EP 1110-3-8 

 9 April 2004 

 

 

 

 

ENGINEERING AND DESIGN 

PUBLIC PARTICIPATION IN THE DEFENSE 

ENVIRONMENTAL RESTORATION 

PROGRAM (DERP) FOR FORMERLY USED 

DEFENSE SITES (FUDS)

ENGINEER PAMPHLET 

"Approved for public release; distribution is unlimited."
EP 1110-3-8 

9 Apr 04 

AVAILABILITY 

Electronic copies of this and other U.S. Army Corps of Engineers publications are available on 

the Internet at http://www.usace.army.mil/inet/usace-docs/. This site is the only repository for 

all official USACE engineer regulations, circulars, manuals, and other documents originating 

from HQUSACE. Publications are provided in portable document format (PDF). 

i 

 DEPARTMENT OF THE ARMY EP 1110-3-8 

U.S. Army Corps of Engineers 

CEMP-RA Washington, D.C. 20314-1000 

Pamphlet 

No. 1110-3-8 9 April 2004 

Engineering and Design 

PUBLIC PARTICIPATION IN THE DEFENSE 

ENVIRONMENTAL RESTORATION PROGRAM (DERP) 

FOR FORMERLY USED DEFENSE SITES (FUDS) 

TABLE OF CONTENTS 

 Paragraph Page

Chapter 1. Introduction 

 Purpose...........................................................1-1 1-1 

 Applicability ..................................................1-2 1-1 

 Distribution Statement ..................................1-3 1-1 

 References......................................................1-4 1-1 

 Explanation of Acronyms ..............................1-5 1-2 

 Background....................................................1-6 1-3 

Chapter 2. Establishing and Maintaining 

 Public Involvement Programs 

 Scope..............................................................2-1 2-1 

 Stakeholders in the Public 

 Involvement Program..................................2-2 2-1 

 Goals of the Public 

 Involvement Program..................................2-3 2-2 

 Responsibilities..............................................2-4 2-2 

 Public Participation Activities During 

 the Environmental Restoration 

 Process ........................................................2-5 2-8 

 Public Involvement Plans ..............................2-6 2-8 

 Revision of Public Involvement Plans...........2-7 2-13 

 Communication Media and Techniques ........2-8 2-14 

 Restoration Advisory Board (RAB) ..............2-9 2-16 
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 Paragraph Page

Chapter 3. Establishing and Maintaining RABs 

 Scope..............................................................3-1 3-1 

 Determining the Need for a RAB ..................3-2 3-2 

 RAB Responsibilities.....................................3-3 3-3 

 Composition of RABs....................................3-4 3-3 

 RAB Formulation and Selection, 

 Announcement, and Training of RAB 

 Members .....................................................3-5 3-4 

 Member Rules and Responsibilities ..............3-6 3-8 

 RAB Operations.............................................3-7 3-10 

 Technical Assistance for Public 

 Participation (TAPP)...................................3-8 3-11 

Additional Technical Support........................3-9 3-19 

 Funding ..........................................................3-10 3-20 

 Reporting .......................................................3-11 3-22 

 Community Involvement ...............................3-12 3-26 

Chapter 4. Establishing and Maintaining 

 Administrative Records 

 Scope..............................................................4-1 4-1 

 Definition of Administrative Record .............4-2 4-1 

 Judicial Review..............................................4-3 4-2 

 Public Participation........................................4-4 4-3 

 Administrative Records Coordinator .............4-5 4-4 

 Procedures for Establishing the 

 Administrative Record................................4-6 4-5 

 Compilation....................................................4-7 4-6 

 Index and Table of Contents..........................4-8 4-7 

 Maintaining the Record .................................4-9 4-8 

 Contents of the Administrative Record .........4-10 4-9 

 Inclusion of Documents by 

 Reference Only ...........................................4-11 4-9 

 Postdecision Information ...............................4-12 4-10 

 Public Availability .........................................4-13 4-12 

 Administrative Record Requirements 

 for Remedial and Removal 

 Response Actions........................................4-14 4-12 
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 Paragraph Page

 Relationship to Army Records 

Information Management System 

 (ARIMS) .....................................................4-15 4-13 

 Filing and Binding .........................................4-16 4-13 

 Audit Procedures............................................4-17 4-15 

Chapter 5. Conclusion 

 Interrelation of Public 

 Involvement Program Elements..................5-1 5-1 

 Summary ........................................................5-2 5-1 

Appendix A References .................................................. A-1 

Appendix B Community Interview Questions................ B-1 

Appendix C Sample RAB Public Notice........................ C-1 

Appendix D Sample RAB Community 

 Interest Format......................................... D-1 

Appendix E Sample RAB Letter of Invitation................ E-1 

Appendix F Sample RAB Fact Sheet.............................. F-1 

Appendix G Sample RAB Operating Procedures........... G-1 

Appendix H Reporting Matrix and 

 Reporting Tables ..................................... H-1 

Appendix I Selecting Documents for the 

 Administrative Record............................. I-1 

Appendix J Model Permanent Project File Structure ..... J-1 

Appendix K Administrative Record Documents ............ K-1 

Appendix L Model Administrative Record Index .......... L-1 
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 Paragraph Page

Appendix M Model Administrative Record Data 

 Element Definition Index......................... M-1 

Appendix N Sample Visitor Sign-In Book Format......... N-1 

Appendix O Model Administrative Record 

 Transmittal Cover Letter.......................... O-1 

Appendix P Model Administrative Record Document 

 Transmittal Acknowledgment.................. P-1 

Appendix Q Sample Administrative Record 

 Fact Sheet................................................. Q-1 

Appendix R Model Administrative Record Notice of 

 Public Availability ................................... R-1 

Glossary .................................................................... Glossary-1 
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CHAPTER 1 

INTRODUCTION 

1-1. Purpose. This pamphlet provides information on public participation in the Defense 

Environmental Restoration Program (DERP) for Formerly Used Defense Sites (FUDS) through 

discussion of procedures for the establishment and maintenance of public involvement programs, 

Restoration Advisory Boards (RABs), and Administrative Records. The information presented 

herein complements the information provided in chapter 8 of the proposed ER 200-3-1. 

1-2. Applicability. This pamphlet applies to all Headquarters, U.S. Army Corps of Engineers 

(HQUSACE) elements and all U.S. Army Corps of Engineers (USACE) Commands having 

responsibility for performing hazardous, toxic, and radioactive waste (HTRW) response actions 

and military munitions response (MMR) actions at FUDS properties. Although specifically 

written as guidance for managing the public participation process in relation to the USACE 

FUDS program, the pamphlet may also be used as a guide when USACE has responsibility to 

comply with the public participation process in relation to the Installation Restoration, Base 

Realignment and Closure, and Work for Others programs and other environmental restoration 

projects requiring public involvement. 

1-3. Distribution Statement. Approved for public release; distribution is unlimited. 

1-4. References. References are at appendix A. 

1-5. Explanation of Acronyms. Acronyms used in this document are explained in the glossary. 

1-6. Background. 

 a. The Comprehensive Environmental Response, Compensation, and Liability Act 

(CERCLA) is the law, passed by Congress in 1980, which authorized the government to respond 

directly to releases, or threatened releases, of hazardous substances that may endanger public 

health, welfare, or the environment. In 1986, Congress passed amendments to CERCLA, 

entitled Superfund Amendment and Reauthorization Act (SARA). SARA authorized DERP 

under 10 United States Code (USC) 2701 et. seq. The FUDS component of DERP is managed 

and executed by USACE under authority delegated by the Department of Defense (DOD) 

through the Department of the Army (DA). SARA called for increased public participation 

during all phases of response actions and required the establishment of information repositories 

and Administrative Records for each remedial or removal response action. Under DERP, DOD 

issued policy for establishing RABs to review and comment on environmental restoration 

activities being conducted at military installations and FUDS properties. In 1996, Congress 

authorized DOD to obtain technical assistance to help RAB members and Technical Review 

Committees (TRCs) better understand the scientific and engineering issues underlying 

environmental restoration activities. In response to this authority, DOD has finalized the 
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Technical Assistance for Public Participation (TAPP) program, thereby providing an avenue 

whereby community members of RABs can obtain technical assistance. 

 b. The National Oil and Hazardous Substances Pollution Contingency Plan (NCP) is the 

Environmental Protection Agency (EPA) regulation which implemented CERCLA. The NCP 

provides detailed requirements for community involvement in all phases of environmental 

response actions. Further, the NCP established procedures and requirements for establishing and 

maintaining Administrative Records. 

 c. The statutory and regulatory authority and policy guidance indicated in paragraphs a and 

b above are the basis for the establishment and maintenance of public involvement programs, 

RABs, and Administrative Records as discussed in chapters 2, 3, and 4, respectively, of this 

pamphlet. 
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CHAPTER 2 

ESTABLISHING AND MAINTAINING 

PUBLIC INVOLVEMENT PROGRAMS 

2-1. Scope. 

 a. This chapter presents the procedures for establishing and maintaining public 

involvement programs at FUDS properties for FUDS HTRW and MMR projects. Community 

relations activities are discussed in relation to each phase of remedial and removal response 

actions. Public Involvement Plans are given special consideration due to their central 

importance in any public involvement program.* 

 b. While there can be no set formula for a public involvement program that would be 

applicable to every FUDS HTRW or MMR project because of the uniqueness of each FUDS 

property and community, there are some community relations activities that must be performed, 

at a minimum (see tables 8-1 and 8-2 of the proposed ER 200-3-1). Beyond these minimum 

requirements, public involvement programs must be tailored to the distinctive needs of each 

FUDS property and community. 

 c. All public involvement programs will meet the regulatory coordination requirements set 

forth in the proposed ER 200-3-1, chapter 9. Federal, state, and local authorities and tribal 

governments will be provided notice of and opportunity to comment on all response activities 

and significant documentation (Inventory Project Reports (INPRs), Archives Search Reports 

(ASRs), no DOD action indicated (NDAI) determinations, etc.) relating to FUDS projects. (See 

chapter 9 of the proposed ER 200-3-1 for a detailed discussion of regulatory coordination 

requirements for FUDS projects.) 

2-2. Stakeholders in the Public Involvement Program. 

a. Residents of areas containing HTRW or MMR materials. 

b. Users of a FUDS property containing HTRW or MMR materials. 

c. Business persons affected by a FUDS property containing HTRW or MMR materials. 

______________________________________________________________________________

*"Public Involvement Plan" is an Army term. The equivalent EPA term for such plans is 

"Community Involvement Plan." Although the Army terminology is consistently used 

throughout this pamphlet, the interchangeability of Public Involvement Plan and Community 

Involvement Plan is here noted to prevent confusion between this pamphlet and referenced EPA 

publications. 

d. Officials whose political or technical responsibilities, within differing jurisdictions, 

include a FUDS property containing HTRW or MMR materials. 
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e. Native American tribal governments and native Alaskan representatives dealing with 

HTRW or MMR issues. 

 f. State and Federal regulators. 

 g. USACE personnel and contractors. 

h. Other persons whose interests include the safety and environmental issues associated 

with a FUDS property containing HTRW or MMR materials. 

2-3. Goals of the Public Involvement Program. 

a. Ensure that stakeholders understand that personal and property safety is the paramount 

concern during HTRW response actions and MMR actions. 

b. Serve the community's information needs by keeping local residents, officials, and other 

stakeholders informed in a timely manner of HTRW response actions and MMR actions. 

c. Provide local residents, officials, and other stakeholders an opportunity to review and 

comment on studies being conducted and on proposed remedial or removal response alternatives 

and decisions. 

 d. Keep the public well informed of ongoing and planned public involvement activities. 

 e. Encourage and enable the public to get involved. 

 f. Listen carefully to what the public is saying. 

 g. Identify and deal responsively with public concerns. 

 h. Change planned actions where public comments or concerns have merit. 

i. Foster and maintain a climate of understanding and trust between stakeholders and 

USACE by explaining to stakeholders how USACE considered their comments, what USACE 

plans to do, and why USACE reached its decisions. 

2-4. Responsibilities. 

a. Office of Public Affairs, HQUSACE. 

(1) Coordinates or approves media responses or visits concerning HTRW response actions 

and MMR actions that have national significance. 
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(2) Coordinates public affairs issues with appropriate elements, to include the U.S. Army 

Environmental Center (USAEC); major Army and other Services commands; Office of Public 

Affairs, Headquarters, DA (HQDA); and Congressional delegations, regarding HTRW response 

actions and MMR actions, as needed. 

b. Public Affairs Office (PAO), U.S. Army Engineering and Support Center, Huntsville 

(USAESCH). 

(1) Provides public affairs guidance to USACE major subordinate command (MSC) and 

geographic district command PAOs concerning MMR actions, as requested. 

(2) Prepares, or provides input to, programmatic plans, fact sheets, and news releases 

concerning MMR issues, actions, and policy, as requested. 

(3) Provides public affairs support in the field for MMR site inspections (SIs) and response 

actions to USACE MSCs and district commands at their request and as appropriate resources 

permit. 

(4) Coordinates with lead district PAO any news or public queries and visit requests 

concerning the FUDS MMR project. 

 c. OE Center of Expertise (CX), USAESCH. The OE CX is the USACE mandatory CX 

with respect to FUDS MMR projects. The OE CX provides general support to OE Design 

Centers and removal districts. To accomplish this, the OE CX has dedicated personnel available 

for telephonic or written inquiries from OE Design Centers, districts, MSCs, or HQUSACE 

regarding regulatory and MMR safety and technical information for FUDS MMR projects. This 

includes having personnel available for timely response to specific HQUSACE-directed MMRrelated assignments. The OE CX also provides MMR technical support to any USACE element 

conducting construction and/or HTRW operations in areas where MMR materials are suspected 

or known to exist. As needed, the OE CX supports the district's execution of its responsibility 

for public affairs and interface support with EPA, tribal governments, state and local regulatory 

agencies, and the community. For a complete discussion of the roles and responsibilities of the 

OE CX, refer to ER 1110-1-8153. 

d. OE Design Centers. OE Design Centers support the geographic districts on all FUDS 

MMR projects. The Centers will designate a point of contact (POC) for each FUDS MMR 

project. The POC will coordinate all FUDS project activities with the project manager (PM). 

The POC will also perform the following: 

(1) Provides FUDS project updates to the relevant Design Center PAO. 

(2) Provides technical support to briefings and public meetings. 
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(3) Acts as representative of the relevant Design Center at RABs and other public 

involvement activities. 

 (4) Prepares, or provides input to programmatic plans, fact sheets, and news releases 

concerning MMR issues, response actions, and policy, as requested and in coordination with the 

USAESCH PAO. 

 (5) Provides, in coordination with the USAESCH PAO, public affairs support in the field 

for MMR SIs and response actions to USACE MSCs and district commands at their request and 

as appropriate resources permit. 

 (6) Supports the PM in the development of appropriate Public Involvement Plans for 

FUDS MMR projects as requested. 

 e. PAO, U.S. Army Engineer District, Omaha. 

 (1) Provides public affairs guidance to USACE MSC and geographic district command 

PAOs concerning HTRW response actions, as requested. 

 (2) Prepares, or provides input to, programmatic plans, fact sheets, and news releases 

concerning HTRW issues, response actions, and policy, as requested. 

 (3) Provides public affairs support in the field for HTRW SIs and response actions to 

USACE MSCs and district commands at their request and as appropriate resources permit. 

 (4) Coordinates with the lead district PAO regarding any news or public queries and visit 

requests concerning the FUDS HTRW project. 

 f. HTRW CX, Omaha. The HTRW CX assigns technical specialists for numerous HTRWrelated topics. USACE MSCs and districts may access various technical specialists and other 

services through designated technical liaison managers (TLMs). Specific TLMs are assigned for 

each USACE MSC/district. Each USACE MSC/district should consult with its assigned TLM 

for current USACE policy guidance on HTRW CX technical review of selected HTRW 

documents (including INPRs). 

 g. Military HTRW Design Districts. The military HTRW design district PM performs the 

following activities: 

 (1) Supports the PM to coordinate community relations activities on FUDS HTRW 

projects within the geographic district boundary. 

 (2) Supports the PM in the development of appropriate Public Involvement Plans for 

FUDS HTRW projects. 
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 (3) Provides FUDS project updates to the relevant design district. 

 h. PAO, Geographic District, USACE. 

(1) Serves as the primary POC for dissemination of information to the public and the 

media with respect to FUDS projects. 

(2) Keeps all affected USACE and HQUSACE elements informed of anticipated or 

ongoing activity at FUDS projects that could result in public inquiry. 

(3) Provides public affairs guidance and expertise to support the public involvement 

program for all phases of a FUDS HTRW or MMR project. 

(4) Produces public statements and media releases for use at major milestone 

achievements during work progress at the FUDS project. 

(5) Refers all information of national significance to the PAO, HQUSACE, for release 

through proper channels. 

(6) Serves as the spokesperson and community POC who responds to news media and 

public queries by using statements coordinated with the PM, statements coordinated with the OE 

Design Center PAO for FUDS MMR projects or the PAO at the military HTRW design district 

for FUDS HTRW projects, or statements from previously approved documents, as appropriate. 

(7) Plans and coordinates with the PM, the military HTRW design district PAO, and the 

OE Design Center PAO, as appropriate, for support of public briefings, speeches, tours, open 

houses, news media requests, and visits pertaining to FUDS HTRW and MMR projects. 

(8) Provides the PM, the military HTRW design district PAO, and the USAESCH PAO, as 

appropriate, with copies of all released information and copies of pertinent print and electronic 

news clippings. 

(9) Modifies the Public Involvement Plan to indicate the formation of the RAB and assists 

the PM in the implementation of RAB policies and procedures with respect to projects where the 

PM has established a RAB. 

i. PM, USACE District. The PM, in coordination with the geographic district PAO, is 

responsible for all community relations activities at FUDS projects when such responsibility is 

delegated by the relevant MSC. The PM will perform the following activities: 

(1) Programs funding for the public involvement program. 
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(2) Establishes and maintains information repositories. 

(3) Provides FUDS project updates and information to the geographic district PAO. 

(4) Accomplishes all coordination requirements to support the public involvement 

program. Contractors may be used to develop plans, arrange and advertise meetings, facilitate 

RABs, prepare news releases and procedures for approval, and conduct interviews. Contractors 

may not act as spokespersons for USACE. 

(5) Establishes and maintains the Administrative Record for each FUDS HTRW and 

MMR project within his or her geographic area of responsibility. 

 (6) Prepares Public Involvement Plan when applicable. (See paragraph 2-6a for statement 

as to when Public Involvement Plans are required.) 

 (7) Establishes a RAB when appropriate, then serves as the FUDS Co-Chair, overseeing 

all operations of the RAB. If a RAB is not established, the PM will document the circumstances 

which made the establishment of a RAB inappropriate. 

 (8) Prepares a summary of community relations activities following completion of various 

phases of the removal or remedial response action to evaluate their effectiveness and identify 

areas for improvement. 

(9) Develops and maintains positive community relations. 

 (10) Develops and manages community relations initiatives and activities, defined in the 

Public Involvement Plan, during removal or remedial response actions within geographic 

boundaries. 

 (11) Administers community relations contracts. 

 (12) Promotes the USACE FUDS Program regionally and locally. 

 (13) Develops memorandums of agreement in coordination with the MSC, the CXs, and 

the military HTRW design districts. 

 (14) Ensures that all documents released to the public for formal 30-day review and 

comment (e.g., remedial investigation/feasibility study (RI/FS), Proposed Plan, record of 

decision (ROD), and engineering evaluation/cost analysis (EE/CA)) are in draft-final form (i.e., 

appropriate USACE entities have reviewed the draft document, comments have been resolved, 

and the draft document has been revised to produce the draft-final document for formal 

public/regulatory review). 
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 (15) Makes the determination of eligibility/preliminary assessment (PA), SI, and remedial 

investigation (RI) reports available in the information repository after appropriate USACE/ 

regulatory review. 

 (16) Makes all final technical reports relating to FUDS projects, which are not subject to a 

legal privilege due to potential litigation, available to the public in the information 

repository/Administrative Record. The Office of Counsel will be consulted concerning such 

release. 

 (17) Ensures that a Public Involvement Plan has been developed for all FUDS properties at 

the conclusion of the SI phase, with the exception of time-critical removal response actions 

expected to extend beyond 120 days. For time-critical removal response actions expected to 

extend beyond 120 days, the Public Involvement Plan is developed within 120 days following 

the start of onsite removal response actions. For all FUDS properties that have been included on, 

or proposed for inclusion on, the NPL, the Public Involvement Plan is updated before fieldwork 

begins. 

 (18) Ensures that implementation, review, and updating of Public Involvement Plans are in 

accordance with (IAW) the NCP. 

 (19) Ensures that the public involvement program meets the regulatory coordination 

requirements set forth in the proposed ER 200-3-1, chapter 9. 

 (20) Ensures that the RAB, if one has been established for the project, is represented on 

the project delivery team (PDT) during the technical project planning (TPP) process. 

 (21) Prepares decision document (i.e., ROD/DD or Action Memorandum), obtains district 

Commander's signature, publishes a notice of the final decision in a local newspaper of general 

circulation, and updates the information repository and Administrative Record by including the 

notice, the decision document, and materials that support issuance of the decision document. 

 j. Potentially Responsible Party (PRP) District. See the proposed ER 200-3-1, chapter 5, 

for information on FUDS properties involving PRP/Third Party Site (TPS) projects. 
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2-5. Public Participation Activities During the Environmental Restoration Process. See the 

proposed ER 200-3-1, tables 8-1 and 8-2, respectively, for information on public participation 

activities for remedial (HTRW/MMR) and removal (HTRW/MMR) response actions. See the 

proposed ER 200-3-1, chapters 4 and 8, for information on public participation requirements per 

the ASR for MMR projects. 

2-6. Public Involvement Plans.* 

 a. The NCP requires that a Public Involvement Plan be prepared for all remedial response 

actions and for all removal response actions expected to extend beyond 120 days. For timecritical removal response actions expected to extend beyond 120 days, the Public Involvement 

Plan will be required no later than 120 days following the start of the onsite removal response 

action. The Public Involvement Plan for time-critical removal response actions will specify the 

community relations activities that USACE expects to undertake during the response action. 

