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COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTS USERS MANUAL U. S. ENVIRONMENTAL PROTECTION AGENCY OFFICE OF WASTE PROGRAMS ENFORCEMENT MAY 1989

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Page 1: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

COMPENDIUM OF CERCLARESPONSE SELECTION

GUIDANCE DOCUMENTS

USERS MANUAL

U. S. ENVIRONMENTAL PROTECTION AGENCYOFFICE OF WASTE PROGRAMS ENFORCEMENT

MAY 1989

Page 2: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

TABLE OF CONTENTS

Sfflipn Page

1.0 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . [

2.0 OVERVIEW OF COMPENDIUM USE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

2.1 USE BY EPA PERSONNEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . ->2.2 USE BY THE PUBLIC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ; ; ^

3.0 STRUCTURE OF THE COMPENDIUM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 ^

3.1 FILE STRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 o3.2 INDEX STRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 °

4.0 UPDATING THE COMPENDIUM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

4.1 REGIONAL INPUT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54.2 KEEPING THE COMPENDIUM CURRENT . . . . . . . . . . . . . . . . . . . . . . . . 6

LIST OF TABLES

Table Page

3-1 COMPENDIUM CATEGORIES AND NUMBER SERIES . . . . . . . . . . . . . . . . . . . . . 4

Appendix

A REGIONAL COMPENDIUM LOCATIONS AND ADMINISTRATIVE RECORDCOORDINATORS

B COMPENDIUM OF CERCLA RESPONSE SELECTION GUIDANCE DOCUMENTSINDEX

Page 3: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

1.0 INTRODUCTION

This manual describes how to use the "Compendium of CERCLA Response SelectionGuidance Documents" (Compendium). Each U.S. Environmental Protection Agency (EPA)Regional Office maintains a compendium of guidance documents frequently used duringdevelopment and selection of response actions under the Comprehensive EnvironmentalResponse, Compensation, and Liability Act (CERCLA).

r^(^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 andRecovery Act (RCRA), and Enforcement dockets; the Hazardous Waste Collection Database; andany existing regional compendiums. The documents in the Compendium are referenced inadministrative records for decisions on selection of response actions.

The administrative record described here is the body of documents that form the basis forselection of a CERCLA response action. Establishment of the administrative record is requiredby §113(k) of CERCLA. An administrative record is the compilation of documents considered orrelied on by EPA in making a decision. Documents that EPA anticipates will be included in theadministrative record when the decision on a response action selection is made, are referred to asthe "administrative record file." Guidance documents, or portions of guidance documents, thatare considered or relied on in selecting a CERCLA response action should be pan of anadministrative record file.

Certain frequently used guidance documents may be referenced in the index to anadministrative record but not physically included in the administrative record file. The referenceshould indicate the title and location of any documents included in the administrative record butmaintained in the Compendium, which is kept at a central regional location. If a guidancedocument that is not listed in the Compendium is considered or relied on in selecting the responseaction, the document must be physically included in the administrative record file. TheCompendium helps reduce the burden of copying and storing multiple copies of frequently usedguidance documents.

Section 2.0 of this manual briefly discusses use of the Compendium by EPA personnel andthe pubi ic . Section 3.0 discusses che Compendium's file and index structure. Documents in theCompendium are filed in three-ring binders and listed on an index which is generated by and

Page 4: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

maintained on a computer database. Procedures for updating the Compendium are presented inSection 4.0.

2.0 OVERVIEW OF COMPENDIUM USE

The Compendium is intended for use by two groups: EPA personnel, during the processof response action selection and administrative record development, and the public, for review ofdocuments referenced in the index to an administrative record.

r^r~~oThe 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 mayalso be policies, memoranda, clarifications, case studies, manuals, handbooks, reports, and otherdocuments used in the selection of CERCLA response actions.

2.1 USE BY EPA PERSONNEL

EPA personnel use the Compendium primarily to reference frequently used guidancedocuments that may be maintained in the Compendium rather than physically included in eachadministrative record file. The index must indicate which documents are physically located inthe Compendium and must specify the location and accessibility of the Compendium. The indexshould also reference only the specific documents in the Compendium that were considered orrelied on for the site for which the record is being compiled. The index should not reference theentire Compendium.

2.2 USE BY THE PUBLIC

As with any unrestricted document included in a record, the Compendium documents areaccessible for public review. When EPA publishes a notice of availability of an administrativerecord file, that notice will include the location of the Compendium. The Compendium will beavailable for public viewing at a central regional establishment (for example, the EPA RegionalOffice), and not at or near the site for which the record is being compiled. (See Appendix A fora list of the location of each regional copy of the Compendium and the names of the Regional

Administrative Record Coordinators.)

o

Page 5: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

3.0 STRUCTURE OF THE COMPENDIUM

Currently, the Compendium is organized into 10 categories. An overview of the filestructure is presented below, as well as a discussion of the index that identifies the documentsincluded in the Compendium. This section also discusses the data elements identified in theindex. The data elements provide vital information on the documents included in theCompendium and are contained in a database used to compile the Compendium and generate theindex.

