative activities above and beyond the statutory and regulatory requirements.
The combination of these program goals ensures the community is included throughout all
major steps in the response process.
2.3 COMMUNITY INVOLVEMENT IN SITE DISCOVERY AND
NOTIFICATION
The public may inform EPA of a hazardous substance release by using one of the methods
specified in 40 CFR §300.405(a) which include:
• Notifying EPA in accordance with CERCLA §§103(a) or 103(c)
• Reporting an observation of a release by a government agency or a citizen
• Submitting a petition to EPA or the appropriate federal facility, in accordance with
§105(d) of CERCLA, requesting a preliminary assessment of the site of a possible
hazardous substance release.
These options give citizens tools to initiate interaction with EPA through the Superfund site
discovery and notification process. Should EPA determine that further action is necessary
at a site identified by any of the discovery methods above, more formalized programs of
community involvement are made available to the public. These programs are discussed in
the following sections.
2.4 COMMUNITY INVOLVEMENT IN RESPONSE ACTIONS
Response actions include all removal actions, remedial actions, and related enforcement
activities conducted at a site identified as the source of a hazardous substance release.
Most of the community involvement regulatory requirements require notification of
availability of information, public comment periods, and other discrete actions taken at
various stages of a response. The NCP also provides assurances for certain ongoing
community involvement activities. For example, a plan of action for implementing
community involvement programs addressing the needs and concerns voiced by the
community must be developed and implemented throughout the response action.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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ADMINISTRATIVE RECORD
Section 113(k) of CERCLA requires the establishment of an administrative record file
containing all information and documentation used in the selection of a response action.
This file must contain not only those documents relevant to the chosen response action, but
also relevant comments and information, site-specific data, guidance documents, and
technical references that the lead agency considered in the ultimate response selection
decision. This record provides a legal basis for challenging and defending response action
decisions.
The administrative record file must be made available for public inspection. Regulations in
40 CFR §300.800 pertaining to the administrative record establish procedures for public
participation in the development of the file.
REMOVAL ACTIONS
A removal action is an immediate response intended to protect people from threats posed
by hazardous waste sites. In response to a removal action (40 CFR §300.415) or a CERCLA
enforcement action, a spokesperson designated by the lead agency must be available to
inform the community of all actions taken, respond to inquiries, and provide information
concerning the release (40 CFR §300.415(n)(l)). The spokesperson is responsible for
notifying all affected citizens, state and local officials, and when appropriate, civil defense
or emergency management agencies of such removal or enforcement actions. Any news
releases and statements made by participating agencies will also be coordinated between
the spokesperson and the on-scene coordinator or remedial project manager. Depending on
the length of the removal or the length of the removal planning period, the required
community involvement activities vary.
Removal Action Planning Period of Less Than Six Months
For removal actions with planning periods of less than six months, before on-site removal
activity begins, a notice must be published informing the public of the availability of the
site's administrative record file. The notice of availability must be published in a major
local newspaper within 60 days of initiation of on-site removal activity. The public must
then be given a period of at least 30 days to provide comments on the removal action based
on the supporting materials provided in the administrative record file. After the comment
period, the lead agency must prepare a written response to significant comments submitted
and add all comments and responses to the administrative record file (40 CFR
§300.415(n)(2)).
Removal Actions Extending Beyond 120 Days
If a removal action is expected to extend beyond 120 days, within the first 120 days the
lead agency must conduct interviews with local officials, community residents, public
interest groups, and other interested or affected parties to solicit their
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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concerns and informational needs. The lead agency must also use the information from
these interviews to determine how or when citizens would like to become involved in the
Superfund process (40 CFR §300.415(n)(3)).
The lead agency must prepare a community relations plan utilizing the information gathered
from the interviews. This plan outlines the community involvement activities that the lead
agency will conduct during the removal action. Its purpose is to:
• Ensure that the public receives appropriate opportunity for involvement in a wide
variety of site-related decisions, including site analysis and characterization,
alternatives analysis, and selection of remedy
• Determine, based on community interviews, appropriate activities to ensure public
involvement
• Provide appropriate opportunity for the community to learn about the site.
Finally, the lead agency must establish an information repository at or near the site,
containing all documentation relating to the removal action. The information repository
also contains the administrative record file. A notice must again be published in a local
newspaper, alerting the public to both the availability of the administrative record file and
the establishment of the information repository. The information repository is often
located at a public library, or in a local government building.
Removal Action Planning Period Longer Than Six Months
When the planning period for a removal action exceeds 6 months, the lead agency must
comply with all procedures outlined above for removal actions extending beyond 120 days.