USACE policy is that in order to ensure maximum participation in the environmental restoration 

decision-making process, an initial Public Involvement Plan will be prepared for all non-timecritical removal response actions and all remedial response actions at the conclusion of the SI 

phase. This initial Public Involvement Plan will provide a brief history, discuss SI findings, and 

indicate potential response actions. Since the Public Involvement Plan will be revised, as 

appropriate, throughout the environmental restoration process, it need not be elaborate at this 

time. It must, however, be sufficiently detailed to ensure informed public participation in the 

environmental restoration decision-making process. This is especially important with respect to 

NDAI determinations. The initial Public Involvement Plan for remedial response actions will be 

revised before the RI/FS begins and will outline community relations activities to be held during 

the RI/FS. For removal response actions, the initial Public Involvement Plan will be revised 

before the EE/CA is initiated and will outline community relations activities to be held during 

the EE/CA. The revised plan will also identify anticipated activities that are required during 

remedial or removal design and subsequent response actions (such as the preparation of a fact 

sheet after the engineering design is complete). In order to identify additional activities during 

remedial or removal design and cleanup, the revised plan will be updated before remedial or 

removal design begins. 

____________________________________ 

*USACE follows EPA guidelines in preparing its Public Involvement Plans, termed Community 

Involvement Plans by EPA. The information provided in paragraphs 2-6 and 2-7 of this 

pamphlet is consistent with the guidance provided in EPA 540-k-01-003, Superfund Community 

Involvement Handbook, April 2002 and EPA 540-k-01-004, Superfund Community Involvement 

Toolkit, September 2002. EPA 540-k-01-003 provides a generalized discussion, here and there, 

of Community Involvement Plans. EPA 540-k-01-004 provides a more detailed discussion of 

such plans, as well as a sample Community Involvement Plan. 

 b. Public Involvement Plans (other than the initial, cursory plan prepared at the conclusion 

of the SI phase) document concerns identified during community interviews and provide a 
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detailed description of the community relations activities planned on the basis of these 

interviews. Public Involvement Plans should focus on community relations techniques and 

approaches specific to the FUDS property in question, not generic program goals. 

 c. The best Public Involvement Plans generally are those that convey a working 

knowledge of the local community and its concerns, while providing a framework for addressing 

community concerns during the remedial or removal response. The public involvement program 

should include sufficient flexibility to adjust to changes either in community attitudes or in the 

schedule for technical activities at a FUDS property. The PM, in coordination with the PAO, 

should revise and update the document as changes occur at the FUDS property. Periodic updates 

ensure an accurate and timely document, promote additional opportunities for interaction with 

the public, and strengthen the relationship between the district and the local community. 

 d. While the plan format can be varied to reflect the unique characteristics of a specific 

program, the recommended format for a fully developed Public Involvement Plan consists of 

4 sections and 10 appendices: 

 (1) Section 1: Overview of Public Involvement Plan. 

 (2) Section 2: Capsule FUDS Property Description. 

 (3) Section 3: Community Background. 

 

 (4) Section 4: USACE's Public Involvement Program. 

 (5) Appendices A through G: Appendices A through G provide contact lists of key 

community leaders and interested parties. (Note: names and addresses of private citizens should 

not be included in the copy of the Public Involvement Plan that is made available to the public.) 

 (6) Appendix H: Meeting Locations. 

 (7) Appendix I: Repository Locations. 

 (8) Appendix J: Other Local Resources. 

These sections and appendices are described in greater detail below. 

 e. Section 1. Overview of Public Involvement Plan. This section generally consists of two 

brief paragraphs. The first paragraph states USACE's purpose in developing the Public 

Involvement Plan and affirms that USACE will use the community involvement activities 

outlined in the plan to ensure that community members are continuously informed about and 

provided opportunities to be involved in the environmental restoration process at the FUDS 

property. The second paragraph indicates the coverage of each section and the appendices of the 
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Public Involvement Plan, notes what sources USACE drew upon in developing the plan, and 

states that the USACE district will oversee the implementation of the community involvement 

activities outlined in the plan. 

 f. Section 2. Capsule FUDS Property Description. This brief section should describe the 

basic historical, geographical, and technical details so that readers unfamiliar with the FUDS 

property will understand why the remedial or removal response action is being executed. The 

section consists of three parts, as follows: 

 (1) FUDS Property History. Specific topics to be included in this discussion are as 

follows: 

 (a) Detailed chronological history of FUDS property use and ownership relevant to the 

problem at hand. 

 (b) Contaminants or explosives safety hazards produced by or found at the FUDS 

property. 

 (c) When and why USACE intervened. 

 (d) Community reaction to the FUDS property. 

 (2) FUDS Property Description/Location. Specific topics to be included in this discussion 

are as follows: 

 (a) Geographical location, size, and surroundings of the FUDS property. 

 (b) FUDS property in relationship to homes, businesses, schools, playgrounds, lakes, 

streams/rivers, wetlands, parks, health facilities, and wildlife species/sensitive ecological areas. 

Maps showing the location of the FUDS property within the state/region and community, the 

proximity of the FUDS property to the elements of concern indicated in (b) above, and the FUDS 

property, itself, should be included. 

 (3) FUDS Property Inspections and Cleanup Activities. Specific topics to be included in 

this discussion are as follows: 

 (a) Type of contaminants or explosives safety hazards present. 

 (b) Nature of threat and potential threat to public health, safety, and the environment, if 

known. 

 (c) History of inspections and studies conducted at the FUDS property. 
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 (d) Lead agency responsible for the FUDS property. 

 g. Section 3. Community Background. This section is usually divided into five parts, as 

follows: 

 (1) Community Profile, which describes the community (setting, population/growth, 

minorities, businesses, nearby regional centers, residential groupings, school system) and 

analyzes key local issues and interests, including the need for translation services, whether a 

second language for non-English-speaking residents or signing for the hearing impaired. 

 (2) History of Community Involvement, which should identify how the community has 

reacted to the FUDS property in the past. Specifically, the following questions need to be 

addressed in this section. What actions, if any, has the public taken to resolve problems at the 

FUDS property? How did the public view previous response actions at the FUDS property? 

How does the public perceive various levels of the government’s involvement at the FUDS 

property? Are PRPs associated with the FUDS property or past operations at the FUDS 

property? 

 (3) Key Community Concerns, which should analyze the major public concerns regarding 

the FUDS property, as well as the remedial or removal response actions proposed to deal with 

those concerns. Throughout the Community Background section, but especially in the analysis of 

community concerns, the focus should be on community perceptions of the events and problems 

at the FUDS property, not on the technical history of the FUDS property. This section will 

contain much of the information obtained during the community interviews. 

 (4) Response to Community Concerns, which discusses any community involvement 

activities USACE undertook in direct response to community concerns before the Public 

Involvement Plan was prepared. 

 (5) Summary of Communication Needs, which briefly summarizes communication needs 

and desires as identified by the community members interviewed. 

 h. Section 4. This section begins with a brief introductory narrative which states the 

overall goal of USACE's public involvement program, affirms that USACE will implement the 

community involvement activities to be discussed, and notes that the following plan is based on 

the community interviews described earlier and that it addresses each issue that was identified as 

being important to the community. The remainder of the section consists of two parts, as 

follows: 

 (1) The Plan. Each issue that was identified during the community interviews is addressed 

here. The issue is stated first, then the activity (or activities) intended to address the issue is 

presented. Following this, the objective of the activity, the method to be employed to achieve 
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this objective, and the timing for employment of the method are indicated. This pattern is 

repeated until all the issues derived from the community interviews have been addressed. 

 (2) Projected Schedule for Community Involvement Activities. A timeframe summary of 

the community involvement activities to be performed will be provided here. This summary 

may be presented in tabular format, or a matrix that relates the findings of community relations 

activities to technical and other milestones for the FUDS property could be used. 

 i. Appendices A through G: Contact Lists of Key Community Leaders and Interested 

Parties. The names, addresses, and telephone numbers of all officials and group representatives 

contacted during the community interviews, along with others who will receive information 

about developments at the FUDS property, are listed in these appendices. However, the names, 

addresses, and telephone numbers of private citizens contacted for interviews should not be 

included as a part of the plan that is made public. These names, addresses, and telephone 

numbers, however, should be included in the mailing list compiled for the FUDS property. The 

contacts identified in appendices A through G, respectively, should include: 

 (1) USACE district contacts. 

 (2) Local officials (e.g., mayor, city council members, township supervisors, health 

officials, fire department, police department). 

 (3) State/EPA officials. 

 (4) Federal elected officials. 

 (5) Environmental and active citizens groups. 

 (6) PRPs. See the proposed ER 200-3-1 for information on FUDS properties involving 

PRP/TPS projects. 

 (7) Media contacts (e.g., television, radio, newspapers). 

 j. Appendices H and I: Suggested Locations for Meetings and Information Repositories. 

Appendices H and I, respectively, will identify locations for public meetings and for the 

information repository. Facilities recommended for holding public meetings include school 

gyms, town halls, and library meeting rooms. The locations selected for public meetings should 

be accessible to handicapped individuals. Typical locations for information repositories include 

local libraries, town or city halls, and county offices. Hours that the information repositories will 

be accessible should be included, along with the names of contacts for getting into the buildings. 

The size or capacity of meeting rooms is a particularly helpful detail for later planning. 
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 k. Appendix J: Other Local Resources. The contents of this appendix will vary depending 

on the community in question. Among many possibilities, the appendix may include a list of 

local businesses that are willing to post notices or distribute flyers, as well as a list of local court 

reporters who can be contacted to document public meetings. 

2-7. Revision of Public Involvement Plans. 

 a. Description. All or parts of the fully developed Public Involvement Plan for a FUDS 

property should be revised to incorporate new information, reflect changes in community 

concerns, or prepare for community activities during remedial or removal design and subsequent 

response actions. 

 b. Purpose. The Public Involvement Plan is revised to ensure that it remains sensitive to 

citizens’ concerns through all phases of the remedial or removal response action and to evaluate 

which community relations activities were effective and which were not. 

 c. Technique. A Public Involvement Plan initially discusses the findings of the SI and 

potential response actions. If the project will proceed beyond the SI phase, the Public 

Involvement Plan is revised to outline the public involvement program techniques for the RI/FS 

or the EE/CA phase of the response action. Once the ROD/DD or Action Memorandum for a 

FUDS project is completed, it is appropriate to re-assess the nature and extent of community 

concerns and develop a new schedule of community relations activities for the design and 

cleanup phases of the response action. Revisions needed will vary from project to project. 

 d. When to Revise. Public Involvement Plans will be revised as discussed in paragraph 2-

6a above. If, after the plan has been prepared, community concerns change focus or increase in 

intensity, the plan will be revised accordingly. 

 e. Accompanying Activities. The responsiveness summary will provide some information 

to assess the nature and extent of citizens’ concerns after the RI/FS or EE/CA report has been 

reviewed by the public. Additional community interviews can provide further information for 

revising the Public Involvement Plan. 

 f. Benefits. Revising the Public Involvement Plan will help to ensure that the geographic 

district continues to respond to citizens’ concerns throughout the remedial or removal response 

action. 

 g. Limitations. The PM should make certain that resources are available to implement all 

activities identified in the revised plan. 

2-8. Communication Media and Techniques. There are many community relations activities 

available for use at FUDS HTRW/MMR projects. Not all available activities are appropriate for 

use at every FUDS project. Following is a brief discussion of communication media and 

techniques typically employed at FUDS HTRW/MMR projects. 
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a. Community Interviews. To identify the attitudes and concerns of area residents 

concerning activities at the FUDS HTRW or MMR project during the study phase (including 

time-critical removal response actions expected to extend beyond 120 days), community 

interviews will be conducted by representatives of USACE and contractors, where appropriate, 

with members of the public involvement program audiences. Appendix B provides a sample list 

of questions for the participants. Analysis of these interviews will form the basis for the fully 

developed Public Involvement Plan for the specific FUDS project in question. Under the 

Privacy Act, the Paperwork Reduction Act, and IAW AR 335-15 and USACE Supplement 1 to 

the AR, information collection via questionnaires, surveys, or interviews that involve 10 or more 

members of the public within a 12-month period must have prior approval by the USACE 

Management Information Control Officer/Privacy Act Clearance Officer, HQDA, and the Office 

of Management and Budget (OMB) before being implemented. 

 b. Fact Sheets. 

(1) Fact sheets will address concerns expressed by the local community and will include a 

capsule history of the FUDS property’s use while under DOD control, the status of studies and 

response actions, updates on schedules, and any special-interest items. Fact sheets will be 

distributed to the media, stakeholders (area residents, members of citizens groups, regulatory 

officials, elected and civic officials), and the information repositories when events warrant. 

(2) At a minimum, fact sheets will be disseminated upon an award of contract, upon 

initiation of work during the various FUDS project phases, and upon completion of FUDS 

project phases. 

(3) All fact sheets must be released through the geographic district PAO, which is the 

releasing authority. 

c. News Releases. 

(1) News releases will be disseminated to local and regional news media and the 

information repositories upon an award of contract, upon initiation of work during the various 

phases of the FUDS project, and upon completion of FUDS project phases. This medium keeps 

the news media informed directly and supplements information directly disseminated to 

stakeholders. 

 (2) All news releases must be released through the geographic district PAO, which is the 

releasing authority. 

d. Response to Queries. The geographic district PAO will serve as the POC for direct calls 

from the public and news media seeking information on FUDS HTRW or MMR projects within 

its area of geographic responsibility. 
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e. Presentations to Groups. Slide briefings, speeches, and informational programs can be 

presented upon request to civic groups. The history of the FUDS property, environmental 

studies, and current and planned response actions should be included in these presentations. 

f. Special Briefings. When appropriate, special FUDS project briefings will be given by 

representatives from USACE to local officials or RABs. Such briefings will be coordinated by 

the geographic district PAO, with logistical and technical support being provided by the military 

HTRW design district or the OE Design Center or OE removal district as appropriate on an asneeded basis. 

 g. Public Meetings. Public meetings, both formal and informal, are required when 

USACE officially accepts public comments on remedial or removal response alternatives and 

response actions. Meetings should be held near the FUDS project and in an appropriate facility 

to hold the number of expected attendees from the general public. Consideration should be 

given to audience size, accessibility, and convenience of the location for the expected 

participants from the community. Proceedings of the meeting should be placed in the 

information repository in a timely fashion. 

h. Public Availability Sessions. The use of public availability sessions, which facilitate 

one-on-one communication, is highly desirable in situations where formally structured public 

meetings/hearings are not mandated. At these sessions, poster stations manned by subject matter 

expects who can answer questions and respond to concerns will normally be set up. 

i. Good Neighbor Program. Property owners and renters of lands adjacent to or on the 

FUDS property will be included on the information mailing list as stakeholders. If sufficient 

interest exists within this group of stakeholders, as determined by the PM and the geographic

district PAO, special briefings and tours may be arranged by the PM. A visit and briefing would 

be designed to place the FUDS project into perspective and to ensure that the proper emphasis on 

safety to life and property is understood. 

j. Special Concerns Workshops. Individuals and groups may express unusual levels of 

concern or even hostility about activities that may affect the environment. If such groups or 

individuals emerge in the course of a FUDS project, they should be contacted directly by the 

geographic district PAO, in coordination with the PM, to participate in a special concerns 

workshop. If necessary, the workshop will allow for an open forum for the expression of 

concerns relating to the remedial or removal response action. 

 k. Web Sites. Web sites/project home pages are very effective community relations tools. 

 They can be used to disseminate to and receive from the public various types of information. 

They can, for example, be used in conjunction with various other of the communication 

techniques discussed above (fact sheets, news releases, response to queries, etc.). 
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2-9. Restoration Advisory Board (RAB). If a RAB is established at a FUDS HTRW/MMR 

project, it will constitute a major component of the FUDS project’s community relations 

program. Establishing and maintaining RABs is discussed in detail in chapter 3 of this pamphlet. 
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CHAPTER 3 

ESTABLISHING AND MAINTAINING RABs 

3-1. Scope. 

 a. This chapter presents the procedures for establishing and maintaining RABs at FUDS 

properties for FUDS HTRW and MMR projects. These RABs are to serve as forums for 

discussion and exchange of information between agencies and affected communities. They 

provide an opportunity for stakeholders to have a voice and actively participate in the review of 

technical documents, to review restoration progress, and to provide individual advice to decision 

makers regarding restoration activities. The Technical Assistance for Public Participation 

(TAPP) program, which supports RABs and TRCs, is also discussed. 

 b. The procedures presented in this chapter apply to all HQUSACE elements and all 

USACE Commands having responsibility for establishing and maintaining RABs at FUDS 

projects. These procedures apply to PRP projects only in those rare instances when, based on a 

formal PRP agreement, USACE serves as the lead for execution of the response actions and 

agrees to establish and maintain a RAB. In such instances, the PM will work closely with the 

Office of Counsel to ensure that no project documentation that is subject to a legal privilege due 

to potential litigation is inappropriately released. (Further information on this topic will be 

published at a later date in the proposed ER 200-3-1.) RABs will be established at all NPL 

FUDS properties and NPL-proposed FUDS properties. Where FUDS TRCs or similar advisory 

groups exist, they may be modified to become RABs, IAW paragraph 3-4d. RABs will be 

established at all other FUDS projects only where there is sufficient, sustained community 

interest as determined by the district Commander. Such interest is evidenced by any one of the 

following: 

 (1) Federal, state, tribal, or local government representatives request that a RAB be 

formed. 

 (2) Fifty local citizens sign a petition requesting that a RAB be formed. 

 (3) The PDT determines that a RAB is needed. 

For FUDS removal projects, the RAB process will be initiated when the EE/CA is initiated, 

provided any one of the criterion listed above exists. For FUDS remedial projects, the RAB 

process will be initiated when the RI/FS is initiated, provided any one of the criterion listed 

above exists. 
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3-2. Determining the Need for a RAB. 

 a. It is the responsibility of the district Commander where the PM resides to determine 

when there is sufficient, sustained community interest to establish a RAB. When more than one 

FUDS project is located within a 5- to 10-mile range of each other, a regional RAB covering 

both FUDS projects will be considered. When a FUDS project is located near an installation that 

already has an established RAB, the PM should coordinate with the installation for inclusion of 

the FUDS restoration activities in this RAB. In addition, regional joint RABs covering 

restoration activities being conducted by the different Services may be an option for inclusion of 

the FUDS project. This option should be considered and evaluated by the PM as appropriate. 

Contact HQUSACE, Directorate of Military Programs, for further information regarding 

regional joint RABs. When there is no existing RAB near the FUDS project, the PM will 

determine that at least one of the three criteria listed in paragraph 3-1b exists. Once this 

requirement has been met, various community involvement techniques should be used to 

determine whether or not a RAB should be formed. The minimum steps that must be followed 

are as follows: 

 (1) Review correspondence files to determine what community comments have been 

received regarding the FUDS project or other environmental issues related to the community. 

 (2) Review media coverage to evaluate the extent, type, and duration of such coverage. 

 (3) Determine interest of local community members through advertisement and public 

service announcements. 

 (4) Conduct interviews with officials and others involved in the environmental restoration 

process. 

 (5) Advertise in local newspapers. 

 (6) Review the Public Involvement Plan to determine if the residents indicated an interest 

in forming a RAB. Send letters and fact sheets to individuals on the mailing list to solicit their 

interest. 

 b. Local surveys also can be conducted to determine interest. If soliciting for community 

interest reveals that there is none, evidence of such solicitation and the fact that there was no 

expressed interest will be documented. That documentation will be included in the Public 

Involvement Plan and the information repository. 

 c. If no interest is expressed in forming a RAB, the PM will document that fact in a 

memorandum for record (MFR) which will be signed by the district Commander. A copy of this 

MFR will be forwarded to the relevant MSC and to HQUSACE, ATTN: CEMP-RF. The MFR, 

itself, will be placed in the permanent Project File. The PM will reassess at least every 
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2 years, or when the FUDS project circumstances change, to determine if interest develops in 

forming a RAB. 

3-3. RAB Responsibilities. The responsibilities of the RAB include the following: 

 a. Providing individual advice on environmental restoration issues to USACE and 

regulatory agencies. 

 b. Conducting regular meetings, open to the public, at convenient times and locations, in 

most cases after normal duty hours. 

 c. Recording minutes of all meetings and making them available to interested parties. 

 d. Encouraging community involvement. 

 e. Developing and using a mailing list of interested parties who wish to receive 

information on the environmental restoration process. 

 f. Reviewing and evaluating documents; for example, ASRs, sampling and analysis data, 

EE/CAs, and other technical documents. 

 g. Identifying FUDS project requirements. 

 h. Recommending priorities among FUDS projects at the FUDS property. 

 i. Proposing cleanup levels consistent with planned land use based on coordination with 

Land Reuse Authorities or other land use planning entities. 

 j. Developing a RAB mission statement. 

 k. Developing RAB operating procedures. 

 l. Ensuring that the RAB is represented on the PDT during the TPP process. 

3-4. Composition of RABs. 

 a. USACE will encourage appropriate Federal, state, and local participation in RABs. 

Ideally, RABs will be comprised of the PM (or some other, higher-level USACE manager 

designated by the district Commander), state regulatory agency representatives, other Federal, 

state, and local agencies as appropriate, local and tribal governments as appropriate, and affected 

members of the local community. The RAB at an NPL FUDS property will also have an EPA 

representative. At non-NPL FUDS properties, EPA membership will be at the discretion of the 
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EPA Regional Administrator. The PM will ensure that RAB members reflect the diversity of the 

community. 

 b. RAB members will be selected in a fair and open manner, as outlined in paragraph 3-5. 

All selections will be made in cooperation with the appropriate Federal, state, and local 

regulators and affected community members. The size of the RAB will depend on the 

complexity of the situation, the number of stakeholders, and the level of community interest. 

