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Guide to Preparing Superfund Proposed Plans, Records of Decision, and Other Remedy Selection Decision Documents

This Guide to Preparing Superfund Proposed Plans, Records of Decision, and Other Remedy Selection Decision Documents (also commonly referred to as the "ROD Guidance") has been developed to accomplish the following.

The decision documents addressed by this guidance are the Proposed Plan, the Records of Decision (ROD), the Explanation of Significant Differences (ESD), and the ROD Amendment. Section 117 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as amended by the Superfund Amendments and Reauthorization Act of 1986 (SARA), requires the issuance of decision documents for remedial actions taken pursuant to Sections 104, 106, 120, and 122. Sections 300.430(f)(2), 300.430(f)(4) and 300.435(c)(2) of the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) establish the regulatory requirements for these decision documents. This guidance document provides additional guidelines and is based upon the Superfund statute and regulations.

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For descriptions of the Guide's chapters and appendices, please see the table below.

Table of Contents:

Chapter/Appendix Description
Chapter 1 Chapter 1 presents the purpose of the guidance and an overview of the remedial response process.

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Chapter 2 Chapter 2 summarizes the roles and responsibilities of lead and support agencies in developing the Proposed Plan, highlights the requirements for the newspaper notification that announces the availability of the Proposed Plan, and discusses the public comment process.

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Chapter 3 Chapter 3 presents the purpose and regulatory requirements of the Proposed Plan and contains a detailed checklist outlining the components of a Proposed Plan. This checklist may be used as a worksheet when writing or reviewing a Proposed Plan.

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Chapter 4 Chapter 4 describes the general framework for categorizing minor and significant changes made to the Preferred Alternative before issuance of the ROD, and discusses documentation and public information activities that may be necessary as a result of these changes.

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Chapter 5 Chapter 5 summarizes the roles and responsibilities of lead and support agencies in developing the ROD and outlines how to issue the notice of ROD availability.

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Chapter 6 Chapter 6 presents the purpose and regulatory requirements for the ROD, as well as a recommended format that discusses key elements and summary tables for each section. This chapter also contains a detailed checklist outlining the components of a ROD. This checklist may be used as a worksheet when writing or reviewing a ROD.

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Chapter 7 Chapter 7 discusses the procedures to follow when changes occur to the Selected Remedy after a ROD is signed. A sample outline and checklist is presented for Explanations of Significant Differences (ESDs) and ROD Amendments.

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Chapter 8 Chapter 8 presents the recommended ROD formats for three specific types of remedial action decisions: no action, interim action, and contingency remedy decisions.

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Chapter 9 Chapter 9 presents information on documenting the following remedy selection situations: lead (Pb), presumptive remedies, and ground water.

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Appendix A Appendix A provides an example Proposed Plan that satisfies the requirements and suggestions described in this guidance.

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Appendix B Appendix B provides additional information on addressing the following groundwater issues: phased approach, non-aqueous phase liquids (NAPLs), deferral of design, and monitored natural attenuation.

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Appendix C Appendix C contains a fact sheet and a transmittal memorandum that discuss consultation procedures for Superfund response decisions.

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Appendix D Appendix D outlines the procedures for submitting final remedy selection decision documents to the Superfund Document Center at EPA Headquarters.

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Appendix E Appendix E lists additional sources of information on the remedy selection process and other stages of the remedial process that might be helpful to a remedy selection decision document writer.

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