"fc~~3.1 FILE STRUCTURE 2o

0

The Compendium is structured according to 10 major categories that generally reflect thevarious components of a response action selection under CERCLA. Table 3-1 lists the currentCompendium categories. The documents are further grouped into subcategories that indicate-heir more scecific nature, when applicable. For example, the remedial investigation/feasibilitystudy (RI/FS) section of the Compendium is broken down into more specific subcategories toidentify the wide range of RI/FS documents available. When the documents apply to multiplecategories, secondary references are provided in the Compendium index.

Each document has been assigned a unique four-digit document number. The bounddocuments contained in each category are arranged numerically. When a user wants to access adocument, 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.thai document is also identified in the Compendium index. The index, contained as the firstdocument in the Compendium, provides the information necessary to identify and locate thedesired document. (For a copy of the current Compendium index, see Appendix B.)

Because in most cases the user will know the title of the document rather than the numberassigned, the index lists the documents under each category in alphabetical order. Analphabetical listing of secondary references follows the primary documents l isted under each

category.

Page 6: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

TABLE 3-1

COMPENDIUM CATEGORIES AND NUMBER SERIES

CATEGORIES NUMBER SERIES

Index

Pre-Remedial

Removal Action

Remedial Investigation/Feasibility Study

General

RI Data Quality/Site &Waste Assessment

Land Disposal Facility Technology

Other Technologies

Groundwater Monitoring &Protection

ARARs1

Water Quality

Risk Assessment

Cost Analysis

Community Relations

Enforcement

Selection of Remedy/DecisionDocuments

00000001-09991000-19992000-2999

2000-2099

2100-21992200-22992300-2399

2400-2499

3000-39994000-49995000-59996000-69997000-79998000-8999

9000-9999

1 Applicable or Relevant and Appropriate Requirements

4

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The Compendium index is maintained on a database using dBASE III plus software. Thisdatabase contains numerous data elements that store the information distinguishing and groupingeach document into the appropriate categories. The database is currently maintained at EPAHeadquarters.

Maintaining the index in a database allows the information to be organized in differentways. For example, should the Region need an index that is sorted entirety in alphabetical orderby title, chronologically by document date, numerically by the number assigned each document, \-0

etc., EPA Headquarters can generate and forward such an index. The data elements of the 2Compendium 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 poticvor guidance documents. Updates to the Compendium are necessary in the following cases: (;)EPA releases relevant new guidance, policy, reports, etc.; (2) regional staff find additionaldocuments that should be included in the Compendium; and (3) existing documents are revised orsuperseded. EPA Headquarters will continue to monitor the information sources used to developthe initial Compendium for new or revised documents thai may qualify for inclusion in theCompendium.

Guidance documents identified for addition to the Compendium will be reviewed andrelevant information will be entered into the existing database. After the database is updated, anew index will be generated and sent to each Regional Office. This new index will replace anyprevious indices. Hard copies of the additional documents will be sent to each region forinclusion in the Compendium. The revised index will indicate the category for each newdocument.

4.1 REGIONAL INPUT

Parties involved in the response action selection process, as well as Administrative RecordCoordinators, may find documents that are frequently included in administrative records but arenot referenced in the Compendium. In SUCh cases it may be desirable to include the documents'r! th5 Compendium as pan of the updating process. However, since the Compendium is designedto be nationally applicable, only documents used frequently in different regions will be included.•\nv region-specific document should be maintained in separate regional files and not in theCompendium.

Page 8: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

4.2 KEEPING THE COMPENDIUM CURRENT

Once a document is included in the Compendium, it will remain in the Compendium 10maintain the integrity of any record that refers to it. However, documents contained in theCompendium 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 theCompendium, as appropriate, so that they will be available for the administrative record process.

(---c~~0Although 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 mainindex. The superseded index will also identify the corresponding revised version added to theCompendium to indicate the new document thai should be used.

0

Response action selections frequently rely on technical data generated at Superfund sitesacross the country. Such data is often maintained on national databases. Depending on their useand 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 isstored on two floppy diskettes that are regularly updated as additional information becomesavailable. Whenever updated PHRED diskettes are generated, they will be added to theCompendium. Those diskettes that were previously included will also remain in the Compendiumand will be identified on the superseded index.