The number of RAB members should be large enough to reflect community diversity, yet small 

enough to be workable. It is recommended that the RAB consist of no more than 20 members. 

 c. The RAB will be jointly chaired by the PM (or some other, higher-level USACE 

manager) and a community representative. The PM co-chairperson and community cochairperson will share leadership responsibilities. The PM should obtain training in Robert’s 

Rules of Order to ensure that meetings are effectively conducted. The responsibilities of each 

chairperson, listed in paragraph 3-6, will be defined in the RAB’s operating procedures. 

 d. RABs will meet the requirements of 10 USC 2705(c) of the Defense Environmental 

Restoration Program statute which required DOD to establish TRCs. Where TRCs or other 

similar advisory groups already exist, they will be considered, in consultation with the state and 

where appropriate EPA, for conversion to RABs, rather than creating a separate board. These 

conversions will include the selection of additional community representatives, the selection of a 

community co-chairperson, and the establishment of a policy whereby meetings are open to the 

public. As a general rule, TRC members should be given preference in obtaining seats on the 

RAB in order to preserve the continuity of the restoration process. In all cases, the diversity of 

the current TRC membership should be evaluated to ensure that the RAB is representative of the 

community’s diverse interests. 

 e. The RAB will remain active until the response alternative(s) for the FUDS property has 

been selected through the ROD, the DD, or the Action Memorandum. During the remedial/ 

removal response action phase, RAB meetings will be held either once a quarter or semiannually at a minimum. More frequent meetings may be held as appropriate based on the RAB 

Operating Procedures. The RAB will be adjourned when the remedial/removal response action 

is complete. When multiple projects are being conducted at a FUDS property, and the RAB was 

established for all projects being executed at the FUDS property, the RAB will not be adjourned 

until all projects have reached the decision point. 

3-5. RAB Formulation and Selection, Announcement, and Training of RAB Members.

 a. RAB Formulation. The PM should begin informing and educating the community about 

the purpose of the RAB and opportunities for membership and participation before any RAB 

formulation meetings are held. Early on in the member recruitment process, the PM will ensure 

that all potential public members of the RAB understand that their service will be entirely 

voluntary and that they will receive no monetary compensation for their service. (See paragraph 
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3-5 

3-10c for a fuller discussion of this policy.) Sample documents that may be used in the RAB 

formulation process are provided at appendices C, D, E, and F. All community members 

identified on a local public-participation mailing list should be contacted. This process should 

be completed in consultation with the state, the EPA, and the existing TRC. 

 b. Selection of RAB Members. 

 (1) A selection panel made up of community members will be formed. This panel will 

recommend the community members who will serve on the RAB. This panel will be organized 

by the PM, with support from the geographic district PAO, in consultation with EPA, as 

applicable, and state regulators. Members of the selection panel may not serve as RAB 

members. The selection panel should represent a cross section of the community and its views. 

Representatives of minority populations and low-income groups should be included in the 

process. Panel members can be drawn from the following sources: 

 (a) Local residents/community members. 

 (b) Current TRC members. 

 (c) Local environmental groups/activists, civic groups. 

 (d) Business and religious community, school districts. 

 (e) Low-income and minority groups. 

 (f) Local government, local regulatory agencies. 

 (g) Homeowners Associations. 

 (h) Native American tribes/tribal governments. 

 (i) Landowners of FUDS properties. 

 (2) The selection panel must reflect the diverse community interests and be made up of 

community members only. A number of options may be used when forming a selection panel 

provided that the membership selection process reflects balance and diversity. The PM, in 

consultation with EPA and the state, may choose any of the following: 

 (a) Organize a selection panel of community members to nominate RAB members. 

 (b) Identify a neutral facilitator to establish the selection panel. 

 (c) Have community representatives choose the members of the selection panel. 
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 (d) Place paid public notices in the local newspapers asking for volunteers to serve on the 

selection panel. 

 (e) Ask existing community members of the TRC to act as the selection panel. 

 (f) Have the PM, the EPA, and the state representatives nominate community members to 

serve on the selection panel. 

 (3) The selection panel will identify the diverse community interest groups that need to be 

represented on the RAB. This process will be carried out with support from and in consultation 

with the geographic district PAO. Based on this identification, the panel will develop a 

solicitation process and establish criteria for selection of RAB members. 

 (4) Once the selection panel has established the selection criteria for RAB membership, 

the selection process should be initiated. The following selection process is recommended in 

order to ensure that members are selected from the diverse interest groups and to allow any other 

interested community members to be considered for RAB membership: 

 (a) Announce participation opportunities through news releases and paid public notices 

(see sample at appendix C). 

 (b) Develop a community interest form to determine community concerns and their 

interest in participating (see sample format at appendix D). Under the Privacy Act, the 

Paperwork Reduction Act, and IAW AR 335-15 and USACE Supplement 1 to the AR, 

information collection via questionnaires, surveys, or interviews that involve 10 or more 

members of the public within a 12-month period must have prior approval by the USACE 

Management Information Control Officer/Privacy Act Clearance Officer, HQDA, and OMB 

before being implemented. 

 (c) Establish a time period for receipt of the community interest forms. 

 (d) Mail letters of invitation (see sample at appendix E), fact sheets (see sample at 

appendix F), and community interest forms to all community members on the existing mailing 

list and to the groups identified by the selection panel. 

 (e) Place fact sheets and community interest forms in information repositories and at other 

locations where the public may normally look for community information, such as libraries, 

community centers, supermarkets, etc. 

 (f) Hold an initial public meeting about the RAB to discuss purpose, member solicitation 

process, and membership responsibilities; provide fact sheets and community interest forms to 

meeting attendees. 
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 (5) After the designated solicitation period ends, the selection panel will convene to 

develop a list of suggested RAB members who reflect the diverse interests of the community. 

The community interest forms submitted will be used in developing this list. The selection panel 

will submit the list of suggested RAB members, along with full explanation establishing the fact 

that the members represent the diverse interest groups of the community, to the PM for the 

district Commander’s approval. The district Commander, in consultation with EPA and state 

representatives, must accept the list unless it is determined that the diverse community interests 

are not fully represented. If this determination is made, the district Commander will specify the 

weaknesses to be corrected. The selection panel will be instructed to develop a new list for 

review and approval. Once the list is approved, the selection panel will be disbanded. 

 c. Announcement of RAB Members. 

 (1) RAB membership should be announced by the geographic district PAO, based on 

information provided by the PM, in the following manner: 

 (a) Send letters to the selected RAB members to notify them of their selection. Send news 

releases to the local newspapers announcing the formation of the RAB and the date of the first 

meeting. 

 (b) Send letters to those who submitted community interest forms but were not selected, 

announcing the names of the RAB members, thanking those not selected for their interest, 

encouraging them to attend future RAB meetings, and notifying them that their interest forms 

will be kept on file in case future membership openings should occur. 

 (c) Distribute a brief fact sheet announcing the RAB members and meeting schedule and 

publicly thanking all community members who expressed an interest in RAB participation and 

encouraging ongoing community attendance and participation at future RAB meetings. 

 (2) Additions to and deletions from the RAB can be made at any time the RAB deems 

necessary. Procedures for additions and resignations should be outlined in the operating 

procedures discussed in paragraph 3-7. A sample Operating Procedures for RABs is provided at 

appendix G. 

 d. Training of RAB Members. RAB members will require some initial orientation to 

enable them to perform their duties. The PM should work with the state, EPA, and 

environmental groups to develop methods to inform and educate RAB members. This training 

may be accomplished at initial RAB meetings or at special orientation sessions. RAB members 

will be provided instruction on the relative risk process, the budgeting process, and how these 

affect the sequencing of restoration response actions so that RABs can provide informed advice. 

 Technical support staff from state, Federal, and local agencies should be requested to attend 

such sessions to provide information and explanation to RAB members. In addition, contractors 

who are performing work at the FUDS property can provide technical support. 
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3-6. Member Roles and Responsibilities. The roles and responsibilities of RAB members 

include the following: 

 a. USACE Co-Chair. It is the responsibility of the USACE Co-Chair (i.e., the PM or the 

higher-level USACE manager) to: 

 (1) Coordinate with the community Co-Chair to prepare and distribute an agenda prior to 

each RAB meeting. 

 

 (2) Ensure that USACE participates in an open and constructive manner. 

 (3) Ensure that the RAB has the opportunity to participate in the restoration decisionmaking process. 

 (4) Ensure that community issues and concerns related to restoration are addressed when 

raised. 

 (5) Ensure that documents distributed to the RAB are also made available to the general 

public. 

 (6) Ensure that an accurate list of interested/affected parties is developed and maintained. 

This will be done with the assistance of the RAB and the geographic district PAO. 

 (7) Provide relevant policies and guidance documents to the RAB in order to enhance the 

RAB's operation. 

 (8) Ensure that adequate administrative support is provided to the RAB. 

 (9) Refer issues not related to restoration to appropriate district officials for action. 

 (10) Report back to the USACE district. 

 (11) Ensure that the RAB is represented on the PDT during the TPP process. 

 (12) Ensure that any significant documentation generated by the RAB meets the regulatory 

coordination requirements set forth in the proposed ER 200-3-1, chapter 9. 

 (13) Ensure that RAB meeting minutes summarizing topics discussed are prepared and 

made available, at a minimum, in the information repository. 

 (14) Ensure that information on activities relating to the RAB (e.g., efforts made to survey 

community interest in forming a RAB, steps taken to establish a RAB where there is sustained 
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community interest, how the RAB relates to the overall public involvement program, steps taken 

to adjourn the RAB, etc.) is documented and made available in the information repository. 

 (15) Ensure that, to the extent that RAB input is considered in a decision regarding 

response activities, information about the RAB is included in the Administrative Record. 

 (16) Ensure that all RAB meetings are open to the public and announced to the public via 

public notice. 

 b. Community Co-Chair. It is the responsibility of the community Co-Chair to: 

 (1) Coordinate with the USACE Co-Chair and RAB community members to prepare an 

agenda prior to each RAB meeting. 

 (2) Ensure that community members participate in an open and constructive manner. 

 (3) Ensure that community issues and concerns related to restoration are raised. 

 (4) Assist with the dissemination of information to the general public. 

 (5) Report back to the community. 

 (6) Serve without compensation. 

 c. RAB Community Members. It is the responsibility of RAB community members to: 

 (1) Attend RAB meetings as required by the RAB operating procedures. 

 (2) Provide individual advice and comments on restoration issues to decision makers. 

 (3) Represent and communicate community interests and concerns to the RAB. 

 (4) Act as a conduit for the exchange of information among the community, the USACE 

district(s), and environmental agencies regarding the restoration program. 

 (5) Review, evaluate, and comment on documents and other such materials related to 

restoration activities. 

 (6) Serve without compensation. 

 d. State Regulatory Agency Member. It is the responsibility of the state regulatory agency 

member to: 

 (1) Attend RAB meetings as required by the RAB operating procedures. 
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 (2) Serve as an information, referral, and resource bank for the community, the USACE 

district, and involved Federal, state, and local agencies regarding restoration activities. 

 (3) Review documents and other materials related to restoration activities. 

 (4) Ensure that applicable environmental standards and regulations are identified and 

addressed by USACE. 

 (5) Facilitate flexible and innovative resolutions of environmental issues and concerns. 

 (6) Assist in education and training for RAB members. 

 e. EPA Member. Where EPA participates, it is the responsibility of the EPA members to: 

 (1) Attend RAB meetings as required by the RAB operating procedures. 

 (2) Serve as an information, referral, and resource bank for the community, the USACE 

district, and involved Federal, state, and local agencies regarding restoration activities. 

 (3) Facilitate flexible and innovative resolutions of environmental issues and concerns. 

 (4) Ensure that applicable environmental standards and regulations are identified and 

addressed by USACE. 

 (5) Assist in education and training for RAB members. 

3-7. RAB Operations. 

 a. RAB Operating Procedures. 

 (1) The RAB is responsible for developing its operating procedures. These procedures 

should cover attendance requirements, meeting frequency, removing/replacing Co-Chairs and 

replacing/adding members, terms of service (1- or 2- year terms should be considered), methods 

for resolving disputes, process for reviewing and responding to public comments, and methods 

for public participation. These procedures should reflect the fact that all advice provided by the 

RAB is understood to be the advice of the individual RAB members, not consensus advice of the 

RAB. The RAB is not an advisory committee, as that term is used in the Federal Advisory 

Committee Act (FACA). If consensus advice is determined by the RAB to be necessary, legal 

counsel should be consulted regarding FACA applicability. A sample Operating Procedures for 

RABs is provided at appendix G. 
EP 1110-3-8 

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3-11 

(2) Each RAB will develop a brief mission statement that specifies its overall purpose. 

For example, "The RAB mission is to establish and maintain a forum with all stakeholders for 

the exchange of information in an open and interactive dialogue concerning the environmental 

restoration activities at this FUDS property." 

b. RAB Support. The PM must ensure that adequate administrative support is provided to 

establish and operate the RAB. This support will typically include the following: 

(1) Providing meeting facilities, organizing and facilitating public meetings. 

(2) Preparing and distributing meeting minutes, management of RAB mailing lists, 

mailings, and other routine word-processing tasks. 

(3) Copying/printing and distributing RAB documents, notices, and fact sheets. 

(4) Translating and distributing outreach and other RAB materials. 

(5) Modifying Public Involvement Plans to incorporate RAB requirements. 

(6) Providing certain types of training. 

3-8. Technical Assistance for Public Participation (TAPP). * The TAPP program provides 

community members of RABs and TRCs access to independent technical support through the 

use of government purchase orders. Community members of a RAB or TRC apply to the district 

Commander for independent technical assistance in interpreting scientific and engineering issues 

with regard to the nature of environmental contamination, explosives safety hazards, and 

restoration activities at a FUDS property. The RAB/TRC must demonstrate either that (1) the 

Federal, state, and local agencies responsible for overseeing environmental restoration at the 

 

* The information presented in paragraphs 3-8 through 3-11 is derived, with modifications, from

Technical Assistance for Public Participation Policy Implementation Guidance and Restoration 

Advisory Board Update, U.S. Army Corps of Engineers, April 1998. 

FUDS property, and available DOD personnel, do not have the technical expertise necessary for 

achieving the objective for which the technical assistance is to be obtained or that (2) the 

technical assistance is likely to contribute to the efficiency, effectiveness, or timeliness of 

environmental restoration activities at the FUDS property and community acceptance of 

environmental restoration activities at the FUDS property. (See Title 32, CFR, Part 203, for the 

final rule which explains the TAPP program.) 

a. Eligible Applicants. To receive independent technical assistance from USACE under 

the TAPP program, RABs and TRCs must propose a project and apply to the district Commander 

responsible for the project management. Only community members (not 
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government members) of recognized RABs/TRCs are eligible to apply for independent technical 

assistance from USACE using the TAPP authority. Also, there must be a minimum of three 

community members, i.e., nongovernment members, on a RAB/TRC in order to apply for 

TAPP. Any request for TAPP must represent the wishes of the majority of the community 

members, and the RAB/TRC must certify a majority request on the TAPP application. 

 b. Eligible TAPP Projects. The following types of technical assistance projects related to 

DERP activities at a FUDS property are eligible for funding by USACE under the TAPP 

program: 

 (1) Interpret technical documents - the FUDS program documents each stage of 

investigation and decision making with technical reports that summarize data and support 

cleanup decisions. Technical assistance may be provided to review and interpret plans and 

technical documents such as studies of the FUDS property, risk assessments, and health 

assessments. 

 (2) Assess technologies - explain the function and implications of those technologies 

elected to investigate or clean up a FUDS property (e.g., understand how vapor extraction works 

and under what conditions the technology is appropriate). 

 (3) Participate in relative risk evaluations - technical assistance may be provided to help 

RAB/TRC community members contribute to the relative risk evaluation process for a specific 

FUDS project(s). 

 (4) Interpret health and safety implications - interpret the potential health and safety 

implications of cleanup levels or response technologies or explain the health and safety 

implications of FUDS property contaminants, explosives safety hazards, and exposure scenarios. 

 (5) Certain types of training - technical training on specific restoration issues may be 

appropriate in circumstances where RAB or TRC members need education or supplemental 

information on FUDS restoration projects. (Note: TAPP may be used to obtain training to assist 

the community in understanding processes, health effects, and alternative technologies or to 

obtain 40-hour hazardous waste worker training certification to go into the "HOT" zones of 

cleanup areas. In most cases, Federal or state agency personnel can provide training.) 

 c. Ineligible TAPP Projects. The following types of technical assistance projects are not 

eligible for funding by USACE under the TAPP program: 

 

 (1) Activities associated with nonrestoration issues, such as compliance, are not eligible 

for TAPP because such activities are not within the purview of RABs/TRCs. 
EP 1110-3-8 

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 (2) Litigation or underwriting legal actions such as paying attorney fees or paying for a 

technical assistance provider to assist an attorney in preparing a legal action or preparing for and 

serving as an expert witness at any legal proceeding regarding or affecting the FUDS property. 

 (3) Political activity and lobbying as defined by OMB Circular A-122, “Cost Principles for 

Non-Profit Organizations.” 

 (4) Other activities inconsistent with the cost principles stated in OMB Circular A-122. 

 (5) Generation of new primary sampling data, such as well drilling and split sampling. 

(Note: USACE, in coordination with the regulatory agencies, is responsible for developing 

investigation strategies to ensure that potential contaminants and explosives safety hazards are 

adequately characterized. If the RAB or TRC members identify a circumstance where they feel 

that additional data collection may be necessary, these concerns should be communicated to the 

USACE Co-Chair of the RAB or TRC or to the appropriate regulatory agency for evaluation.) 

 (6) Disputes with USACE over remedy selection or any other aspects of the restoration 

program, or to reopen final Army CERCLA decisions, such as RODs, or conducting disputes 

with USACE. 

 (7) Epidemiological or health studies, such as blood or urine testing. 

 (8) Community outreach efforts, such as reproducing reports, conducting FUDS property 

tours, renting meeting rooms, and distributing newsletters. 

 d. TAPP Process. 

 (1) Step One - Identification of Need. When RAB/TRC community members initially 

determine a desire for independent technical assistance, they must demonstrate that the technical 

expertise necessary for the proposed project is not available through the Federal, state, or local 

agencies responsible for overseeing environmental restoration at the FUDS property or that the 

selection of an alternate provider will contribute to the environmental restoration activities and 

the community acceptance of these activities. In determining if the technical assistance may 

already be available, the RAB/TRC community members must first consider the following 

sources of assistance: 

 (a) Federal and state environmental regulatory agency personnel responsible for 

overseeing the environmental restoration program at the FUDS property (e.g., EPA Technical 

Assistance Grant (TAG) or Technical Outreach Services to Communities(TOSC) support). (If 

the FUDS property has been listed on the NPL, the public will be informed of the availability of 

TAGs, which are awarded and managed by EPA regional offices. If the FUDS property has not 

been listed on the NPL, the public will be made aware of the availability of TOSC support.) 
EP 1110-3-8 

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 (b) Volunteer sources from within the community (e.g., local universities or local or state 

environmental organizations). 

(c) Contractors already working at the FUDS property. 

Upon determining that other sources of assistance are unavailable or unlikely to contribute to 

the community acceptance of environmental restoration activities at the FUDS property, the 

RAB/TRC must notify the district Commander of its intention to pursue TAPP. 

The community members of the RAB/TRC then define the scope of the independent technical 

assistance, determining that it meets a genuine need of the RAB/TRC, meets the eligibility 

criteria, and is limited in scope to the available resources. 

 (2) Step Two – Application. 

 (a) Once the scope of the proposed TAPP project has been defined, the RAB/TRC 

community members must prepare and submit a formal application which specifies the type of 

assistance required and, if possible, one or more sources for this assistance. USACE districts 

should contact CEMP-RF for a copy of the latest form to be used for this purpose. The RAB or 

TRC may outline additional criteria, such as knowledge of local environmental conditions or 

specific technical issues, a prior work history within the study area which has relevant specific 

circumstances or unique challenges, or other relevant expertise or capabilities for USACE to 

consider in selecting an assistance provider. The project description prepared by the RAB/TRC 

should contain sufficient detail to enable USACE to determine the nature and eligibility of the 

project, identify potential providers, estimate costs, and prepare a statement of work (SOW) to 

begin the procurement process. The community members must identify a single POC for 

communication with the district Commander’s staff regarding the TAPP procurement process 

and confirm that the project is the result of a majority decision by the community members of the 

RAB/TRC. 

 (b) The USACE RAB Co-Chair reviews the application to ensure that it is complete, 

describes an eligible project, and will likely be within the TAPP funding limit (see paragraph 

3-10b). The USACE Co-Chair, in coordination with the RAB/TRC, prepares a draft SOW. The 

TAPP application, with the draft SOW, is forwarded to the district Commander for approval. 

 (3) Step Three – Approval. 

 (a) The district Commander or other appropriate decision authority will consider the TAPP 

request and approve or deny the TAPP application. As part of the approval process, the district 

Commander determines that the proposed project conforms to eligibility requirements, that the 

community has sought other avenues of assistance prior to applying for the TAPP, and that 

funding is available for a TAPP. When other avenues for assistance exist, but the community 

members desire an independent provider, the district Commander must assess whether or not 

providing assistance will enhance the environmental restoration program and improve 
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community support. TAPP applications that fail to meet the requirements relating to relevance 

to DOD restoration activities at the FUDS property will be denied. 

 (b) If the TAPP application is approved, the district Commander forwards the request to 

the district Contracting Officer for procurement. If the application is denied, the district 

Commander must inform the RAB/TRC, indicate the reason for denial, recommend alternatives 

for achieving the desired assistance, and describe procedures to appeal the decision IAW 

paragraph 3-8e. The RAB/TRC may then decide whether to reapply or to appeal the district 

Commander’s decision. 

 (4) Step Four – Procurement. The district Commander forwards the approved TAPP 

request to the district procurement and contracting office. Procurements generally will be 

conducted as purchase orders IAW the Federal Acquisition Regulations (FAR) (48 CFR Part 13) 

and will comply with all requirements for full and open competition under the Competition in 

Contracting Act (10 USC 2304). The district procurement and contracting office will award and 

manage the contract to the selected assistance provider. The USACE Co-Chair of the RAB will 

serve as a liaison between the RAB community members and the district procurement and 

contracting office and will also serve as the Contracting Officer’s Representative (COR). 

 (a) Finding a Potential Assistance Provider. The RAB/TRC community members may 

nominate potential assistance providers for the proposed TAPP project on the TAPP application. 

