United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
PB6-963218
EPA540-R-96-010
OSWER Directive 9205,5-06
March 1996
RCRA/UST, Superfund, & EPCRA
Hotline Training Module
Introduction to:
Superfund Community
Involvement
Updated as of November 1995
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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/UST, Superfund & EPCRA Phone Numbers:
National toll-tree (outside of DC area) ,
Local number (within DC area)
National toll-tree tor the hearing impaired (TDD)
(800) 424-9346
(703)412-9810
(800) 553-7672
The Hotline is open Irom 9 am to 6 pm Eastern Standard Time,
Monday through Friday, except tor 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
3. Module Summary 13
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Superfund 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 concents 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)
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 -Superfund Community Involvement
* 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
design/remedial action)
* 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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Superfund 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 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
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
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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4 -Superfund Community Involvement
public about response actions in accordance with the interactive community
involvement requirements set forth in the NCP.
COMMUNITY RELATIONS 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
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
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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Superfund Community Involvement - 5
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 DISCO VERY 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.
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
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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6 - Supafund Community Involvement
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(m)(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(m)(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
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(m)(3)).
The lead agency must prepare a community relations plan utilizing the information
gathered from the interviews. This plan outlines the community involvement
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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Supcrfund Community involvement - 7
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). The
EE/CA is discussed further in the module entitled The Superfund Response Process.
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 (NPL)
The NPL is the list of hazardous substance release sites that EPA has identified as
having highest priority for long-term remedial evaluation and response (see The
Superfund Response Process module). The removal activities discussed previously
may be conducted at NPL sites. NPL sites are also eligible for Superfund-financed
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.
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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8 -Superfund Community Involvement
Placement of Sites on the NFL
Several different methods may be used to determine if a hazardous release 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 through a Federal Register notice of a final
rulemaking, and provide in the rule 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 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 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 (RJ/FS) and the remedial design/remedial action (RD/RA). In an
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
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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Superfund Community Involvematt - 9
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 specific remedy to be used at a hazardous release site. In order to
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
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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10 - Superfund Community Involvement
period to collect public responses to the plan and analysis (40 CFR §300.430(0(3)).
After the remedial action selection process by the lead agency is complete,
documentation of that decision must be made in a record of decision, or ROD. The
module entitled Superfund Response Process explains the ROD in further detail.
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(0(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 (ESD), place the ESD in the administrative record, and publish
a summary of the ESD 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(m),
300.430(c)(l-4), 300.430(0(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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Superfund Community Involvement - 11
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).
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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12 -Superfund Community Involvement
The information jn 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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Superfund Community Involvement' 13
3. MODULE SUMMARY
It is vital that the CERCLA community involvement program include the public
early in site decisions. Early involvement enables EPA to receive feedback from the
affected citizens before initial decisions have been made. EPA encourages
community involvement activities beyond the formal requirements found in the
regulations, especially when it fosters an early open dialogue with potentially
affected parties. Congress mandated EPA to develop community involvement
provisions to ensure that the public is informed of the proposed actions at a
Superfund site, as well as to encourage public participation in the Superfund
process.
Community involvement activities consist of incidental requirements for public
notices and public comment on proposed response actions. In addition, structured
programs designed to facilitate public involvement throughout the Superfund
process such as community involvement plans, Technical Assistance Grants, and
the development of an administrative record file are required. The regulations are
broad enough to allow flexibility for individual communities. It is the community's
prerogative to choose how involved in the Superfund process it will be.
Nonetheless, EPA or the lead agency is required to make announcements, organize
public meetings, and allow for public comment on proposed remedial actions to
ensure the process protects human health and the environment with public
consent.
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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