The establishment of the administrative record file and the information repository must be
completed before final approval of the engineering evaluation/cost analysis (EE/CA) for
the removal action. The development of an EE/CA is a key part of the removal action
process, consisting of an analysis of removal alternatives for a site as required under 40
CFR§300.415(b)(4)(i).
A 30-day public comment period on the EE/CA must be announced when it is completed.
The lead agency must respond in writing to significant comments submitted and add all
comments and responses to the administrative record file.
THE NATIONAL PRIORITIES LIST
The National Priorities List (NPL) is the list of hazardous substance release sites that EPA
has identified as having highest priority for long-term remedial evaluation and response.
The aforementioned removal activities can take place at NPL sites. A non federally-owned
site placed on the NPL is eligible for Superfund-financed
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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remedial action. The procedures that must be followed to place a site on, or delete a site
from, the NPL include several community involvement requirements.
Placement of Sites on the NPL
Several different methods may be used to determine if a site is eligible to be placed on the
NPL (40 CFR §300.425(d)). Once the lead agency has identified a site as a candidate for
the NPL, EPA may formally propose that the site be included on the list.
To ensure public involvement during the proposal process, EPA must publish a notice of
proposed rulemaking in the Federal Register declaring the Agency's intent to list the site.
The proposed rule will include a request for public comments. When the proposed rule has
been finalized and the site becomes a part of the NPL, EPA will again inform the public of
its actions by publishing a Final Rule in the Federal Register. The rule will include a
response to all significant comments and information submitted during the comment period
(40 CFR §300.425(d)(5)).
Deletion of Sites from the NPL
Deletion of a site, or parcel of a site, from the NPL is warranted when no further response
action is planned. Once it has been determined that all applicable response actions have
indeed been completed, that no further response is necessary, and that the site, or parcel, no
longer poses a threat to public health or the environment, EPA (with concurrence from the
appropriate state) may propose to have the site deleted from the NPL (40 CFR
§300.425(e)). This proposal must appear as a notice of intent to delete in the Federal
Register and must provide a 30-day public comment period. EPA must also publish a notice
in a local newspaper, informing the public of both the intent to delete the site and of the
availability of the Federal Register notice of intent.
The Agency must make all documentation supporting the proposed deletion available by
placing it in the information repository. EPA must then place its response to comments and
any additional information submitted during the public comment period in the information
repository once the notice of final deletion has appeared in the Federal Register.
REMEDIAL ACTIONS
Remedial actions are long-term cleanups designed to prevent or minimize the release of
hazardous substances to reduce the risk and danger to public health or welfare, or the
environment.
EPA has established under the NCP at 40 CFR §300.430 and 300.435, a formal selection
and implementation process known as the remedial investigation/feasibility study (RI/FS)
and the remedial design/remedial action (RD/RA). In an
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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effort to select remedies for hazardous substance release sites that are protective of human
health and the environment, the RI/FS and RD/RA assess site conditions, evaluate relevant
alternatives for remediation, and implement the remedy. It is during these processes that
public participation in the remediation selection and implementation process is addressed.
Remedial Investigation/Feasibility Study
The lead agency conducts all community involvement activities relating to the RI/FS. These
activities, found in 40 CFR §§300.430(c), are similar to those required for removal
actions. Certain activities should be conducted prior to the beginning of the remedial
investigation. They include:
• Conducting interviews with local officials, community residents, public interest
groups, and other interested parties to solicit concerns, informational needs, and
citizens' preferences regarding the extent of their involvement in the Superfund
process
• Preparing a formal community relations plan specifying the community involvement
activities that the lead agency expects to undertake during the remedial response
• Informing the community of the establishment of at least one information
repository at or near the site
• Informing the community of the availability of TAGs from EPA, and placing
information concerning the application process in the information repository (see
Section 2-5).
The feasibility study must include a detailed analysis of the different remedial alternatives
(40 CFR §300.430(e)(9)). This analysis must determine which components of each
alternative the community supports, has reservations about, or opposes.
During the RI/FS process, the lead agency identifies and evaluates potential suitable
technologies, including innovative technologies. EPA has developed the Superfund
Innovative Technology Evaluation (SITE) program to encourage commercial development
of new and effective remediation techniques. The SITE demonstration program involves
soliciting public comment, opinion, and concerns on the selected technology and proposed
site usage. To aid in this process, EPA may produce videos, brochures, and fact sheets on
the SITE demonstration project, and it may also hold public meetings and conduct site visits
to facilitate public information efforts.
After completion of the RI/FS, the lead agency prepares a proposed plan, analyzing the
selection of a selection remedy to be used at a hazardous release site. In order to
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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make this information available to the public, the lead agency must publish a notice of
availability of both the proposed plan and the analysis in a local newspaper, ensure that the
proposed plan and analysis are available for public inspection in the administrative record
file, hold a public meeting, and provide a 30-day comment period to collect public
responses to the plan and analysis (40 CFR §300.430(f)(3)).