The district Contracting Officer may add these providers to the bidders mailing list. The 

RAB/TRC may have specific criteria in mind for the provider to demonstrate. Potential 

assistance providers must have: 

• Demonstrated knowledge of hazardous or toxic waste issues and/or laws. 

• Academic training in a relevant discipline. 

• Ability to review, understand, and put technical information into terms understandable 

to lay persons. 

Potential assistance providers should have: 

• Experience working on hazardous or toxic waste problems. 

• Experience in making technical presentations. 

• Demonstrated writing skills. 

• Previous experience working with community groups. 

Community members of the RAB/TRC may suggest additional provider qualifications as part of 

the TAPP application. These may be used by USACE in the procurement process to identify the 

most appropriate provider. If the district Contracting Officer selects a provider not nominated by 

the RAB/TRC, USACE must so inform the RAB/TRC and determine if they wish to proceed 

with the procurement. 
EP 1110-3-8 

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 (b) Simplified Acquisition Procedures (SAP). Because of the dollar levels involved in the 

procurement, the USACE district procurement and contracting office will generally use SAP to 

process the approved TAPP request as a purchase order. The benefits of using SAP are that 

solicitations can be shorter, contracting methods more direct, payment methods quicker, and 

documentation generally less burdensome. Factors other than price, such as prior performance 

or the demonstration of other specialized skills, may be considered and require only a minimal 

amount of documentation when SAP is used. 

 (c) Independent Government Cost Estimates. The independent government cost estimate is 

developed by the COR or his or her delegated representative based on the SOW. The district 

procurement and contracting office must be aware of the source and limits of funding for TAPP 

projects (see paragraph 3-10). The RAB/TRC should be notified if the government cost estimate 

for a proposed project exceeds the planned budget. In such instances, unless a waiver to the 

current policy limits on TAPP expenditures (see paragraph 3-10b) is approved, the procurement 

as proposed will not proceed. Given this circumstance, the RAB/TRC community members 

might wish to modify the SOW so that it more closely matches the available resources and 

resubmit the procurement request. 

 (d) COR. The COR directs the technical aspects of the contract and assesses the 

performance of the contractor, with input from the community, at the conclusion of the project. 

The USACE RAB Co-Chair will in most instances perform the function of the COR. It is 

important to remember that, although the RAB/TRC initiates the project and has a significant 

stake in its outcome, the contract is a government contract, and the contractor must receive 

direction from the government Contracting Officer. The COR must ensure that the contractor 

understands this relationship. Likewise, it is important that the RAB/TRC community members 

understand their relationship to the contractor. New tasks or changes to the work schedule or 

scope must come through the COR to the district Contracting Officer because the community 

members of the RAB cannot task the contractor directly. Communications between the 
EP 1110-3-8 

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community members of the RAB and the contractor could lead to problems if the community 

members direct the assistance provider to conduct work not identified in the purchase order 

agreement. Therefore, either the district Contracting Officer or the COR must be present during 

any such discussions. 

 (5) Step Five – Assistance Provided. When the government purchase order is awarded, the 

selected independent contractor will work with the community members of the RAB/TRC 

through the COR to provide the requested assistance. 

 (6) Step Six – Reporting. Each RAB/TRC that receives TAPP must submit a report to the 

district procurement and contracting office at project completion. This report must 

indicate, by fiscal year, the amount of TAPP funds obligated and evaluate for each project 

whether or not the TAPP assisted the community in participating in the restoration program. The 

final report must document TAPP project activities over the entire period of support and must 

describe achievements with respect to stated TAPP project purposes and objectives. Additional 

reporting requirements for the district Commander are explained in paragraph 3-11. 

 e. Appeals. 

 (1) Disagreements may occur between the USACE staff and the RAB/TRC community 

members at several points during the TAPP process. For instance, the district Commander may 

deny an application for TAPP because the budget cannot accommodate the cost near the end of a 

fiscal year, or the proposed TAPP project may be ineligible because it does not meet the 

eligibility criteria, or the RAB/TRC community members may dispute the findings of the district 

Contracting Officer regarding the proposed provider. It is in the best interest of USACE and the 

community members of the RAB/TRC to avoid disputes and to work cooperatively to resolve 

potential differences of opinion. In the event that a dispute arises, the community members of 

the RAB/TRC may wish to appeal the district Commander’s decision. The following general 

operating principles apply when a RAB/TRC wishes to appeal a decision: 

 (a) Inherently governmental functions, such as the procurement process governed by the 

FAR, are not subject to appeal. 

 (b) Eliminating disagreements and roadblocks should be emphasized. 

 (c) Appeals should be resolved quickly. 

 (d) Appeals should be resolved at the lowest level possible. 

 (e) Appeals should be resolved within the Army. 

 (2) Typically, the appeals process begins with the district Commander (15-day review); 

then to the MSC Commander (30-day review); then to the Director of Military Programs, 
EP 1110-3-8 

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HQUSACE (30-day review); and, finally, through the Director of Environmental Programs of 

the Army to the Deputy Assistant Secretary of the Army for Environment, Safety and 

Occupational Health (DASA(ESOH)) (30-day review) (see figure 3-1). For all USACE 

RABs/TRCs, DASA(ESOH) is the last authority for any appeal concerning TAPP. 

 (3) Ground rules, as they relate to the appeals process, include: 

 (a) The majority of RAB/TRC community members must agree to the appeal. 

 (b) The RAB/TRC must appoint a single spokesperson. 

 (c) Written justification, submitted to the district Commander, must accompany the appeal. 

 (d) If the district Commander chooses not to support the appeal, he or she must endorse the 

appeal to the next higher level of the chain of command, with rationale for denying the appeal. 

 (e) Appeals must follow the appeals process and cannot skip or circumvent command 

levels. At each command level, both the appeal and each Commander’s endorsement must be 

considered. 

These ground rules are designed to speed the appeals process and to ensure that the appeal has 

the support of the majority of RAB community members. 

3-9. Additional Technical Support. To ensure that RAB/TRC members clearly understand the 

issues involved in environmental cleanup activities, technical support is available from the 

district staff and via USACE contractual support. Examples of the types of technical support 

that could be provided include updates and status reports on ongoing environmental restoration 

efforts, explanation of technical and risk assessment data, explanation of the relative risk site 

evaluation procedures and results, planning and facilitating FUDS property visits, and 

preparation of briefing packages and handouts. Technical support is also available from MSCs, 

USAEC, the U.S. Army Technical Center for Explosives Safety, the U.S. Naval Explosive 

Ordnance Disposal Technical Division, EPA (TAG and TOSC support, for example), other 

Federal agencies, and state regulatory agencies. The following Army agencies are familiar with 

RABs/TRCs and the TAPP program and are able to provide assistance to the district 

Commander. 

 a. USACE CXs. Technical support is available to the RAB/TRC from the USACE HTRW 

CX and the OE CX. These organizations may provide in-house and contractual support to 

explain technical data and related issues to the RAB/TRC. In many cases, the restoration 

contractor already performing work at the FUDS property can provide technical support. The
EP 1110-3-8 

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OFFICE OF ASAIE 

DASA (ESOH) 

↑

OFFICE OF ACSIM 

ODEP 

↑

DIRECTOR OF MILITARY PROGRAMS 

HQUSACE 

↑

COMMANDER, MSC 

↑

DISTRICT COMMANDER 

↑

FUDS RAB/TRC 

Figure 3-1. Chain of Command for RAB Appeals 
EP 1110-3-8 

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3-20 

district Commander should determine the type and level of contractual support available from 

current contracts when providing technical support to the RAB/TRC. 

 b. U.S. Army Center for Health Promotion and Preventive Medicine (USACHPPM). 

USACHPPM also has a staff of environmental health professionals (including scientists, 

geologists, engineers, and physicians) to assist a RAB. The district Commander can directly 

contact USACHPPM to request support. This support can be provided by reimbursable funds, if 

needed. The USACHPPM’s Environmental Health Risk Assessment and Risk Communication 

Program can provide support to RABs by providing assistance on technical issues regarding 

human health and environmental risk. The USACHPPM program can also provide risk 

communication support to RABs through their consultation and training services, which include 

advisory, technical, and logistical support of public meetings, public exhibits, and open dialogue 

sessions. 

3-10. Funding. RABs may be eligible for TAGs from EPA to cover costs associated with NPL 

FUDS properties. For non-NPL FUDS properties, RABs may be eligible for TOSC support from 

EPA. RAB members or other community groups may form an organization and apply for a TAG 

or TOSC to obtain funding for technical support. Costs associated with administrative support to 

RABs/TRCs and TAPP are eligible for funding from the FUDS Environmental Restoration 

Account. There is no separate centrally funded RAB/TRC and TAPP account. MSC 

Commanders will program and budget RAB and TAPP support from their allocation of Program 

Objective Memorandum FUDS funds. 

 a. RAB/TRC Support. The district Commander will program funding to establish and 

operate RABs/TRCs and for the TAPP program. Costs incurred by the district Commander’s 

staff to operate RAB/TRC and provide TAPP are considered RAB administrative support and are 

funded as project management funds. The contractual support and other authorized RAB/TRC 

and TAPP execution will be recorded by using the Army Management Structure Code, i.e., 

493008.2A for RAB, 493008.2B for TRC, and 493008.2C for TAPP. The Project Execution and 

Accounting Report will be recorded under the FUDS Environmental Restoration Account. The 

district Commander’s staff should review the definition of RAB/TRC and TAPP administrative 

funding when identifying RAB funding requirements and outlays. The following are the 

RAB/TRC eligible and ineligible expenditures: 

 (1) Eligible RAB/TRC Expenditures. 

 (a) Activities directly related to the establishment and operation of a RAB will qualify as 

administrative expenses. Such expenses include member recruitment; meeting announcements; 

meeting logistics; development of mission statements and operating procedures; facilitators 

(including translators); preparation of meeting agendas, materials, and minutes; document 

reproduction for RAB members; maintenance of a RAB mailing list and mailing of relevant 

information; and orientation training. 

 (b) Contractor expenses specifically in administrative support of the RAB. 
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 (2) Ineligible RAB/TRC Expenditures. 

 (a) RAB administrative expenses do not include community involvement expenses, such 

as preparation of fact sheets or other information materials for public distribution, costs of public 

meetings, mailings, responding to public comments on the restoration program, or repository 

costs. Also, expenditures/outlays to determine the interest of a community in establishing a 

RAB/TRC are considered to be project management expenses and are not to be charged to 

RAB/TRC accounts. 

 (b) Salaries for DOD personnel, and temporary duty travel of DOD personnel in 

connection with RAB/TRC and TAPP activities. These expenditures must be captured as project 

management costs. 

 (c) Dedicated equipment, such as computers, software, facsimile machines, telephone 

lines or access, or electronic mail for RAB community members. 

 (d) Renting dedicated office space for and providing administrative support services to 

RAB community members. 

 (e) Printed stationary and personal business cards. 

 (f) Temporary duty travel, conference attendance, or conference fees for RAB community 

members. 

 (g) Compensation to RAB members for meeting attendance, work hours lost, time 

invested in reviewing and commenting on documents, travel to RAB meetings, or long distance 

telephone calls. 

 b. TAPP Support. 

 (1) Funding for independent technical assistance for RAB/TRC community members 

under the TAPP program may be necessary on a case-by-case basis. There is no separate 

appropriation for TAPP. TAPP projects will be funded from the MSC’s allocation of FUDS 

funds. TAPP is not a grant or direct funding to the RAB/TRC, nor is it a blank check to use at 

the RAB’s/TRC’s discretion. 

 (2) Current policy limits TAPP expenditures for each FUDS property with a RAB/TRC to 

an annual maximum of $25,000 or 1 percent of the cost to complete restoration activities 

(studies, design, cleanup, and operation and maintenance costs) for the FUDS property at the 

time TAPP is requested, whichever is less, with a lifetime maximum of $100,000 per FUDS 

property. 
EP 1110-3-8 

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 (3) To obtain necessary funding, the district Commanders must program appropriate 

TAPP requirements. Each PM for the FUDS property with a RAB/TRC and TAPP must 

determine his or her funding requirements in the budget cycle and program accordingly in the 

FUDS data base and/or work plans. 

 (4) Waivers to the $100,000 total and $25,000 annual funding limits may be approved by 

DASA (ESOH). Waiver requests must follow the normal appeals process (see paragraph 3-8e). 

Requests for waivers are initiated by the RAB/TRC community members and forwarded by 

endorsement with recommendations by the district Commander through the chain of command to 

DASA (ESOH). The following considerations may affect the granting of a waiver: 

 (a) The size or complexity of the FUDS restoration project. 

 (b) The nature and extent of contamination or explosives safety hazards. 

 (c) The level of restoration activity at the FUDS property. 

 (d) The size and diversity of the affected community. 

 (e) Funding received by the community from other Federal sources. 

 c. Public Participation. Public participation on the RAB/TRC and in the TAPP process 

will be strictly voluntary, with the exception that state representatives on the RAB may receive 

reimbursements authorized under the Defense and State Memorandum of Agreement process. 

USACE will not provide financial support to the public members for their services, nor will 

members be compensated for work hours lost or time invested in review and commentary on 

documents. The USACE RAB Co-Chair must ensure that the public clearly understands this fact 

during the member recruitment process and prior to any final commitment by a public 

representative to serve on the RAB/TRC or to participate in the TAPP process. 

3-11. Reporting. DOD’s Management Guidance for the Defense Environmental Restoration 

Program requires that USACE report on the RAB/TRC and TAPP activities through the Army to 

the Deputy Under Secretary of Defense for Environmental Security (DUSD(ES)). The district 

Commander will provide the following information and reports through the relevant MSC to 

HQUSACE (ATTN: CEMP-RF). Appendix H, table H-1, provides the reporting requirements 

summary. 

 a. RAB Establishment and Activities. 

 (1) The National Defense Authorization Act for Fiscal Year 1996 requires that DOD 

provide an annual RAB report on funding and activities, including TAPP. To meet these 

reporting requirements, HQUSACE summarizes RAB and TAPP data at the Army’s semiannual 

In-Process Reviews with DUSD(ES). MSCs are required to summarize the status of RABs and 
EP 1110-3-8 

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TAPPs during the semiannual FUDS Program Execution Reviews and submit these summaries 

to HQUSACE IAW table H-1. 

 (2) Army policy is that all FUDS properties with a restoration program determine 

community interest in establishing and participating in a RAB. The district Commander is, 

therefore, required either to establish a RAB at each FUDS property requiring cleanup or 

document why a RAB cannot be established. Exceptions to establishing a RAB at the FUDS 

property may be made in instances where the FUDS property owner objects to the establishment 

of a RAB, or the FUDS project duration is so short (less than 1 year from an investigation phase 

to a remedial/removal response completion phase) as to make RAB establishment infeasible, or 

the FUDS property is in a remote location with no community nearby, or all major 

environmental cleanup decisions for all FUDS projects for the entire FUDS property have 

already been made. If a RAB is not being established, the rationale for not doing so will be 

documented in an MFR which must be signed by the district Commander. A copy of this MFR 

will be forwarded to the relevant MSC and HQUSACE (ATTN: CEMP-RF). 

 (3) DUSD(ES) requires reporting on the RAB and the TAPP data. The data will be 

submitted to HQUSACE biannually by MSCs per table H-1. The data will be provided in tables 

H-1 through H-9. 

 b. TAPP. 

 (1) When the district Commander provides support to a RAB or TRC through the TAPP 

program, there are two distinct reporting requirements. The RAB/TRC is required to submit a 

report (see paragraph 3-8d(6)). In addition, the district Commander will report on the results of 

the TAPP project. The district Commander’s report must be based on the RAB/TRC report to 

the district Contracting Officer, and it must contain the following information: 

 (a) Name of the FUDS property and its identification number. 

 (b) Name of the assistance provider. 

 (c) Cost of the project. 

 (d) Duration of the project. 

 (e) Short description of the scope of the project. 

 (f) Short description of the results of the project. 

 (g) Discussion of any technical actions taken because project results conflicted with 

previous USACE views. 
EP 1110-3-8 

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 (h) RAB/TRC satisfaction with the project. 

 (i) Discussion of any problems/issues that came up during the TAPP process. 

 (j) Discussion of the resolution of any problems/issues that came up during the TAPP 

process. 

 (2) The district Commander will submit this report, along with the report submitted by the 

RAB/TRC, through the relevant MSC to HQUSACE (ATTN: CEMP-RF). HQUSACE will 

submit all TAPP reports to DUSD(ES) at semiannual In-Process Reviews. The results of a TAPP 

project should be shared with the community as a whole, and the TAPP report should be retained 

in the Administrative Record for the FUDS property restoration program. 

 c. RAB Adjournment and Dissolution. 

 (1) RAB Adjournment. The district Commander may adjourn a RAB when there is no 

longer a need for a RAB or when community interest in the RAB declines sufficiently. Any of 

the following situations is an indication that it may be appropriate to adjourn the RAB: 

 (a) There is no longer a need for the level of community participation in the 

environmental restoration program that is usually provided by a RAB. 

 (b) The FUDS property no longer has an environmental restoration program, i.e., all 

known contaminants and explosives safety hazards at the FUDS property have been reduced to 

acceptable risk levels. 

 (c) A ROD/DD or an Action Memorandum has been signed for a project. When multiple 

projects are being conducted concurrently at a FUDS property, and the RAB was established for 

all projects being executed at the FUDS property, the RAB will not be adjourned until all 

projects have reached the decision point. 

 (d) Project(s) development is at the response complete stage, and no further 

environmental restoration decisions are required. 

 (e) All environmental restoration remedies are in place and are operating properly and 

successfully. The district Commander will establish a mechanism to inform the community, 

including former RAB members, about subsequent project actions, such as LTM and 5-year 

reviews, that may interest the RAB, and allow the community to address this information as 

appropriate. At a minimum, the PM will provide this information to the community through 

status report mailings, web sites, or local information repositories. 

 (f) The RAB has achieved its desired goal as defined in the RAB Operating Procedures. 
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 (g) There is no longer sufficient, sustained community interest, as documented by the PM 

with RAB community members and community-at-large input, to sustain the RAB. The PM will 

continue to monitor for any changes in community interest that could warrant reestablishing the 

RAB. 

The district Commander will consult with EPA, the state, involved tribes, RAB members, and 

the local community, as appropriate, regarding adjourning the RAB before making a final 

decision and will consider all responses when determining the appropriate action. If the district 

Commander decides to adjourn the RAB, the district Commander will document the rationale for 

adjournment in a memorandum for inclusion in the Administrative Record, notify the public of 

the decision through written notice to the RAB members and through publication of a notice in a 

local newspaper of general circulation, and describe other ongoing public involvement 

opportunities that are available. 

 (2) RAB Dissolution. The district Commander may dissolve a RAB when the RAB is no 

longer fulfilling its intended purpose of advising and providing community input to the district 

Commander and decision makers on environmental restoration projects as described in this 

pamphlet. Although district Commanders are expected to make every reasonable effort to ensure 

that a RAB performs its intended role, circumstances may prevent the RAB from fulfilling this 

role. When this occurs, the district Commander will make a concerted effort to resolve the 

issues that are impairing the RAB's effectiveness. If this effort is unsuccessful, the district 

Commander may elect to dissolve the RAB. In making such a decision, if environmental 

restoration activities at the FUDS property are not complete, the district Commander will ensure 

that the public involvement program detailed in the Public Involvement Plan provides for 

continued, effective stakeholder participation in the environmental restoration decision-making 

process. 

 (a) To facilitate the district Commander's decision making, the PM will consult with EPA, 

state, tribal, and local government representatives, as appropriate, regarding dissolving the RAB. 

 The PM will notify the RAB community co-chair and members in writing of the intent to 

dissolve the RAB and the reasons for doing so, and provide the RAB members 30 days to 

respond in writing. The PM will consider RAB member responses, and in consultation with 

EPA, state, tribal, and local government representatives, as appropriate, determine the 

appropriate action. 

 (b) If the district Commander decides to proceed with recommending the RAB for 

dissolution, the district Commander will notify the public of the proposal to dissolve the RAB 

and provide a 30-day public comment period on the proposal. At the conclusion of the public 

comment period, the district Commander will review the public comments, consult with EPA, 

state, tribal, and local government representatives, as appropriate, and render a recommendation. 

 (c) The recommendation, responsiveness summary, and all supporting documentation will 

be sent through the relevant MSC to HQUSACE (ATTN: CEMP-RF) for further chain-of-
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command coordination for approval or disapproval. 

 (d) Once HQUSACE informs the district Commander of the final decision, the district 

Commander will document the rationale for dissolution in a memorandum for inclusion in the 

Administrative Record, notify the public of the decision through written notice to the RAB 

members and through publication of a notice in a local newspaper of general circulation, and 

describe other ongoing public involvement opportunities that are available. 

 (3) Reestablishing an Adjourned or Dissolved RAB. The district Commander may 

reestablish an adjourned or dissolved RAB if there is sufficient and sustained community interest 

in doing so and there are environmental restoration activities still ongoing at the FUDS property. 

Where a RAB is adjourned or dissolved and environmental restoration activities continue, the 

PM will reassess community interest at least every 2 years. Reassessment will include, at a 

minimum, consultation with the chain-of-command, the EPA, the state, involved tribes, and the 

local community, as appropriate, and a 30-day public comment period. Where the reassessment 

finds sufficient and sustained community interest, the district Commander will reestablish a 

RAB. Where the reassessment does not find sufficient and sustained community interest in 

reestablishing the RAB, the district Commander will document (in an MFR) the procedures 

followed in the reassessment and the findings of the reassessment. This document will be 

included in the Administrative Record for the FUDS property. 

 (4) Public Comment. If a decision is made to dissolve a RAB or reconstitute a dissolved 

RAB, the district Commander will notify the public of the proposal to dissolve or reconstitute the 

RAB and provide a 30-day public comment period on the proposal. The district Commander 

will notify the public of the decision through publication of a notice in a local newspaper of 

general circulation and distribute the notice to community members. The geographic district 

PAO will provide an updated mailing list. At the conclusion of the public comment period, the 

district Commander will review public comments, consult with the RAB, the EPA, and state, 

tribal, and local government representatives, as appropriate, prepare a responsiveness summary, 

and render a recommendation. The district Commander will notify the public of the decision. 