Page 9: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

APPENDIX A

REGIONAL COMPENDIUM LOCATIONS AND ADMINISTRATIVE RECORD COORDINATORS

Region

I

II

III

Addrw90 Canal StreetBoston, MA 02203

60 Westview Street *Lexingion, MA 02173

26 Federal PlazaNew York, NY 10278

Woodbridge Avenue *Raruan Depot - Bidg 10Edison. NJ 08837

841 Chestnut StreetPhiladelphia. PA 19107

Coordinator/PH »1 . Remedial2. Removal

1. Diane Kelley(617)573-1672FTS 833-1672

2. Pam Bruno(617)860-4309

1. Jennie Delcimenio(212)264-8676FTS 264-8676

2. Mark Pane(201)321-6813FTS 340-6813

1. Margaret Leva(215)597-3037FTS 597-3037

•—. Dennis Carney(215)597-0992FTS 597-0992

IV

v

VI

345 Courtland Street, N.E.Atlanta, GA 30365

230 South Dearborn StreetChicago, IL 60604

1445 Ross Avenue12th Floor. Suite 1:00Dallas. TX 75270

1. Charlotte Williams(404)347-2930FTS 257-2930

2. Jan Rogers(404)347-3931FTS 257-3931

1. Susan Swales(312)886-7336FTS 886-7336

2. Pam Schater(312)886-2120FTS 886-2120

1. Karen Witten^ 2 ! 4 ) 6 5 5 - 5 ~ 3 5FTS 255-6735

2. JoAnn Woods(214)655-2270FTS 255-2270

The Compendium was initially distributed to remedial Administrative RecordCoordinators only. Copies may nor be located at this address.

Page 10: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

Region AddressCoordinator/PH «1. Remedial2. Removal

VII

VIII

X

726 Minnesota AvenueKansas City, KS 66101

25 Funsion Road *Kansas City, KS 66115

999 18th StreetSuite 500Denver, CO 80202

IX 2 1 5 Fremont StreetSan Francisco, CA 94105

1200 Sixth AvenueSeattle, WA 98101

1 . Maureen Hum(913)236-2856FTS 757-2856

2. Helen Bennett(913)236-3881FTS 757-3881

1 . Carol Macy(303)293-1281FTS 564-1281

2. Carol Pokorny(303)294-7638FTS 564-7638

1. Thomas Mix (acnng^(415)974-7414FTS 454-7414

2. Same

1. Lynn Williams(206)442-2121FTS 399-2121

2. Same

The Compendium was initially distributed to remedial Administrative RecordCoordinators only. Copies may not be located at this address.

Page 11: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

APPENDIX B

COMPENDIUM OF CERCLARESPONSE SELECTION

GUIDANCE DOCUMENTS

INDEX

Page 12: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

TABLE OF CONTENTS

Category - Subcateeorv

Pre-RemedialNumber Series' P^g.

0001-0002 l

1000-1008 I

2000-2012 2

2100-2119 2

2200-2212 4

2300-23:0 5

2400-2408 7

3000-3005 8

4000-4003 9

5000-5015 9

6000-6001 11

7000-7000 11

8000-8001 1:

9000-9001 1;

Removal Action

RI/FS - General

RI/FS - RI Data Quality/Site &. Waste Assessment

RI/FS - Land Disposal Facility Technology

RI/FS - Other Technologies

RI/FS - Ground-Water Monitoring & Protection

ARARs

Water Quality

Risk Assessment

Cost Analysis

Community Relations

Enforcement

Selection of Remedy/Decision Documents

Data Element Definitions

List of Organizational Abbrevia t ions and Acronyms Identified in the Inde.'

*The range for each number series identified represents the numbers assigned to those documentscurrently in the Compendium.

Page 13: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

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Page 25: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

DATA ELEMENT DEFINITIONS

The data elements of the Compendium database, as identified on the index, are shownbelow:

DATA ELEMENT

Doc No

Vol

Title

Date

Authors

Status

Pages

Tier

Attachments

OSWER/EPA Number

DEFINITION

Unique four-digit number assigned to a document includedin the Compendium according to category.

Volume number of the binder in which the hard copy ofthe document is contained.

Title of the document. Secondary Reference is identifiedfollowing the title when a document relates to more thanone category. The document itself is filed under thenumber series assigned to its primary category.

The date the document was published by or released fromthe issuing office or entity.

Authors) and affiliations). Also includes identification ofthe EPA Project Officer and issuing office, whereapplicable.

Indicates the status of a document, either draft or finalversion.

Total number of printed pages of the document, includingany attachments.

Tier 1 or Tier 2. Tier 1 documents are the core documentsof the Compendium as listed in the pamphlet titled"Selected Technical Guidance for Superfund Projects,"compiled by OERR. Tier 2 documents are ail otherdocuments included in the Compendium.

Attachments to a document by complete or abbreviatedtitle.EPA report or OSWER Directive System numbers, whereapplicable.

Page 26: COMPENDIUM OF CERCLA GUIDANCE DOCUMENTS · Compendium, it does not imply that only guidance documents are included. The documents may also be policies, memoranda, clarifications,

LIST OF ORGANIZATIONAL ABBREVIATIONS AND ACRONYMS TDENTTFTTn IN THTT TNTIFY

Organization

Agency for Toxic Substances and Disease Registry

Center for Environmental Research Information

Contract Laboratory Program

US. 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

'-lazardous 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 Solid Waste

Office of Solid Waste 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