After the lead agency has selected the remedial action, that decision must be documented in
a record of decision, or ROD. The lead agency must publish a notice of availability of the
ROD in a local newspaper and make the ROD available for public inspection at or near the
facility prior to the start of the actual remedial activities (40 CFR §300.430(f)(6)).
Remedial Design/Remedial Action
RD/RA activities involve the actual design, construction, and implementation of the remedy
selected to clean up a hazardous substance release into the environment. The community
involvement activities at this stage include reviewing the community relations plan to
ensure that it continues to adequately provide for public involvement activities during the
RD/RA, issuing a fact sheet after the completion of the engineering design, and providing a
public briefing prior to the initiation of the remedial action (40 CFR §300.435(c)(l) and
(3)).
If significant changes are made to the remedy chosen in the ROD, but the changes do not
fundamentally alter the remedy, the lead agency must publish an explanation of significant
differences (BSD), place the BSD in the administrative record, and publish a summary of
the BSD in a major local newspaper (40 CFR §300.435(c)(2)(i)).
If significant changes are made to the remedy chosen in the ROD, and the changes
fundamentally alter the remedy, the lead agency must propose an amendment to the ROD.
The community involvement activities required for amending a ROD, include: publishing a
notice of availability and description of the proposed amendment in a local newspaper;
providing opportunity for comment and a public meeting; responding to significant public
comments; and placing the amended ROD in the administrative record file prior to the
commencement of the affected remedial activity (40 CFR §300.435(c)(2)(ii)).
COMMUNITY INVOLVEMENT IN PRIVATE PARTY RESPONSE ACTIONS
Any person may undertake a response action to reduce or eliminate a release of a hazardous
substance under 40 CFR §300.700(a). Private parties must adhere to all of the community
involvement requirements found in §§300.155, 300.415(n), 300.430(c)(l-4),
300A30(f)(2), (3) and (6), and 300.435(c). It is important that private parties are
"consistent with NCP" requirements for cost recovery purposes under CERCLA
§107(a)(4)(B). Private parties need not, however, establish an administrative record or an
information repository (§300.700(c)(6)).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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2.5 TECHNICAL ASSISTANCE GRANTS
SARA §117(e) amended CERCLA by authorizing the President to make $50,000 TAGs
available to citizen groups living near NPL sites. On October 1, 1992, EPA issued a final
rule for TAG applications (57 FR 45311). These grants allow communities to obtain
expert, independent technical advice on monitoring and interpreting activities related to a
site cleanup. Funds are primarily used to hire an advisor who acts as a special liaison
between the citizens and lead agency personnel. Only one TAG per site can be awarded and
there are eligibility requirements.
To be eligible, a group must be a citizen association, or an environmental or health
advocacy group that demonstrates a genuine interest in the site. The group also must be
incorporated as a nonprofit organization. In addition, the group must "match" the TAG funds
they receive by contributing 20 percent of the total cost of the project using cash or
"in-kind" donations (e.g., office supplies, bookkeeping services). Groups can receive a
matching fund waiver if requested. Detailed guidelines on what the grant funds may or may
not be used for are outlined in a four-part handbook series: Superfund Technical Assistant
Grant (TAG} Handbook: Applying For Your Grant (OSWER 9230.1-09A); Superfund
Technical Assistance Grant (TAG) Handbook: The Application Forms with Instructions
(OSWER Directive 9230.1-09B); Superfund Technical Assistance Grant (TAG} Handbook:
Procurement-Using TAG Funds (OSWER Directive 9230.1-09C); and Superfund
Technical Assistance -Grant (TAG) Handbook: Managing Your Grant (OSWER Directive
9230.1-09D).
2.6 COMMUNITY ADVISORY GROUPS (CAGS)
Community Advisory Groups (CAGs) are designed to enhance public participation in the
Superfund process. CAGs effectively facilitate community involvement allowing members
of the community, particularly those from low-income and minority groups, to participate
in the decision-making process at Superfund sites. In December 1995, EPA published the
document Guidance for Community Advisory Groups at Superfund Sites, designed to assist
EPA in developing and working with CAGs (OSWER Directive 9230.0-28). Membership in
the CAG should be as inclusive as possible, and to the extent practicable, reflect the
composition of the community near the site. Through CAGs, community members have a
direct line of communication with EPA and many opportunities for expressing their
opinions regarding issues such as cleanup levels, future land use, and remedy selection.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
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The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction used for Hotline training purposes.
Word-searchable version — Not a true copy
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