3-12. Community Involvement. The RAB should encourage the public to participate in 

discussions throughout the environmental restoration process. Many communication techniques 

are available for use in encouraging public involvement. The RAB should work closely with the 

geographic district PAO to ensure continued public involvement by means of the following: 

 a. A Public Involvement Plan should be in place to specify a plan of action for keeping 

the community involved and informed. (See paragraphs 2-6d through k for discussion of Public 

Involvement Plan content.) 

 b. If a Public Involvement Plan already exists for a FUDS project, that plan should be 

amended by inserting RAB information (such as meeting minutes, descriptions of public 

involvement activities, etc.) as addenda to the plan. The plan and addenda should be placed in 
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the information repositories. When the FUDS project is nearing completion, the basic plan 

should be revised to incorporate these addenda. 

 c. A mailing list of RAB members, elected officials, the local media, community groups, 

members of the public, and USACE POCs (technical and public affairs) should be developed and 

maintained. Public notices, fact sheets, and other handout materials should be sent to all 

individuals on the mailing list. (Note that the Privacy Act prohibits release of names, addresses, 

and phone numbers without prior consent.) 

 d. Information repositories should be established in the local area (at or near the FUDS 

property). These repositories, generally located at libraries or other publicly accessible 

locations, should contain documents reflecting ongoing environmental restoration activities, e.g., 

EE/CA reports, the RI/FS, proposed plans, the Public Involvement Plan, RAB meeting minutes, 

Public Notices, public comments and responses to those comments, etc. 

 e. The PM will solicit and respond (in writing) to comments. Public comment periods 

will be provided as specified in law and applicable regulations. In general, all draft and final 

documents distributed to the RAB for review and comment should be made available to the 

general public for a minimum of 30 days before comments are due. For documents where a 

review period is shorter than 30 days for regulatory staff, this same shorter review period would 

also apply to the review by the RAB and community members. Every effort should be made to 

provide the RAB and community members with an adequate review period. Special-focus 

meetings of the RAB may be called to review and comment on key documents. Formal, written 

responses should be prepared to all substantive comments received from the RAB and the 

general public. 
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CHAPTER 4 

ESTABLISHING AND MAINTAINING 

ADMINISTRATIVE RECORDS 

4-1. Scope. 

 a. This chapter presents the procedures for establishing and maintaining Administrative 

Records IAW CERCLA for all FUDS HTRW and MMR projects. 

 b. 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 in selecting a response action. 

The procedures discussed in this chapter were developed to ensure that USACE Administrative 

Records meet these twin purposes. 

 c. The procedures presented in this chapter apply to all HQUSACE elements and all 

USACE Commands having responsibility for establishing and maintaining Administrative 

Records for HTRW response actions and MMR actions at FUDS projects. These procedures 

apply to PRP projects only in those rare instances when, based on a formal PRP agreement, 

USACE serves as the lead for execution of the response actions and agrees to maintain the 

Administrative Record. In such instances, the PM will work closely with the Office of Counsel 

to ensure that no project documentation that is subject to a legal privilege due to potential 

litigation is inappropriately released. (Further information on this topic will be published at a 

later date in the proposed ER 200-3-1.) 

4-2. Definition of Administrative Record. 

 a. The Administrative Record is the body of documents that "forms the basis" for the 

selection of a particular response at the FUDS project. 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 (i.e., documents "considered or relied 

on") (see appendices I, J, and K for particulars relating to Administrative Record documentation 

requirements). 

b. This guidance uses the phrase "considered or relied on" in discussing which documents 

should be included in the Administrative Record to indicate that it is USACE’s general policy to 

be inclusive with respect to including documents in the Administrative Record. However, drafts 

or internal documents are generally not included in the Administrative Record except in specific 

circumstances (see paragraph 4-10). 

 c. The following principles will be applied in establishing Administrative Records: 
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 (1) The Record will be compiled as documents relating to the selection of the response 

action are generated or received by the Army. 

 (2) The Record will include documents that form the basis for the decision, whether or not 

they support the response selection. 

 (3) The Record will be a contemporaneous explanation of the basis for the selection of a 

response action. 

 d. With each type of document, apply the question, "Will this document be relied upon in 

selecting the response action?" Many documents that comprise the permanent Project File are 

support or housekeeping documents that are necessary, but do not contribute to the decisionmaking process. Documents such as correspondence and work and safety plans may contain 

information that would be appropriate to include. Some documents contain privileged 

government information, such as procurement negotiation memorandums or cost reports, or have 

a legal privilege, making it inappropriate to release them to the public. 

 e. The effort to establish adequate Administrative Records encompasses a vast array of 

people, including records managers, PMs, lawyers, PAO personnel, real estate office personnel, 

and personnel of other Federal agencies. The decision to include those documents labeled Ω in 

appendix I will require strong coordination with those offices that will play a role. 

 f. This procedure includes not only those documents which will comprise the 

Administrative Record, but will also include a description of a model file structure for an entire 

permanent Project File (see appendix J). This model file structure will be used for all permanent 

Project Files to ensure uniformity and consistency throughout the HTRW and MMR programs in 

the Army. 

4-3. Judicial Review. 

 a. The district where the PM resides will develop an internal procedure to channel those 

documents that are questionable for inclusion in the Administrative Record through the 

appropriate offices to ensure proper review and coordination. Appropriate offices may include 

Project Management, Records Management, and Real Estate in conjunction with the Office of 

Counsel from the district where the PM for the FUDS project resides. Since judicial review of 

any issues concerning the adequacy of any response action is limited to the Administrative 

Record, based on section 113 (j) ( l ) of CERCLA, it is imperative that Office of Counsel have 

lead responsibility in making final determinations. Counsel will become involved in making 

decisions for inclusion of documents in the Administrative Record as the documents are being 
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created. The Administrative Records Coordinator will send all questionable documents (see 

appendix k - those items marked with a Ω) to the appropriate offices for evaluation and 

recommendation as to their suitability for inclusion. 

 b. Section 113 (j)(1) of CERCLA and general principles of administrative law limit the 

courts to the use of the Administrative Record to support judicial review when the adequacy of a 

response action is being challenged. As a result, facts or arguments related to the adequacy of a 

response action that challenging parties present for the first time in court will not be considered 

since they are not included in the Administrative Record. This statutory limitation does not 

apply to other litigation which may occur involving active installations or FUDS properties. 

 c. Administrative Record review saves time by limiting the scope of trials in cases where 

the adequacy of the response action is being challenged. In these types of cases, the courts may 

limit a party challenging a decision regarding the use of discovery, hearings, or additional fact 

finding to look beyond the agency's Administrative Record, except in very limited circumstances. In particular, courts generally will not permit persons challenging a response decision to 

depose, examine, or cross-examine Federal agency decision makers concerning the selection of 

the response action. The Administrative Record may have a very important role to play in all 

litigation. For example, evidence outside the Administrative Record will be both discoverable 

and admissible in cases which are not exclusively challenging the adequacy of the response 

action. In these types of cases, the Administrative Record can be critical to help establish the 

government’s case, even if it is not the exclusive information available for use. 

 d. The Administrative Record may be cited long after officials responsible for the response 

decisions have moved into different positions or have left the lead or support agency. Judicial 

review limited to the Record saves time involved in locating former employees who may not 

remember the facts and circumstances underlying decisions made at a much earlier time. 

Therefore, the extent to which the Army benefits from having judicial review limited to the 

Record depends on the quality and completeness of each Record. 

4-4. Public Participation. 

 a. Section 113 (k) (2) of CERCLA requires that the public have the opportunity to 

participate in developing the Administrative Record for response selection. Sections 117 and 

120(f) of CERCLA also include provisions for public participation, to include state and local 

officials, in the remedial/removal response action planning and selection process. These sections 

reflect a statutory emphasis on public participation. Therefore, the Administrative Record file 

will be developed with the involvement of the public as discussed in paragraphs 4-13, 4-14, and 

4-15. Participation by interested persons will ensure that the government has considered the 

concerns of the public 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 Army's consideration of the public concerns. 
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 b. If the Army 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 Army must, therefore, make the 

information considered or relied on in selecting a response action available to the public, provide 

the 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 government's 

consideration of this information. Public availability of the Record is discussed in paragraph 

4-13. 

4-5. Administrative Records Coordinator (ARC). 

 a. Each USACE district responsible for the Administrative Record for a FUDS HTRW or 

MMR project will appoint an ARC early in the commencement of work at the FUDS project. 

This early appointment is important to ensure that the appropriate documents are included in the 

Administrative Record file as they are being created. When appropriate, this work may be 

performed as a collateral duty in those districts with a very small environmental restoration 

workload. The ARC generally has the responsibility for ensuring that the Administrative Record 

files are compiled and maintained according to this guidance and in close coordination with the 

PM, who has overall responsibility for the Administrative Record. The ARC will not be 

responsible for deciding which documents are included in a Record file. Those decisions should 

be made in coordination with the PM, the Office of Counsel, and any other related offices. As 

stated in paragraph 4-3a, the Office of Counsel has the lead responsibility for making final 

determinations on which documents will be included in the Administrative Record. The ARC 

duties include: 

 (1) Developing procedures for creating Record files. 

 (2) Ensuring that the public is notified that the Administrative Record file is available for 

inspection. 

 (3) Ensuring that a copy of the Administrative Record file is available at or near the FUDS 

project. 

 (4) Attending the reading area at the district’s office during public viewing of the 

Administrative Record file to ensure safe keeping of the documents. 

 (5) Coordinating efforts to obtain the necessary documents. 

 (6) Indexing the Administrative Record file and preparing a table of contents. 

 (7) Updating the Administrative Record file and indices on a periodic basis. 

 (8) Ensuring availability of the Administrative Record file for copying. 
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 (9) Ensuring that sampling and testing data, quality control and quality assurance 

documentation, and chain-of-custody forms are available for public inspection when these 

documents have been included by reference only. 

 (10) Coordinating with Office of Counsel on questions of relevance and privilege or 

confidentiality of documents submitted for the Record files. 

 (11) Arranging for presentation of the Administrative Record to the court when necessary 

for judicial review. 

 (12) Arranging for presentation of the Administrative Record for audit purposes. 

 (13) Maintaining the confidential portion of the Record files, if necessary. 

 b. Responsibility for designating the ARC resides with the PM. This responsibility 

includes the requirement to establish a manpower space and funding of the position unless the 

requirement will be accomplished through contract support. 

 c. If the way the Administrative Record was compiled and maintained is questioned in 

litigation, the ARC may be called upon to prepare an affidavit or testify about those procedures. 

Therefore, the ARC should be familiar with the procedures associated with compiling and 

maintaining the Administrative Record and should be qualified to fulfill the responsibilities 

outlined above. This does not imply that the ARC would be required to testify as to the content 

of the documents contained in the Administrative Record; rather, only the procedures followed 

for its compilation and maintenance. 

4-6. Procedures for Establishing the Administrative Record. 

 a. IAW CERCLA, the NCP, and various referenced guidance documents, a simple and 

comprehensive system has been developed for establishing and maintaining the Administrative 

Record and Record files for all USACE geographic districts performing FUDS HTRW or MMR 

projects. This system will also be used when a USACE district enters into an agreement with the 

lead agency to take responsibility for establishing and maintaining the Administrative Record for 

environmental restoration activities being executed. This system permits DOD to achieve the 

judicial review and public participation goals of the Administrative Record by the most efficient 

and practical means. 

 b. The Administrative Record file should be distinguished from the Administrative 

Record. The Record file refers to the documents as they are being compiled and may be thought 

of as a holding file. Until a response action decision has been selected, there is no complete 

Administrative Record for that decision. Thus, to avoid creating the impression that an 

Administrative Record is complete at any time prior to the final decision, the set of documents 
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4-6 

compiled for the response action is referred to as the Administrative Record file or Record file, 

rather than the Administrative Record. 

 c. It is the responsibility of the district where the PM resides to establish and maintain the 

Administrative Record for each FUDS HTRW or MMR project. When performing HTRW work 

at a FUDS property and MMR materials are found, a separate Administrative Record for the 

MMR work is required. When a removal or remedial response action is being executed under the 

Installation Restoration Program or the Base Realignment and Closure Program, the active 

installation on which the contaminant or explosives safety hazard is found is responsible for 

establishing and maintaining the Administrative Record unless a USACE district enters into an 

agreement to carry out this responsibility as stated in paragraph 4-6a. 

 d. The PM is responsible for ensuring that each Administrative Record has an index and a 

table of contents for ease of locating the desired documents. Refer to paragraph 4-8 and 

appendices L and M for specific procedures. 

 e. In general, every decision document (i.e., ROD for a remedial response action at an 

NPL FUDS property, DD for a remedial response action at a non-NPL FUDS property, or Action 

Memorandum for any removal response action) must be supported by an Administrative Record. 

FUDS property cleanups may be broken up into several different projects. A project may 

include several removal and/or remedial response actions for various areas within the FUDS 

property. Every removal and/or remedial response action will be supported by an Administrative 

Record. 

 f. Information relevant to more than one response decision, such as an SI report or a 

Determination of Eligibility report to include supporting historical evidence, 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 FUDS property. 

4-7. Compilation. 

 a. The Administrative Record file will be developed and maintained in both hard copy and, 

for ease of storage and distribution, electronic format. Contractors will be required to provide 

contract deliverables in both paper and electronic format. 

 b. The Administrative Record file should be compiled when the FUDS project is initiated 

as relevant documents on the response action are generated or received. Generally (see appendix 

I, note 7, for exceptions), only final versions of documents which form the basis for the selection 

of a response action which are clearly relevant and nonprivileged will become part of the 

Administrative Record, as specified in paragraph 4-2. These documents will be entered into the 

index and made available to the public as soon as possible. For example, the RI/FS work plan, 

summaries of data, the RI/FS released for public comment, the Proposed Plan, any public 

comments received on the RI/FS and the Proposed Plan, the EE/CA and EE/CA-related 
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documents, as well as USACE’s responses should be placed in the Record file and made 

available to the public as soon as they are generated or received. 

 c. Only reproduced copies of the original documents will be placed in the Record file. The 

original documents will be maintained in the permanent Project File. When there are questions 

regarding whether particular documents should be included in the Administrative Record, such 

documents can be segregated and reviewed at regular intervals with Office of Counsel and other 

appropriate offices, as described in paragraph 4-2. 

 d. When documents that are relevant to the response selection are generated or received 

after the decision document for the selection of a response action has been signed, they should be 

placed in a postdecision document file and may be added to the Administrative Record file in 

certain circumstances, as explained in paragraph 4-12. 

4-8. Index and Table of Contents. 

 a. Each Administrative Record must be indexed and have a table of contents. The index 

plays a key role in enabling both the Army and members of the public to locate and retrieve 

documents included in the Record. In addition, the index can be used for public information 

purposes for identifying documents located elsewhere, such as related technical literature used 

for research purposes. A Data Element Definition Index is provided at appendix M. The 

information listed in this appendix should be keyed into the data base for indices on every 

document included in the Administrative Record. The table of contents also serves as an 

overview of the history of the response action at the FUDS project. 

 b. The Administrative Record index provides the Army with a degree of control over 

documents located at or near the FUDS project. The creation of an index will prevent persons 

from altering the Record simply by physically adding documents to or removing documents from 

the Record file. 

 c. Documents related to the selection of the response action will be received throughout 

the FUDS project phases. These documents should be placed in the Administrative Record file 

at regular intervals to facilitate public review and input. Concurrently, the table of contents and 

index should also be updated. 

4-9. Maintaining the Record. 

 a. The official Administrative Record file will be maintained at the district which has PM 

responsibility for the response action. A duplicate copy of the file will be located at or near the 

FUDS project. The public should be provided access to the file at both locations. Procedures for 

a Document Reading Room, to be located at the district’s office, will be established by each 

district to ensure that the integrity of the file is maintained and that public access to the file is 

orderly. It may be necessary to contract for space or seek an agreement with a local government, 
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community center, or library to use their facility as a repository for public viewing of the 

duplicate copy (located at or near the FUDS project) of the Administrative Record file. 

 b. In establishing public access procedures for the Document Reading Room, the security 

and integrity of the Record files must be maintained to the greatest extent practicable. The ARC 

will maintain the reading room and periodically review the Record file to ensure the integrity of 

the documents. Visitors should be able to view the Record file during reasonable hours (e.g., 

Monday-Friday, 9:00 a.m. - 4 :00 p.m. at a minimum, with expanded hours, wherever possible, 

to accommodate evening visitors). The public reading area should include, where feasible: 

 (1) Administrative Record file. 

 (2) Access to a copier. 

 (3) Sign-in book. 

 c. Controlled access to the files is accomplished by use of a visitor sign-in book which 

may help to minimize instances in which documents are lost or damaged. (See appendix N for a 

sample format for the visitor sign-in book.) The sign-in book provides documentation of the 

government's efforts to provide public access to the Record files. Pertinent information recorded 

in the book could include: 

 (1) Date of visit. 

 (2) Name. 

 (3) Affiliation. 

 (4) Address. 

 (5) Phone number. 

 (6) FUDS project documents viewed. 

 (7) Cost of copied materials (if applicable). 

 d. Since documents in the Record file should be complete, properly organized, and 

legible, the integrity of the Record file must be maintained. Storage and reading areas should be 

supervised by the ARC to maintain proper security. Documents should not leave the document 

room or be left unattended. The ARC should check the order of the documents after they are 

viewed by the public to be certain that all documents have been returned intact. 
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 e. The Administrative Record file located at a local repository at or near the FUDS 

project should be handled with similar care. A cover letter should accompany the 

Administrative Record file when the Record is initially provided to the local repository. This 

letter should explain the purpose of the Administrative Record, what it consists of, the public's 

right to review it, and information on how this Record should be maintained. A model 

transmittal cover letter is provided at appendix O for this purpose. Appendix P contains a model 

document transmittal acknowledgment form which can be used to obtain a receipt-acknowledged 

response from the local repository receiving the Administrative Record file. If possible, the 

Administrative Record file should be treated as a noncirculating reference; it should not leave the 

local repository except under supervision. The phone number of the ARC should be provided to 

the Administrative 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 information fact sheet 

accompanying the Administrative Record file (see appendix Q). In addition, the ARC should 

plan periodic reviews of the Administrative Record file at the local repository to ensure that it 

remains complete and intact. 

4-10. Contents of the Administrative Record. See appendix I for a comprehensive listing of 

documents to be considered for inclusion in the Administrative Record. Some of these 

documents, as the appendix I guidance indicates, may not be included, depending on a review by 

the PM, the Office of Counsel, and other associated offices. The term "document" covers a 

variety of written material, such as pieces of correspondence, data reports, assessments, plans, 

newspaper articles, notices, and fact sheets. The two primary purposes for establishing the 

Administrative Record, as specified in paragraph 4-2, should be observed when selecting 

documents for inclusion. 

4-11. Inclusion of Documents by Reference Only. 

 a. Certain documents which are included in the Administrative Record do not have to be 

maintained at the local repository because of the nature of the documents and the burden 

associated with maintaining such documents in multiple locations. These documents, however, 

must be incorporated into the Administrative Record by reference (i.e., in the index but not 

physically in the Record 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 FUDS project, 

the Army must, upon request, make the document available to the public by including the 

document in the Administrative Record. This guidance applies to verified sampling data, chainof-custody forms, and additional guidance and policy documents. It does not apply to 

documents marked with a security classification, such as “confidential” or “secret,” nor does it 

apply to documents marked with For Official Use Only (FOUO) or privileged documents. 

 b. Unless requested, the following types of documents do not have to be located in 

multiple locations: 
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4-10 

 (1) Verified sampling data may be left in its original storage location. Data summary 

sheets, however, must be located in the Record file. The index must list the data summary 

sheets, reference the underlying verified sampling data, and indicate where the sampling data can 

be found. 

 (2) 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. 

 (3) When a confidential or FOUO document is included in the Record file, it should be 

maintained IAW the appropriate security regulations. The index should identify only the title 

and/or any other unclassified portions of the document. In some cases, historical records used in 

the research to determine FUDS property conditions may have been classified at one time. 

However, because of the length of time from the original classification, classifiers may decide to 

change the classification, or an individual may request a declassification when appropriate. 

Classified documents placed in the Administrative Record will be maintained IAW AR 380-5 

and any local supplements thereto. 

 (4) Some documents in the Administrative Record file may be protected from public 

disclosure on the basis of an applicable privilege. Applicable privileges may include, but are not 

limited to, attorney-client communications; attorney work products; trade secrets or confidential 

business or financial information; the deliberative process information, which includes predecisional communications expressing opinions, advice, analysis, and recommendations of staff 

or contractors to agency decision-making officials; Privacy Act information; procurement source 

selection or procurement integrity information; or national security classified information. 

 (5) Guidance and policy documents need not be physically included in the Record file, 

but those guidance or policy documents considered or relied on in selecting the response action 

must be listed in the index to the Administrative Record along with their location and 

availability. 

 (6) Publicly available technical literature that was not generated for the FUDS project at 

issue, such as engineering textbooks, articles from technical journals, etc., does not have to be 

located at or near the FUDS project. The document must be clearly referenced in the index 

unless it has been referenced in a document which is already included in the index. 

4-12. Postdecision Information. In all cases, documents generated or received after the decision 

document has been signed should be kept in the permanent Project Files. In general, 

postdecision documents should not be added to the Administrative Record file. Since the 

Administrative Record contains the information which was considered or relied on in selecting 

the response action, documents generated or received after the decision document has been 

signed should not be included in the Record file. (Such documents may, however, be relevant to 

later response decisions and become part of a later Administrative Record.) There are some 
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exceptions, however, to this general rule, as in the following situations where postdecision 

documents may be added to the Record: 

 a. Where a decision document does not address, or reserves for consideration at a later 

date, a portion of the decision. For example, a decision document may not resolve the type of 

treatment technology. In such cases, the PM should continue to add to the Record file 

documents which form the basis for the unaddressed or reserved portion of the decision. 

 b. Where there is a significant change in the selected response action. Changes that result 

in a significant difference to a basic feature of the selected response action with respect to scope, 

performance, or cost may be addressed in an explanation of significant differences. 

 c. Where the changes are so significant that they fundamentally alter the very nature or 

basis of the overall response action. Such changes will require an amended decision document. 

NOTE: The public participation requirements relative to the two methods, presented in b and c 

above, for dealing with post-ROD/DD changes (i.e., changes after the ROD/DD has been signed) 

in the remedy selection (see appendix A of EPA 540-k-01-003 for a detailed discussion of these 

requirements) mirror the public participation requirements relative to pre-ROD/DD changes (i.e., 

changes after publication of the Proposed Plan but before the ROD/DD is signed) in the remedy 

selection, with the exception that the question as to whether or not the changes could have been 

reasonably anticipated by the public is not a factor with respect to post-ROD/DD changes. For 

example, pre-ROD/DD changes that could have been reasonably anticipated by the public can be 

discussed in the ROD/DD and the Proposed Plan does not need revision, just as post-ROD/DD 

changes, given the circumstances indicated in b above, can be dealt with in an explanation of 

significant differences and the ROD/DD does not have to be amended. Likewise, just as preROD/DD changes that could not have been reasonably anticipated by the public require that the 

Proposed Plan be revised and a second 30-day public comment period be provided, so postROD/DD changes, given the circumstances indicated in c above, require that the ROD/DD be 

amended and a 30-day public comment period be provided. 

 d. Where comments containing significant information are submitted by interested 

persons after the close of the public comment period. The PM must consider such comments 

only to the extent that they contain significant information not contained elsewhere in the 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. 

 e. Where the Army holds public comment periods after the selection of the response 

action. 

4-13. Public Availability. 
EP 1110-3-8 

9 Apr 04 

4-12 

 a. Section 113 (k) of CERCLA and NCP subpart I (40 CFR 300.800 et seq.) require that 

the Administrative Record be available to the public. In satisfying this provision, the government 

must comply with all relevant public participation procedures outlined in sections 113 (k) and 

117 of CERCLA. 

 b. The availability of the Administrative Record will vary depending upon the nature of 

the response action. Different procedures are required for remedial and removal response 

actions. In all cases, the PM, in coordination with the geographic district PAO, should publish a 

notice of availability of the Administrative Record when the Record is first made available for 

public inspection at the agency office and in the vicinity of the FUDS project at issue. The 

notice should explain the purpose of the Administrative Record, its location and availability, and 

how the public may participate in its development. 

 c. The notice should be published in a major local newspaper of general circulation. The 

newspaper notice should be distributed to persons on a public affairs mailing list for the FUDS 

project. Publication of the notice should be the responsibility of the geographic district PAO and 

should be done in coordination with the PM. A copy of the notice of availability and list of 

recipients should be included in the Record file. Appendix R contains a model notice of 

availability. 

 d. This public notice may be combined with other notices for the same FUDS project, 

such as a notice of availability of the local information repository, if they occur at the same time. 

Additionally, the public can be informed through existing special notices, newsletters, and fact 

sheets. Information on security criteria that must be met in order to view the Administrative 

Record (e.g., criteria for entry into the agency office/Document Reading Room) will be provided 

to the public. See the foreword and paragraphs 2-4i (16), 3-1b, 4-1c, and 4-2d for information on 

the central role the Office of Counsel will play with respect to determinations concerning the 

legal requirements for public participation, particularly so with respect to project documentation 

that will not be made available to the public due to a government/legal privilege. 

4-14. Administrative Record Requirements for Remedial and Removal Response Actions. See 

the proposed ER 200-3-1, tables 8-1 and 8-2, respectively, for information on Administrative 

Record requirements for remedial and removal response actions. See chapter 8 of the proposed 

ER 200-3-1 for a discussion of the different Administrative Record requirements for time-critical 

removal response actions (i.e., actions for which, based on the FUDS property evaluation, the 

lead agency determines that a period of less than 6 months exists before the onsite removal 

response action must be initiated) and non-time-critical removal response actions (i.e., actions 

for which, based on the FUDS property evaluation, the lead agency determines that a planning 

period of at least 6 months exists before the onsite removal response action must be initiated). 

4-15. Relationship to Army Records Information Management System (ARIMS). 
EP 1110-3-8 

9 Apr 04 

4-13 

 a. ARIMS classification standards relating to the Environmental Restoration Program 

have been developed to preserve all records necessary to protect the legal and financial interests 

of the Army. This action will facilitate the documentation of USACE efforts needed for future 

discussion with regulators, to respond appropriately to legal actions and cost recovery or 

contribution claims, and to initiate cost recovery or contribution claims against other parties. 

 b. All files for FUDS HTRW and MMR projects will have ARIMS numbers assigned to 

their documents IAW AR 25-400-2. Documents for the Administrative Record, insofar as this 

procedure is concerned, will have ARIMS numbers but will be arranged IAW the recommended 

file structure as outlined in appendix J. Documents can be found by ARIMS numbers in the 

index. This EP is in no way intended to supersede, circumvent, or in any other way misuse the 

established recordkeeping regulations. See the proposed ER 200-3-1, chapter 10, for a detailed 

discussion of maintenance requirements for HTRW and MMR permanent Project Files. 

4-16. Filing and Binding. 

 a. Since the Administrative Record cannot be created until coordinated decisions are 

made concerning the appropriateness of particular documents, all potential Administrative 

Record documents will be maintained in the Administrative Record file by the PM. The 

Administrative Record file, as described in paragraph 4-5, is the file containing potential 

Administrative Record documents as they are created. These documents will be contained in file 

folders marked IAW the file structure as outlined in appendix J. The documents that comprise 

the Administrative Record total about 30 percent of the entire permanent Project File. 

 b. Because the Administrative Record is a specialized subset of the entire permanent 

Project File and because it is intended for frequent public use, ease of filing and durable binding 

are imperative. Generally, documents filed IAW ARIMS are filed in file folders. To prevent loss 

and maintain file integrity, documents in the Administrative Record will be filed in binders or 

other fastening folders which secure all pages, with a table of contents in the front of each 

volume. A separate index volume will enable the searcher to locate specific documents through 

a variety of index entry arrangements. 

 c. The index will be maintained in a 1-inch or smaller binder. The binder will be labeled 

on the side and on the front with the FUDS project number, FUDS project location (area within 

the FUDS property if applicable), Administrative Record Index, and the date, as well as the 

name of the responsible USACE district. The index should include the following information for 

each document: 

 (1) Document Number - a unique sequential number (place this number on the document 

as well). 

 (2) Document Date - date of the document. 
EP 1110-3-8 

9 Apr 04 

4-14 

 (3) Document Title - a thorough identification of the actual document with substantive 

information. Include sufficient information to ensure that the document cannot be confused with 

another (e.g., the title "report" would be insufficient). 

 (4) Author - name and affiliation. 

 (5) Recipient - name and affiliation. 

 (6) Document location. 

 (7) Document type. 

 (8) Number of pages. 

 (9) ARIMS number - Include ARIMS number as appropriate on all correspondence and 

maintain IAW disposition instructions. 

 d. The table of contents will be maintained in its entirety (covering all volumes of the 

Administrative Record file) in the index binder. A table of contents will also be maintained 

(covering only the contents of the volume in question) for each volume of the Administrative 

Record file. It will be arranged in an organized file structure of 11 major divisions (see appendix 

J). Within each major division is a series of minor divisions. The records for each FUDS HTRW 

or MMR project in the Army will be arranged according to this hierarchy of major and minor 

divisions. Numbers within each minor division will be mnemonic (depending on length and 

content of subdivision), that is, the same document type will bear the same minor division 

number throughout. For example: major division 2.0 is Removal Response, minor division 2.01 

is Correspondence, minor division 2.02 is Sampling and Analysis Data and Plans, minor division 

2.03 is Scopes of Work/Contractual Documents; major division 3.0 is Remedial Investigation, 

minor division 3.01 is Correspondence, minor division 3.02 is Sampling and Analysis Data and 

Plans, minor division 3.03 is Scopes of Work/Contractual Documents. 

 e. Correspondence, as a document type, will always appear as the "0l" minor division. 

Some divisions will have fewer minor divisions or will have content that does not "fit" the same 

headings, thus disrupting the mnemonic quality. Where possible, though, the same structure will 

apply. Appendix J shows the 11 major divisions that make up this file structure. These 11 major 

divisions correspond to the 11 volumes that constitute the typical Administrative Record. The 

number of binders per volume will vary depending on the size and number of the documents 

contained therein. 
EP 1110-3-8 

9 Apr 04 

4-15 

4-17. Audit Procedures. 

 a. The documents comprising the Administrative Record file will be subject to audit and 

therefore will be maintained as outlined in this EP. The purpose of an internal management 

control review is to identify, report, and make appropriate recommendations regarding the 

elimination of deficiencies in the establishment and/or maintenance of the Administrative 

Record. The internal review will protect the interests of the Army in the event that the 

Administrative Record is subject to review or audit. Further, the audit is necessary to ensure that 

the Administrative Record is maintained in proper order when subject to judicial review. As 

stated in paragraph 4-3, since judicial review of issues concerning adequacy of any response 

action is limited to the Administrative Record, it is imperative that internal reviews be performed 

to ensure the quality and completeness of each Record. The review may be performed by the 

ARC when applicable or by an internal management control monitor for the HTRW and MMR 

programs. 

 b. A system of internal controls will be established at each FUDS project to monitor the 

Administrative Record process. To aid in the review, the following internal management control 

checklist should be used. Inadequate procedures or incomplete documentation will be detected 

by using the checklist, thereby preparing the FUDS project for an audit. This checklist can be 

used for routine internal examination or by an external auditor. 

 Internal Management Control Checklist 

 (1) Is EP 1110-3-8 being used, for FUDS HTRW and MMR projects, in your 

organization? 

 (2) Is an individual appointed ARC in writing? 

 (3) Are the documents created in the permanent Project File arranged according to the 

Model Permanent Project File Structure, appendix J of EP 1110-3-8? 

 (4) Are all required documents included in the Administrative Record, as described in 

appendix K of EP 1110-3-8? 

 (5) Does the Administrative Record have a Table of Contents? 

 (6) Does the Administrative Record have an Index? Does the Index indicate where the 

documents are publicly accessible? 

 (7) Is the Administrative Record contained in 3-ring binders or other fastening folder 

which secures all pages? 
EP 1110-3-8 

9 Apr 04 

4-16 

 (8) Are the binders labeled on the side and on the front with the FUDS project number, 

FUDS project location, and name of responsible USACE district? Is there a Table of Contents in 

each binder? 

 (9) Has an internal procedure been established to coordinate with the Office of Counsel 

and others to determine which documents will become part of the Administrative Record? 

 (10) Is there a public Document Reading Room at the district office? Are photocopy 

facilities available for the public? Is controlled access to the Record files accomplished by use 

of a visitor sign-in book? 

 (11) Are public reading areas monitored to ensure property security? To the extent 

feasible, does the ARC check the order of the documents after they have been viewed by the 

public to ensure that all documents were returned intact? 

 (12) Are documents relevant to the response selection which are generated or received 

after the ROD/DD or Action Memorandum has been signed placed in a postdecision file? 

 (13) Has an offsite local repository been established? Is the Administrative Record 

located at a local repository treated as a noncirculating reference? 

 (14) Has an individual been designated, in writing, as responsible for establishing and 

monitoring the Administrative Record at a local repository? Does the individual conduct periodic 

reviews of the Administrative Record at the local repository to ensure that it remains complete 

and intact? 

 (15) When sending the Administrative Record to the local repository, are the Transmittal 

Cover Letter and the Document Transmittal Acknowledgment form used? 

 (16) Have Fact Sheets been created for the local repository and the general public? 

 (17) Has a Notice of Public Availability been developed to inform the public about the 

availability and location of the Administrative Record? 

 (18) For time-critical removal response actions, is the Administrative Record available 

for public viewing no later than 60 days after the initiation of the onsite removal response 

action? Has a notice of availability been published in a major local newspaper and a copy of the 

notice included in the Administrative Record file? 

 (19) Are formal written responses to all significant comments included in the 

Administrative Record? 
EP 1110-3-8 

9 Apr 04 

4-17 

 (20) For non-time-critical removal response actions, is the Administrative Record 

available for public review when the EE/CA is made available for public comment before 

initiation of the removal response action? 

 (21) If a public meeting has been held to discuss ongoing removal response actions or the 

EE/CA, has the official transcript of the meeting been placed in the Administrative Record? 

 (22) Is every ROD/DD or Action Memorandum supported by an Administrative Record? 

 (23) Are only reproduced or digitally scanned copies of the original documents placed in 

the Administrative Record file? 

 (24) Are documents which are included in the Administrative Record but not maintained 

at the local repository near the FUDS project (because of the nature of the documents and the 

burden associated with maintaining such documents in multiple locations) incorporated into the 

Administrative Record by reference (i.e., in the index but not physically in the Record file)? 

 (25) Are documents with a security classification properly marked and handled IAW 

AR 380-5? 

 (26) Are guidance and policy documents listed in the Index to the Administrative Record 

along with their location and availability? 

 (27) Has publicly available technical literature that was not generated for the FUDS 

project at issue been clearly referenced in the Index? 

 (28) Is postdecision information maintained IAW paragraph 4-12 of EP 1110-3-8? 

 (29) Are procedures established for the appropriate participation of interested persons in 

the development of the Administrative Record for the selection of a removal or remedial 

response action? 

 (30) Are ARIMS numbers assigned to all files for FUDS HTRW and MMR projects IAW 

AR 25-400-2? 

 c. The internal reviewer's examination is conducted for the principal purpose of certifying 

the completeness and integrity of the Administrative Record for the FUDS HTRW or MMR 

project. In so doing, the reviewer should place emphasis on significant management areas and 

operations to ensure that correct procedures are in place for the establishment and maintenance 

of the Administrative Record. The reviewer will identify, report, and make appropriate 

recommendations regarding conditions that cause or contribute to inefficient operations, 

deficiencies, and errors of omission or commission. Detailed examination of management 
EP 1110-3-8 

9 Apr 04 

4-18 

operations will be limited to that deemed necessary based upon appraisal of the adequacy of 

procedures and internal controls. 

 d. The reviewer will review the documents that comprise the Administrative Record to 

ensure their inclusion. To accomplish this, the reviewer should check the contents of the 

Administrative Record against the Table of Contents and the Index. Random checks throughout 

the Index to find specific documents will reveal the adequacy and completeness of the Index and 

the presence of the indexed documents. Likewise, the reviewer should select documents and 

check their presence in the Index by the variety of entry points, i.e., key words in the title, 

author, receiver, etc. To determine if correct procedures are in place, the reviewer can use the 

Internal Management Control Checklist. 

 e. The Administrative Record file will be reviewed within 1 year of establishment and 

each succeeding year thereafter, while in public use. The implementation of sound internal 

controls for all FUDS projects will ensure the organization and orderliness of Administrative 

Record files, thereby facilitating the review process. It is the responsibility of the district to 

maintain its Administrative Record file in a condition for review; to prepare or reconstruct such 

files is not the responsibility of the reviewers. All sets of the Administrative Record file should 

be reviewed, those at a repository near the FUDS project and those at a public reading room at 

the district. 

 f. Deficiencies will be noted in an exit interview with the lead official for the FUDS 

project and then documented in a follow-up memorandum. The memorandum will state the 

specific deficiencies, if any, or the strengths and merits attesting to the adequacy of the Record. 

If deficiencies exist, the memorandum will allow sufficient time for correction. Further, the 

memorandum will indicate that corrective measures will be taken and implemented prior to the 

internal management control review the following year. 
EP 1110-3-8 

9 Apr 04 

5-1 

CHAPTER 5 

CONCLUSION 

5-1. Interrelation of Public Involvement Program Elements. Perhaps the most salient feature of 

the well ordered public involvement program, implicit throughout the discussion presented in 

this pamphlet, is the interrelation of its elements. Community interviews, for example, serve to 

highlight community concerns and issues which the Public Involvement Plan is developed, in 

part, to address. These same interviews may be helpful to the PM in his or her decision whether 

or not to establish a RAB at the FUDS project. If a RAB is established, the Public Involvement 

Plan must be revised to incorporate appropriate RAB information. Administrative Record 

documents will often be used by the RAB in its decision-making process, just as documentation 

generated by the RAB or by community relations activities prescribed by the Public Involvement 

Plan will become part of the Administrative Record. Interrelation of its elements clearly defines 

the well ordered public involvement program. 

5-2. Summary. As the discussion in this pamphlet of procedures for establishing and 

maintaining public involvement programs, RABs, and Administrative Records has made clear, 

public participation in DERP is both a legal requirement and a practical necessity. The legal 

requirements for such participation are cited throughout the pamphlet and need not be restated 

here. The practical necessity for such participation if environmental restoration is to succeed is 

equally clear. As indicated in the overview discussion of public involvement programs in 

chapter 2, the best public involvement programs and Public Involvement Plans – those that most 

effectively further the environmental restoration process – are community specific. This 

specificity cannot be achieved without substantial public participation. Just so, it is public 

participation in the development of the Administrative Record that lends such credibility to the 

Record that judicial review with respect to issues arising in relation to environmental restoration 

decision making can be restricted to the Administrative Record. This restriction greatly speeds 

the environmental restoration process. Public participation in DERP, both a legal requirement 

and a practical necessity, is essential to successful environmental restoration. 
EP 1110-3-8 

9 Apr 04 

A-1 

APPENDIX A 

REFERENCES 

Competition in Contracting Act, 10 USC 2304. 

Comprehensive Environmental Response, Compensation, and Liability Act of 1980, PL 96-510, 

94 Stat. 2767, 42 USC 9601. 

Defense Environmental Restoration Program, 10 USC 2701. 

Federal Advisory Committee Act, PL 92-463 of 1972, as amended. 

National Defense Authorization Act for Fiscal Year 1996, PL 104-112. 

Paperwork Reduction Act, 44 USC 3501-20. 

Privacy Act, 5 USC, 552a of 1974, as amended. 

Superfund Amendment and Reauthorization Act of 1986, PL 99-499, 100 Stat. 1613, amending 

CERCLA, 42 USC 9601 et. seq., and miscellaneous other sections. 

Final Rule on Technical Assistance for Public Participation in Defense Environmental 

Restoration Activities, Title 32, CFR, Part 203. 

National Oil and Hazardous Substances Pollution Contingency Plan, Title 40, CFR, Part 300, 

U.S. Environmental Protection Agency, Washington, D.C. 

Simplified Acquisition Procedures, Title 48, CFR, Part 13. 

Management Guidance for the Defense Environmental Restoration Program, Office of the 

Deputy Under Secretary of Defense (Environmental Security), September 2001. This document 

is available on the Internet at http://www.dtic.mil/envirodod. 

AR 25-400-2, The Army Records Information Management System (ARIMS). 

AR 335-15, Management Information Control System. 

AR 380-5, Department of the Army Information Security Program. 

USACE Supplement 1 to AR 335-15, Management Information Control System. 

ER 1110-1-8153, Ordnance and Explosives Response. 
EP 1110-3-8 

9 Apr 04 

A-2 

Proposed ER 200-3-1, Formerly Used Defense Sites (FUDS) Program Policy. 

Technical Assistance for Public Participation Policy Implementation Guidance and Restoration 

Advisory Board Update, U.S. Army Corps of Engineers, April 1998. This document is available 

on the Internet at https://www.denix.osd.mil/denix/Public/Policy/Army/IRP/ rabapr98.htm/. 

EPA 540-k-01-003, Superfund Community Involvement Handbook, April 2002. This document 

is available on the Internet at www.epa.gov/superfund. 

EPA 540-k-01-004, Superfund Community Involvement Toolkit, September 2002. This 

document is available on the Internet at www.epa.gov/superfund. 

OMB Circular A-122, Cost Principles for Non-Profit Organizations. This document is available 

on the Internet at http://www.white house.gov/omb/circulars. 

Robert’s Rules of Order, August 2000. The current edition of this standard reference work is 

commercially available on the Internet at www.robertsrules.com. 
EP 1110-3-8 

9 Apr 04 

B-1 

APPENDIX B 

COMMUNITY INTERVIEW QUESTIONS 

Name: 

Address: 

 

 

Telephone (H): (W):____________________________ 

Wishes to join mailing list? Yes No_______ 

1. A __________ study is being conducted at___________. Have you heard about this study? 

If so, do you remember when and how you learned of it? 

Answer: 

 

 

 

2. Have you talked with any Corps of Engineers, state, or environmental officials about the 

ongoing _____________ study? 

Answer: 

 

 

 

3. If you have, were they responsive to your concerns or questions? 

Answer: 

 

 

 

4. What special interests or concerns do you have about ________ 

or the _________________ study and why is this of particular interest or concern? 

Answer: 

 

 
EP 1110-3-8 

9 Apr 04 

B-2 

5. Have any of your friends or neighbors talked with you to express interest or concern about the 

_____________ study, and if so, what were their concerns and why is this information of 

particular interest or concern? 

Answer: 

 

 

 

6. If you had a question or concern, what would you do? Is there someone you would call or 

contact? 

Answer: 

 

 

 

7. Would you be interested in joining a mailing list to receive fact sheets and other general 

information about this study? 

Answer. Yes_______ No ______ 

8. How does the community receive information about local events and news (i.e., radio, 

television, newspapers)? 

Answer: 

 

 

 

9. Other than the mailing list, in what other ways can the Corps of Engineers provide you with 

information and better involve you in the decision-making process at ? 

Answer: 

Newspaper(s)_______________ 

Radio/TV__________________ 

Information Repository (suggested location)_______________ 

Community Hotline_______________ 

Community Meetings (suggested time and place)_________________ 

Formal Briefings__________________ 

FUDS Property Visits_______________ 

Web Site ________________________________________ 
EP 1110-3-8 

9 Apr 04 

B-3 

Restoration Advisory Boards_______________ 

Other_______________ 

10. How frequently would you like to receive information? 

Answer: 

Monthly_________ 

Bi-monthly______ 

Quarterly_______ 

Annually________ 

Whenever events warrant_______________ 

Other_______________ 

11. Can you suggest anyone else (friend, neighbor, group, informal or formal leader) that we 

should contact or who might want to be included on the mailing list? 

Answer: 

 

 

 

12. Is there anything else you would like to mention that we have not talked about? If in 

answering this question you provide "historical" information, please identify the source of this 

information. 

Answer: 

 

 

 

Privacy Act Statement 

Authority: 10 U.S. Code (USC) 2705. 

Principal Purpose: To identify the attitudes and concerns of area residents concerning activities 

at the FUDS HTRW or MMR project during the study phase. The requested information will be 

used to develop a Public Involvement Plan for the specific FUDS project in question. The 

information will also be used by the Army to develop a mailing list of individuals interested in 

receiving fact sheets and other general information about the study. Disclosure of the requested 

information is voluntary. Failure to provide all the requested information may lessen the 

effectiveness of the public involvement program for the project. 
EP 1110-3-8 

9 Apr 04 

C-1 

APPENDIX C 

SAMPLE RAB PUBLIC NOTICE 

Public Notice 

(Name of U.S. Army Corps of Engineers (USACE) District) 

 Formation of Restoration Advisory Board (RAB) 

Membership Solicitation 

The Department of the Army recognizes the importance of stakeholder participation in the 

Defense Environmental Restoration Program. Therefore, (name of district) is announcing the 

establishment of a RAB. The RAB is being created in order to improve public participation by 

involving the community in the environmental restoration of the Formerly Used Defense Sites 

property at (name of FUDS property). 

 The RAB will include community members who reflect the diverse interests of the local 

community. RAB members will be asked to review and comment on plans and technical 

documents relating to the ongoing environmental studies and restoration activities at (name of 

FUDS property). RAB members will have the opportunity to provide comments that may 

accelerate the restoration. Members will also be expected to serve as voluntary liaison between 

the community and the USACE district and be available to meet with community members 

and/or groups. Community RAB members will receive no compensation for their service. RAB 

meetings will be open to the public. 

Community interest forms can be obtained by contacting: 

 (List name(s), title, address, and telephone number of contact) 

Members will be expected to serve a 1- to 2-year term and attend RAB meetings regularly. 

Forms will be reviewed by the selection panel. The selection panel will make recommendations 

to the district Commander for approval of RAB members. The selection panel members will be 

representatives from the (name of district), the (name of state environmental agency), the 

community, and the U.S. Environmental Protection Agency, as appropriate. To qualify, 

interested parties must be local residents of (name of cities or counties) who are affected by 

(name of FUDS property). 

The initial meeting to form the RAB will be held (list location, date, and time). For 

additional information, please contact (name, address, and telephone number of contact). 
EP 1110-3-8 

9 Apr 04 

D-1 

APPENDIX D 

SAMPLE RAB COMMUNITY INTEREST FORMAT 

Community Interest 

(Name of FUDS Property) Restoration Advisory Board (RAB) 

RAB members are volunteering to serve a 1-to 2-year term and to attend all RAB meetings. 

Duties and responsibilities will include reviewing and commenting on technical documents and 

activities associated with the Defense Environmental Restoration Program at (name of FUDS 

property). Technical experts will be made available to the RAB. Members will be expected to 

be available to community members and groups in order to facilitate the exchange of information 

and/or concerns between the community and the RAB. RAB community members can expect to 

devote approximately (number of hours/days) per year to the RAB. RAB members will receive 

no compensation for their service. 

Priority for RAB membership will be given to local residents who are impacted/affected by 

the (name of FUDS property). 

Name: ______________________________________ 

Address: _____________________________________________________ 

 Street Apt # City State Zip 

Phone: ( ) ( ) ( )_________ 

 Daytime Home Fax 

1. Are you affiliated with any group related to environmental restoration activities? If yes, list 

the group and your position, if applicable. 

2. Briefly state why you would like to participate on the RAB. 

3. What experience have you had working as a member of a diverse group with common goals? 

4. The community co-chairperson will be selected by community members of the RAB. Please 

indicate whether or not you are interested in being considered for the community co-chairperson 

position on the RAB. 

 Yes, I would like to be considered. 

 ______No, I would not like to be considered. 
EP 1110-3-8 

9 Apr 04 

D-2 

5. Are you willing to serve as a volunteer on the RAB? 

 Yes, I am willing to serve as a volunteer. 

 _____No, I am not willing to serve as a volunteer. 

6. By submitting this form, you are indicating that you are aware of the time commitment which 

this appointment will require of you. 

Privacy Act Statement 

Authority: 10 U.S. Code (USC) 2705. 

Principal Purpose: To identify members of the local community who are interested in serving on 

the RAB. The requested information will be used to develop a list of interested persons from 

which the community members of the RAB will be selected. The information will also be used 

by the Army to contact the individuals who are selected. Disclosure of the requested information 

is voluntary. Failure to provide all the requested information may prevent selection to serve on 

the RAB. 

 ____________________ ___________ 

Applicant Signature Date
EP 1110-3-8 

9 Apr 04 

E-1 

APPENDIX E 

SAMPLE RAB LETTER OF INVITATION 

Dear (Community Member): 

The Department of the Army recognizes the importance of stakeholder participation in the 

Defense Environmental Restoration Program. Therefore, (name of district) is announcing the 

establishment of a Restoration Advisory Board (RAB). The RAB is intended to improve public 

participation by involving the community in the restoration decision-making process. 

The RAB will include community volunteer members who reflect the diverse interests of 

the local community. RAB members will have an opportunity to provide comments on 

restoration activities. RAB community members can expect to spend (number of hours/days) per 

year supporting the RAB. 

RAB members will be asked to meet regularly to review and comment on technical 

documents and plans relating to the ongoing environmental studies and restoration activities at 

(name of FUDS property). RAB members will be expected to serve as liaison with the 

community and be available to meet with community members and groups. Members will be 

expected to serve a (state length of service) term. All RAB meetings will be open to the public. 

If you are interested in serving on the RAB for (name of FUDS property), please complete 

the enclosed form and return it to the following address not later than (deadline for applications): 

(Name, address, and phone number of contact) 

Forms will be reviewed by the RAB selection panel. The selection panel will submit 

recommendations for RAB membership to the district Commander for approval. The RAB 

selection panel will be comprised of representatives from the (name of district), the community, 

the (name of state agency), and the U.S. Environmental Protection Agency, as appropriate. 

Sincerely, 

(Name of Panel Member) 

Enclosure
EP 1110-3-8 

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F-1 

APPENDIX F 

SAMPLE RAB FACT SHEET 

Fact Sheet 

Restoration Advisory Board 

(Name and Location of FUDS Property) 

Background

The U.S. Army Corps of Engineers (USACE), (name of district), is pursuing environmental 

restoration activities at (name of FUDS property) as part of the Defense Environmental 

Restoration Program. (Provide a brief description of the response actions projected at the FUDS 

property.) 

What is a Restoration Advisory Board?

A Restoration Advisory Board (RAB) is an advisory body designed to act as a focal point 

for the exchange of information between (name of district) and the local community regarding 

environmental restoration activities. The RAB is intended to bring together community 

members who reflect the diverse interests within the local community, enabling the early and 

continued two-way flow of information, concerns, values, and needs between the affected 

community and the district. 

RAB members will be asked to meet regularly to review and comment on technical 

documents and plans relating to the ongoing environmental studies and restoration activities at 

(name of FUDS property). Members will be expected to serve as liaison with the community 

and be available to meet with community members and groups. Membership terms will be 

decided by the RAB. All RAB meetings will be open to the public. Technical support staff will 

be available to provide informational support and explanation to RAB members. 

How to Become a RAB Member

Community members interested in finding out more about the RAB are invited and 

encouraged to attend a community meeting. (Name of district) will conduct this meeting on 

(date and time). At the meeting, you will learn about the purpose of the RAB and RAB 

membership opportunities and responsibilities and will hear an update on the status of restoration 

activities and future plans. RAB membership applications will be available at the community 

meeting. The community meeting will be held at the following address: 

(Location, address, date, and time) 
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F-2 

If you have questions about the RAB or are interested in applying for RAB membership, 

community interest forms may also be obtained by contacting: 

(List name, title, address, and telephone number of contact) 

All community interest forms must be received by (deadline for forms). Forms will be 

reviewed by the selection panel which will make recommendations to the district Commander 

for approval. The selection panel will be organized by the Formerly Used Defense Sites Project 

Manager of (name of district). The selection panel members will be representatives from the 

USACE district, the state, the community, and the U.S. Environmental Protection Agency, as 

appropriate. 

Responsibilities

Community members are expected to serve as volunteers on the RAB and to provide 

individual advice to decision makers on environmental restoration plans for (name of FUDS 

property).
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G-1 

APPENDIX G 

SAMPLE RAB OPERATING PROCEDURES 

Operating Procedures 

for (name of FUDS property) 

 Restoration Advisory Board 

1. Mission Statement of (name of FUDS property) Restoration Advisory Board (RAB). The 

mission of the (name of FUDS property) RAB is to establish and maintain a forum with all 

stakeholders for the exchange of information in an open and interactive dialogue concerning the 

environmental restoration activities at (name of FUDS property). The RAB will review 

technical documents and provide comments and advice to the U.S. Army Corps of Engineers 

(USACE), (name of district), on the proposed environmental restoration activities. 

2. Responsibilities of the RAB. Responsibilities of the RAB are as follows: 

 a. Provide advice on environmental restoration issues to USACE and regulatory agencies. 

 b. Hold regularly scheduled meetings that are open to the public and held at convenient times 

and locations, normally after duty hours. 

 c. Prepare public notices to promote public participation in RAB meetings. 

 d. Review, evaluate, and provide comments to the (name of district), USACE, on documents 

related to environmental restoration activities. 

 e. Identify applicable cleanup standards presented in the Comprehensive Environmental 

Response, Compensation, and Liability Act and other applicable city, county, state, and Federal 

law and recommend cleanup levels consistent with planned reuse. 

 f. Recommend priorities among FUDS projects. 

 g. Record minutes of RAB meetings and make them available to interested parties. 

 h. Develop RAB mission statement and operating procedures. 

 i. Provide a representative on the project delivery team (PDT) during the technical project 

planning (TPP) process. 

3. RAB membership will consist of members from USACE, other Federal, state, and local 

regulatory agencies, and the local community. RAB membership will reflect the diversity of the 

community. 
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G-2 

 a. Community members may be drawn from, but are not limited to, the local community 

(including residents; various local government agencies; businesses; school districts; local 

environmental groups (including activist groups); civic/public interest organizations; religious 

groups; local regulatory agencies; Homeowners Associations; the medical community; the 

economically disadvantaged; African-American, Native American, Hispanic, and other minority 

groups; other state and Federal governments; trustees; and local and tribal governments). 

Community members will provide information, seek independent technical advice when 

appropriate and feasible, communicate public concerns to the RAB, and provide information and 

progress reports to the public. 

 b. Other RAB members will be as follows: 

 (1) USACE Co-Chair. Responsibilities of the USACE Co-Chair (i.e., the project manager 

(PM) or some other, higher-level USACE manager) are listed in paragraph 7a below. 

 (2) State Regulatory Agencies. Responsibilities of the state regulatory agency member(s) are 

listed in paragraph 7d below. 

 (3) U.S. Environmental Protection Agency (EPA). Responsibilities of the EPA member(s) 

are listed in paragraph 7e below. 

4. RAB Formation. General guidelines applicable to the formation of a RAB are as follows: 

 a. A RAB will consist of no more than 20 members. 

 b. A selection panel made up of community members will recommend RAB members to the 

USACE district Commander (name of FUDS property and name of district) for approval. 

 c. RAB members will serve a (stipulate 1- or 2-year) term. RAB members may 

submit an application to serve another term (not to exceed 2 years) when their first term has been 

completed. Total service will not exceed 4 years. 

 d. A Community Co-Chair will be elected by the RAB members. The procedures for 

conducting this election are specified in paragraph 6 below. The Community Co-Chair will 

serve a 1-year term, with re-election limited to one additional term. 

 e. The PM or some other, higher-level USACE manager designated by the district 

Commander will serve as the USACE Co-Chair. 
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G-3 

5. RAB Meetings. RAB members will comply with the following meeting procedures: 

 a. Each community member will have one vote on the RAB’s operating procedures in RAB 

meetings. Minutes of each RAB meeting will be recorded for inclusion in the Administrative 

Record. 

 b. Each RAB member will act individually in discussions, in providing comments on 

documents, and in providing advice to USACE. The RAB is not an advisory committee, as that 

term is used in the Federal Advisory Committee Act. All advice will be offered by RAB 

members as individuals and is not to be construed as “consensus” advice. 

 c. Regular, ontime attendance is a requirement for continued RAB membership. The RAB 

will meet once a month or any other period specified in the RAB operating procedures. 

Members are expected to attend every meeting. After a member has missed two meetings 

without appropriate explanation, the USACE and Community Co-Chairs will send a 14-day 

written notice to the member requesting written explanation, within 14 days, of these absences 

and indicating that after three missed meetings, the RAB will assume that the member is no 

longer interested and will terminate his or her membership. 

 d. Member participation will follow a process similar to that presented in Robert’s Rules of 

Order. An agenda will be followed at RAB meetings, with full and open discussions 

encouraged. A time for public comments or questions from the public on matters not included in 

the agenda will be held either at the beginning or near the end of the meeting. An effort should 

be made to complete the agenda, including public comments and questions, between (state 

specific beginning and ending times). A Co-Chair will ask the members for a motion to adjourn 

and approval of such motion in order to end each meeting. 

 e. The RAB will encourage public participation. Co-Chairs, or other designated 

representatives, will respond to questions raised by the public. If sufficient information is not 

available to provide an accurate response at the meeting, the issue will be recorded in the 

meeting transcript. A written response to all issues raised will be provided. The response 

provided will be an agenda item for discussion at the next regularly scheduled meeting. All 

public comments will be considered by the RAB and recorded in the meeting transcript. 

 f. RAB community members must have prior approval of the RAB before speaking for the 

RAB during press interviews or other public relations activities. 

 g. When a RAB member is unable to participate in RAB meetings, the member should 

submit a written resignation to a RAB co-chairperson. Resigning members may nominate new 

members to replace themselves. Replacement members will also be sought from those 

individuals who were notified of their nonselection when they initially completed the community 

interest forms. New members must continue to reflect the diversity of the community. 
EP 1110-3-8 

9 Apr 04 

G-4 

 h. A Procedures Committee will be established to resolve issues regarding compliance with 

the operating procedures and to accept proposals from RAB members to change the procedures. 

This committee will be composed of the two Co-Chairs and one RAB member appointed by the 

RAB. 

 i. A Nomination Committee will be established to accept nominations for election of the 

Community Co-Chair. The procedures for conducting the election are listed in paragraph 5 

below. 

 j. Disputes within the RAB will be resolved by means of a three-step process. First, the RAB 

Co-Chairs will attempt to resolve the issue. When these efforts are not successful, an 

independent facilitator may be brought in to resolve the issue. Disputes which cannot be 

resolved by the Co-Chairs or a facilitator may be formally presented to the USACE district 

Commander for resolution. 

 k. A quorum of RAB members must be present in order to hold a RAB meeting. A quorum 

is defined as both Co-Chairs, one regulatory agency member, and 51 percent of the remaining 

RAB members. 

6. Election of Community Co-Chair. An election will be held in (specify month) of each year to 

elect a Community Co-Chair. The Community Co-Chair will be elected by a majority vote of 

the community RAB members, by written ballot. A Nomination Committee consisting of three 

RAB members will be appointed in (specify month) by the existing Community Co-Chair to 

recommend a nominee for the Community Co-Chair position for the upcoming year. Other 

members may be nominated from the floor at the (specify month) RAB meeting. Write-in 

candidates and self-nomination are other avenues for election to the Community Co-Chair 

position. The Nomination Committee will count the written ballots and announce the results at 

the (specify month) RAB meeting. The Co-Chair elect will assume the position at the (specify 

month) RAB meeting. 

7. RAB Member Responsibilities.

 a. Responsibilities of the USACE Co-Chair are as follows: 

 (1) Coordinate with the Community Co-Chair to prepare and distribute an agenda prior to 

each RAB meeting. 

 (2) Communicate with all RAB members regarding environmental restoration activities at 

(name of FUDS property). 

 (3) Publicly announce RAB meetings at least 15 days prior to and on the day preceding the 

meeting dates. 

 (4) Ensure that USACE participates in an open and constructive manner. 
EP 1110-3-8 

9 Apr 04 

G-5 

 (5) Ensure that RAB members are educated and trained regarding their responsibilities as a 

member of the RAB. 

 (6) Ensure that the RAB is provided access to documents for its review and comment. 

Ensure that an adequate review period is allowed for the RAB members. Ensure that documents 

distributed to the RAB are also made available to the public in the information repository. 

 (7) Maintain a mailing list of interested and affected parties in the environmental restoration 

activities at (name of FUDS property). 

 (8) Ensure that adequate administrative and technical support is provided to the 

RAB. 

 (9) Ensure that community issues and concerns related to environmental restoration activities 

are addressed when raised. 

 (10) Ensure that the RAB is fully informed during all phases of the environmental restoration 

process and that it has opportunities to participate in advising decision makers before final 

decisions are made. 

 (11) Provide all relevant guidance documents to the RAB to enhance the operation of the 

RAB. 

 (12) Report back to the USACE district and refer issues not related to environmental 

restoration to appropriate officials for action. 

 (13) Ensure that the RAB is represented on the PDT during the TPP process. 

 (14) Ensure that any significant documentation generated by the RAB meets the regulatory 

requirements set forth in the proposed ER 200-3-1, chapter 9. 

 (15) Ensure that RAB meeting minutes summarizing topics discussed are prepared and made 

available, at a minimum, in the information repository. 

 (16) Ensure that information on activities related to the RAB is documented and made 

available in the information repository. 

 (17) Ensure that, to the extent that RAB input is considered in a decision regarding response 

activities, information about the RAB is included in the Administrative Record. 

 (18) Ensure that all RAB meetings are open to the public and announced to the public via 

public notice. 
EP 1110-3-8 

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G-6 

 b. Responsibilities of the Community Co-Chair are as follows: 

 (1) Coordinate with the USACE Co-Chair and the RAB members to prepare and distribute an 

agenda prior to each RAB meeting. 

 (2) Coordinate, as required, with the USACE Co-Chair to ensure that RAB questions and 

concerns are answered in an appropriate and timely manner. 

 (3) Encourage open and constructive community participation at RAB meetings. 

 (4) Ensure that RAB members are trained regarding their responsibilities as RAB members. 

 (5) Communicate with RAB members regarding environmental restoration activities. 

 (6) Ensure that community issues and concerns related to environmental restoration are 

adequately addressed and that relevant information is communicated back to the community. 

 (7) Assist in the dissemination of information to the general public. 

 (8) Serve without compensation. 

 c. Responsibilities of RAB community members are as follows: 

 (1) Attend RAB meetings as required by the RAB operating procedures. 

 (2) Provide advice on environmental restoration activities to decision makers. 

 (3) Communicate community interests and concerns to the RAB. 

 (4) Serve as a conduit for the flow of information among the community, the USACE 

district, and other involved Federal, state, and local agencies regarding the environmental 

restoration issues at (name of FUDS property). 

 (5) Review, evaluate, and provide comments on documents related to environmental 

restoration activities. 

 (6) Serve without compensation. 

 d. Responsibilities of state regulatory agency member(s) are as follows: 

 (1) Attend RAB meetings as required by RAB operating procedures. 
EP 1110-3-8 

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G-7 

 (2) Serve as an information, referral, and resource bank for the community, the USACE 

district, and other involved Federal, state, and local agencies regarding environmental restoration 

activities at (name of FUDS property). 

 (3) Review and provide comments on documents and other materials related to 

environmental restoration activities. 

 (4) Ensure that state environmental standards and regulations are identified and addressed by 

USACE. 

 (5) Facilitate flexible and innovative resolutions of environmental issues and concerns. 

 (6) Assist in the training of RAB members. 

 e. Responsibilities of the EPA member(s) are as follows: 

 (1) Attend RAB meetings as required by RAB operating procedures. 

 (2) Serve as an information, referral, and resource bank for the community, the USACE 

district, and other involved Federal, state, and local agencies regarding environmental restoration 

activities at (name of FUDS property). 

 (3) Facilitate flexible and innovative resolutions of environmental issues and concerns. 

 (4) Ensure that Federal environmental standards and regulations are identified and addressed 

by USACE. 

 (5) Assist in the training of RAB members. 

8. Amendments to RAB Operating Procedures. Amendments to RAB operating procedures 

may be made with a three-fourths majority vote of a quorum of all RAB members. Proposed 

amendments will be referred to a Procedures Committee for evaluation and recommendations. 

Proposals will be voted on by all RAB members after they receive the Procedures Committee’s 

written recommendations. These recommendations will be provided to the RAB members at 

least 20 days prior to the meeting in which the proposed amendments will be addressed. 
EP 1110-3-8 

9 Apr 04 

H-1 

APPENDIX H 

REPORTING MATRIX AND REPORTING TABLES 

Table H-1. FUDS RAB and TAPP Reporting Requirements Matrix 

No. Requirement Status Date Report 

Due Date Status Date Report Due 

Date 

1 FUDS Property RAB Status – Table H-2 31 March 30 April 30 September 31 October 

2 RAB Establishment and Expenditures – Table H-3 31 March 30 April 30 September 31 October 

3 TAPP Expenditures – Table H-4 31 March 30 April 30 September 31 October 

4 New RABs Established – Table H-5 31 March 30 April 30 September 31 October 

5 RAB Adjournment – Table H-6 31 March 30 April 30 September 31 October 

6 RAB Community Representation – Table H-7 None None 30 September 31 October 

7 RAB Activity – Table H-8 None None 30 September 31 October 

8 RAB Advice – Table H-9 None None 30 September 31 October 

9 TAPP Reports None None 30 September 31 October 
EP 1110-3-8 

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H-2

Table H-2. FUDS Property RAB Status 

FUDS 

Property 

Name 

FUDS 

Property 

Number 

Federal 

Facility I.D. 

Number 

Date RAB 

Established 

(YYMMDD) 

(Note 1) 

Reason RAB 

Not 

Established 

(Note 2) 

Date RAB 

Adjourned 

(YYMMDD) 

(Note 3) 

Reason 

RAB 

Adjourned 

(Note 4) 

Note 1: Date (Year Month Day) the first RAB meeting was held and the community members selected the 

 Community Co-Chair. 

Note 2: Every FUDS property with a restoration program must determine interest in a RAB. For every FUDS 

 property where a RAB has not been formed, provide a reason why a RAB has not been established. The 

 following are standard reasons: 

 A. FUDS property located in remote area; therefore, no affected community. 

 B. District Commander has determined that a RAB is not needed, or the property owner objects to 

 the establishment of a RAB. 

 C. The community has expressed no sufficient, sustained interest in a RAB. 

 D. Establishment of a RAB is not warranted due to lack of outstanding cleanup issues or activities. 

 E. FUDS property is supported by another RAB. 

 F. DOD does not have cleanup lead at FUDS property (e.g., PRP projects). 

 G. District Commander has not attempted to establish a RAB. 

H. District Commander is in the process of determining community interest in establishing a 

 RAB. 

Note 3: If the RAB was adjourned, indicate the date (Year Month Day) meeting was held to adjourn the RAB. 

Note 4: Indicate the reason RAB was adjourned: 

 A. The FUDS property no longer has an environmental restoration program. 

 B. All environmental restoration remedies are in place and are operating properly and successfully. 

 C. There is no longer sufficient, sustained community interest. 

Date Prepared: 
EP 1110-3-8 

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H-3 

Table H-3. RAB Establishment and Expenditures 

FUDS FY (Current FY) FY (Next FY) 

Property 

Name 

FUDS 

Property 

Number 

Federal 

Facility 

I.D. 

Number 

Date 

RAB 

Established 

(YYMMDD) Funds 

Expended 

Thru 

31 Mar 

Funds 

Expended 

Thru 

30 Sep

Funds 

Projected 

Thru 

31 Mar 

Funds 

Projected 

Thru 

30 Sep 

Expenditures will be reported as Outlays (Actual Expenses, not Obligations).

Date Prepared: 
EP 1110-3-8 

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H-4

Table H-4. TAPP Expenditures 

FUDS FY (Current FY) FY (Next FY) 

Property 

Name 

FUDS 

Property 

Number 

Federal 

Facility 

I.D. 

Number 

Date 

Initial 

TAPP 

Request 

(YYMMDD) 

Funds 

Expended 

Thru 

31 Mar 

Funds 

Expended 

Thru 

30 Sep 

Funds 

Projected 

Thru 

31 Mar 

Funds 

Projected 

Thru 

30 Sep 

Total 

TAPP 

Expenditures 

Expenditures will be reported as Outlays (Actual Expenses, not Obligations).

Date Prepared: 
EP 1110-3-8 

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H-5 

Table H-5. New RABs Established 

FUDS 

Property 

Name 

FUDS 

Property 

Number 

Federal 

Facility 

I.D. 

Number 

Date RAB 

Established 

(YYMMDD) 

(Note 1) 

Note 1: Date (Year Month Day) the first RAB meeting was held and the community members selected the Community 

Co-Chair. 

Date Prepared: 
EP 1110-3-8 

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H-6

Table H-6. RAB Adjournment 

FUDS 

Property 

Name 

FUDS 

Property 

Number 

Federal 

Facility 

I.D. 

Number 

Date 

RAB 

Adjourned 

(YYMMDD) 

(Note 1) 

Note 1: Date (Year Month Day) the last RAB meeting was held and the community members decided to 

 adjourn the RAB. 

Date Prepared: 
EP 1110-3-8 

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H-7 

Table H-7. RAB Community Representation 

FUDS 

Property 

Name 

Federal 

Facility 

I.D. 

Number 

Date 

RAB 

Established 

(YYMMDD) 

A B C D E F G 

Mark XX in all columns that apply for each FUDS property. 

 A – Local residents/community members. 

 B – FUDS property residents, if any. 

 C – Local environmental groups/activists. 

 D – Business community. 

 E – Low income and minority. 

 F – Local government officials. 

 G – Other. 

Date Prepared: 
EP 1110-3-8 

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Table H-8. RAB Activity 

FUDS 

Property 

Name 

Federal 

Facility 

I.D. 

Number 

Date 

RAB 

Established 

(YYMMDD) 

A B C D E F G 

Mark XX in all columns that apply for each FUDS property. 

 A – Reviewed plans and technical documents. 

 B – Provided comments or advice. 

 C – Received training. 

 D – Established operating procedures. 

 E – Participated in or reviewed relative risk evaluations. 

 F – Provided advice that affected scope or schedule of studies/cleanup. 

 G – Improved Corps of Engineers credibility. 

 H – Established partnerships among stakeholders. 

Date Prepared: 
EP 1110-3-8 

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H-9 

Table H-9. RAB Advice 

FUDS 

Property 

Name 

Federal 

Facility 

I.D. 

Number 

Date 

RAB 

Established 

(YYMMDD) 

A B C D E F G 

Mark XX in all columns that apply for each FUDS property. 

 A – Scope of studies. 

 B – Work plan priorities. 

 C – FUDS project priorities. 

 D – Relative risk evaluations. 

 E – Remedy selections. 

 F – Study or cleanup schedule. 

 G – Future land use. 

 H – Other. 

Date Prepared: 
EP 1110-3-8 

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I-1 

APPENDIX I 

SELECTING DOCUMENTS FOR THE ADMINISTRATIVE RECORD 

This appendix indicates all the documents that might possibly be generated at a FUDS HTRW or 

MMR project. Nearly 70 percent of them will not be included in the final Administrative Record. 

This comprehensive listing is included not only to give the reader an understanding of the 

universe of documents that are available for inclusion in the final Record but also to provide a 

guide to selecting those documents that should be included in the final Record.* 

Key: 

√ = Include in Administrative Record 

☼ = Exclude from Administrative Record 

Ω = Perhaps include. Some records may be appropriate for inclusion in the 

 Administrative Record; requires a document-by-document review. 

1.0 Site Management Records. 

Ω 1.01 Correspondence (see notes 1 and 8) 

√ 1.02 ASR (including factual supporting historical documents) 

Ω 1.03 Scopes of Work/Contractual Documents (see note 14) 

Ω 1.04 Site Photographs and Maps 

Ω 1.05 Site Descriptions and Chronologies (see note 13) 

Ω 1.06 Reference Documents 

Ω 1.07 Federal, State, Local Technical Records 

√ 1.08 INPR (include final INPRs that have been reviewed and concurred with 

 by agency counsel and when applicable the Confirmation Report 

 for FUDS HTRW projects - do not include government cost estimates which 

 may be attached to the INPR) 

√ 1.09 Final PA Report (including any associated documents) 

______________________________________ 

*For instructions on the more detailed numbering system for documents to be placed on the 

Project Information Retrieval System (PIRS), refer to https://mvrpirs.mvr.usace.army.mil. 
EP 1110-3-8 

9 Apr 04 

I-2 

√ 1.10 SI Documents 

Ω 1.11 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 1.12 NDAI Documents at the INPR phase will be excluded since no 

 Administrative Record is compiled for such actions. It should be noted, 

 however, that NDAI decisions reflected in the Action Memorandum or 

 ROD/DD will be included. 

2.0 Removal Response.

Ω 2.01 Correspondence (see note 1) 

√ 2.02 Sampling and Analysis Data and Plans (see note 2) 

Ω 2.03 Scopes of Work/Contractual Documents (see note 14) 

Ω 2.04 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 2.05 Invoices/Contractor Payments/Cost Reports 

Ω 2.06 Interagency Agreements/Memoranda 

Ω 2.07 ARAR Determinations (see note 5) 

☼ 2.08 Interim Deliverables (see note 7) 

√ 2.09 Chain-of-Custody Forms 

☼ 2.10 Daily Operations Summary/Situation Reports 

☼ 2.11 Work Register and Logs 

√ 2.12 Anomaly Review Board Documents (Management Plan, 

 Correspondence, Standing Operating Procedures (SOPs), Findings) 

Ω 2.13 Removal Response Reports (Emergency Evacuation Orders) 

Ω 2.14 EE/CA Approval Memorandum 

√ 2.15 EE/CA Report 

√ 2.16 Action Memoranda 
EP 1110-3-8 

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I-3 

3.0 Remedial Investigation (RI). 

Ω 3.01 Correspondence (see note 1) 

√ 3.02 Sampling and Analysis Data and Plans (see note 2) 

Ω 3.03 Scopes of Work/Contractual Documents (see note 14) 

Ω 3.04 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 3.05 Invoices/Contractor Payments/Cost Reports 

Ω 3.06 Interagency Agreements/Memoranda 

Ω 3.07 ARAR Determinations (see note 5) 

☼ 3.08 Interim Deliverables (see note 7) 

√ 3.09 Chain-of-Custody Forms 

√ 3.10 RI Reports 

√ 3.11 Health and Endangerment Assessments (including human health and 

 ecological risk assessments and lead-based paint and asbestos surveys) 

4.0 Feasibility Study (FS). 

Ω 4.01 Correspondence (see note 1) 

√ 4.02 Sampling and Analysis Data and Plans (see note 2) 

√ 4.03 Geophysical Investigation Data 

Ω 4.04 Scopes of Work/Contractual Documents (see note 14) 

Ω 4.05 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 4.06 Invoices/Contractor Payments/Cost Reports 

Ω 4.07 Interagency Agreements/Memoranda 
EP 1110-3-8 

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I-4 

Ω 4.08 ARAR Determinations (see note 5) 

☼ 4.09 Interim Deliverables (see note 7) 

√ 4.10 FS Reports (see note 7) 

√ 4.11 Proposed Plans for RA (see note 7) 

5.0 Record of Decision (ROD) or Decision Document (DD). 

Ω 5.01 Correspondence (see notes 1 and 8) 

√ 5.02 Sampling and Analysis Data and Plans (see note 2) 

√ 5.03 Geophysical Investigation Data 

Ω 5.04 Scopes of Work/Contractual Documents (see note 14) 

Ω 5.05 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 5.06 Invoices/Contractor Payments/Cost Reports 

Ω 5.07 Interagency Agreements/Memoranda 

Ω 5.08 ARAR Determinations (see note 5) 

√ 5.09 All Public Notices, Comments Received, and Responses to the 

 Comments 

√ 5.10 ROD or DD (see note 7) 

√ 5.11 Amendments to ROD or DD 

√ 5.12 Explanation of Significant Differences 

6.0 Remedial Design (RD). (from previous remedial or removal response actions) (see 

 notes 8 and 9) 

☼ 6.01 Correspondence 

☼ 6.02 Sampling and Analysis Data and Plans 

☼ 6.03 Scopes of Work/Contractual Documents (see note 14) 
EP 1110-3-8 

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I-5 

☼ 6.04 Invoices/Contractor Payments/Cost Reports 

☼ 6.05 Interagency Agreements/Memoranda 

Ω 6.06 ARAR Determinations (see note 5) 

☼ 6.07 Final RD Documents (no cost estimates should be included) (see notes 8 and 9) 

7.0 Remedial/Removal Action (RA)/Long-Term Management (LTM). (from previous 

remedial or removal response actions) (see notes 8 and 9) 

☼ 7.01 Correspondence 

☼ 7.02 Sampling and Analysis Data and Plans 

☼ 7.03 Scopes of Work/Contractual Documents (see note 14) 

☼ 7.04 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 7.05 Invoices/Contractor Payments/Cost Reports 

☼ 7.06 Interagency Agreements/Memoranda 

☼ 7.07 ARAR Determinations (see note 5) 

☼ 7.08 RA Documents 

Ω 7.09 LTM Documents (see note 16) 

8.0 Public Affairs/Community Relations. 

√ 8.01 Correspondence (see notes 1 and 8) 

☼ 8.02 Mailing Lists 

Ω 8.03 Scopes of Work/Contractual Documents (see note 14) 

Ω 8.04 Work Plans/Safety Plans and Progress Reports (see notes 3 and 4) 

☼ 8.05 Invoices/Contractor Payments/Cost Reports 
EP 1110-3-8 

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I-6 

Ω 8.06 Public Involvement Plan (see note 7)

Ω 8.07 Briefing Papers (briefing papers may be statements of fact 

 presented to the decision makers which form part of the basis for 

 a decision, or they may be privileged deliberative process 

 information which constitute staff analysis or recommendations, 

 or they may have both types of information.) 

Ω 8.08 News Clippings and Press Releases (see note 11) 

☼ 8.09 Work Logs 

√ 8.10 Public Meeting Minutes/Transcripts (including minutes of RAB/TRC 

 meetings) (see note 15) 

Ω 8.11 Fact Sheets/Newsletters 

√ 8.12 Written Responses to Public Comments/Questions (include all 

 public comments, or information obtained from the public 

 relating to the response action decision, which may include 

 summaries of interviews, correspondence with political 

 subdivisions such as zoning boards, letters from the public, etc.) 

√ 8.13 Public Notices (Availability of Record, Public Comment) 

9.0 Congressional Relations. 

Ω 9.01 Correspondence (to include formal Congressionals) (see notes 1, 

 8, and 12) 

Ω 9.02 Briefings 

Ω 9.03 Transcripts 

Ω 9.04 Testimonies 

Ω 9.05 Published Hearings 
EP 1110-3-8 

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I-7 

10.0 Freedom of Information Act (FOIA). 

☼ 10.01 Correspondence 

☼ 10.02 Requests 

☼ 10.03 Responses 

11.0 Real Estate. 

Ω 11.01 Correspondence (see notes 1 and 8) 

Ω 11.02 Rights-of-Entry Documents (may be appropriate for inclusion, e.g., 

 when relevant information is considered in the response action 

 decision process) 

Ω 11.03 Title Search Documents (see note 10) 

Ω 11.04 Land Grants/Deeds 

Ω 11.05 Interagency Agreements/Memoranda (may be appropriate for 

 inclusion, e.g., when relevant information is considered in the 

 response action decision process) 

√ 11.06 Final approved Findings and Determinations 
EP 1110-3-8 

9 Apr 04 

I-8 

Notes 

The following notes are referenced in Selecting Documents for the Administrative Record. Only 

documents containing factual data relevant to the selection of the response action on the FUDS 

property should be included in the Administrative Record. 

1. Internal correspondence should generally be excluded from the Administrative Record. 

However, if these records contain facts that are not available elsewhere, they should be included 

in the Administrative Record. Also, all government attorney correspondence should be excluded 

from the Administrative Record as well as privileged documents. This material includes formal 

letters, meeting notes, and telephone notes. 

2. Sampling and analysis data must be included in the Administrative Record. When it is 

available, validated data should be used. In order to limit the physical size of Administrative 

Records, sampling and analysis data may be included in the Record by referencing the data in 

the Record's Index. 

3. Only the final version of a work plan (including all subplans) and any subsequent 

revisions/modifications need to be included in the Administrative Record. 

4. Only progress reports that provide factual information related to a selection of a response 

action must be included in the Administrative Record. 

5. ARAR information which is directly related to decisions made at the FUDS project must be 

included in the Administrative Record. Correspondence between attorneys and/or FUDS project 

team members relating to ARARs should be excluded from the Administrative Record. 

6. Certain documents may need to be added to the Administrative Record after the Action 

Memorandum is signed. These documents would be added to the Administrative Record if they 

are relevant to a follow-up action or if the Action Memorandum is amended. 

7. All relevant draft documents (e.g., EE/CA, RI/FS, ROD, Public Involvement Plan) that are 

made available to the public and upon which the government received comments should be 

included in the Administrative Record. Draft documents which contain factual information that 

does not appear in the final document or is included in other documents, and upon which the 

government based a portion of its response action decision (even if the document was not 

released to the public) must be included in the Administrative Record. 

8. Documents generated after the Action Memorandum, the ROD, or the DD are final are 

usually not included in the Administrative Record. However, if there are multiple areas within a 

FUDS property, some documents generated after one Action Memorandum, ROD, or DD may be 

included in the Administrative Record if it is related to how the government made a decision for 
EP 1110-3-8 

9 Apr 04 

I-9 

another Action Memorandum, ROD, or DD at the FUDS property. These documents should be 

included in the permanent Project File at the district. 

9. RD and RA documents are usually excluded from the Administrative Record. However, if 

there are multiple RDs and RAs, documents from previous RDs and RAs may be included in the 

Administrative Record to support follow-up response actions. In addition, if there is an 

amendment to a ROD, a DD, or an Action Memorandum, additional RD and RA documents may 

be added to the Administrative Record. These documents should be included in the permanent 

Project File at the district. 

10. Title search records may be excluded from the Administrative Record if they do not contain 

information relevant to selection of a response action. Since title search records may be 

considered confidential, they may be cited in the Index and excluded from the physical 

Administrative Record, i.e., inclusion by reference only. 

11. USACE press releases are included in the Administrative Record. General newspaper 

clippings are excluded from the Administrative Record (unless they served as the basis for a 

response action). 

12. Comments received from members of Congress on draft documents that were relied upon in 

selection of a response action (e.g., EE/CA, RI, FS, Proposed Plan, ROD, Public Involvement 

Plam) must be included in the Administrative Record. 

13. Site descriptions and chronologies may be included in the Administrative Record if they 

reflect official agency positions. They are not to be included if they were prepared as the FUDS 

project team's working papers. 

14. The final scopes of work, including any modifications, should be included. Most other 

contract file documents are not relevant. Official contract documents and financial records will 

be maintained IAW AR 25-400-2. 

15. Include recommendations or significant information provided by any RAB or TRC which 

relates to a response action decision. Also include the documents that were developed to 

establish the RAB or TRC, correspondence reflecting any changes in the RAB or TRC 

membership, and the minutes of any meeting between the RAB or TRC and the agency decisionmaking official. 

16. Postdecision information, including LTM documents, is generally excluded from the 

Administrative Record. See paragraph 4-12 of this pamphlet for a discussion of when it may be 

appropriate to include such information in the Administrative Record. 
EP 1110-3-8 

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J-1 

APPENDIX J 

MODEL PERMANENT PROJECT FILE STRUCTURE 

This file structure is included to provide an organizational framework for an entire HTRW or 

MMR permanent Project File. Only 30 percent or less of the documents listed below will 

ultimately comprise the Administrative Record. The numbering system employed here is 

consistently used throughout the appendices of this EP and can be further seen in the 

development of the Administrative Record document-numbering system and the arrangement of 

the Administrative Record Table of Contents (see paragraph 4-16).* 

1.0 Site Management Records. 

 1.01 Correspondence 

 1.02 ASR 

 1.03 Scopes of Work/Contractual Documents 

 1.04 Site Photographs and Maps 

 1.05 Site Descriptions and Chronologies 

 1.06 Reference Documents 

 1.07 Federal, State, Local Technical Records 

 1.08 INPR 

 1.09 PA Report (including any associated documents) 

 1.10 SI Documents 

 1.11 Work Plans/Safety Plans and Progress Reports 

 1.12 NDAI Determinations 

2.0 Removal Response. 

 2.01 Correspondence 

 2.02 Sampling and Analysis Data and Plans 

 2.03 Scopes of Work/Contractual Documents 

 2.04 Work Plans/Safety Plans and Progress Reports 

 2.05 Invoices/Contractor Payments/Cost Reports 

 2.06 Interagency Agreements/Memoranda 

 2.07 ARAR Determinations 

 2.08 Interim Deliverables 

 2.09 Chain-of-Custody Forms 

 2.10 Daily Operations Summary/Situation Reports 

 2.11 Work Register and Logs 

______________________________________ 

*For instructions on the more detailed numbering system for documents to be placed on PIRS, 

refer to https://mvrpirs.mvr.usace.army.mil. 

 2.12 Anomaly Review Board Documents (Management 
EP 1110-3-8 

9 Apr 04 

J-2 

 Plan/Correspondence/SOPs/Findings) 

 2.13 Removal Response Reports (Emergency Evacuation Orders) 

 2.14 EE/CA Approval Memorandum 

 2.15 EE/CA Report 

 2.16 Action Memoranda 

3.0 Remedial Investigation (RI). 

 3.01 Correspondence 

 3.02 Sampling and Analysis Data and Plans 

 3.03 Scopes of Work/Contractual Documents 

 3.04 Work Plans/Safety Plans and Progress Reports 

 3.05 Invoices/Contractor Payments/Cost Reports 

 3.06 Interagency Agreements/Memoranda 

 3.07 ARAR Determinations 

 3.08 Interim Deliverables 

 3.09 Chain-of-Custody Forms 

 3.10 RI Reports 

 3.11 Health and Endangerment Assessments (including human health and ecological risk 

 assessments and lead-based paint and asbestos surveys) 

4.0 Feasibility Study (FS). 

 4.01 Correspondence 

 4.02 Sampling and Analysis Data and Plans 

 4.03 Geophysical Investigation Data 

 4.04 Scopes of Work/Contractual Documents 

 4.05 Work Plans/Safety Plans and Progress Reports 

 4.06 Invoices/Contractor Payments/Cost Reports 

 4.07 Interagency Agreements/Memoranda 

 4.08 ARAR Determinations 

 4.09 Interim Deliverables 

 4.10 FS Reports 

 4.11 Proposed Plans for RA 

5.0 Record of Decision (ROD) or Decision Document (DD). 

 5.01 Correspondence 

 5.02 Sampling and Analysis Data and Plans 
EP 1110-3-8 

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J-3 

 5.03 Geophysical Investigation Data 

 5.04 Scopes of Work/Contractual Documents 

 5.05 Work Plans/Safety Plans and Progress Reports 

 5.06 Invoices/Contractor Payments/Cost Reports 

 5.07 Interagency Agreements/Memoranda 

 5.08 ARAR Determinations 

 5.09 All Public Notices, Comments Received, and Responses to the 

 Comments 

 5.10 ROD or DD 

 5.11 Amendments to ROD or DD 

 5.12 Explanation of Significant Differences 

6.0 Remedial Design (RD). 

 6.01 Correspondence 

 6.02 Sampling and Analysis Data and Plans 

 6.03 Scopes of Work/Contractual Documents 

 6.04 Invoices/Contractor Payments/Cost Reports 

 6.05 Interagency Agreements/Memoranda 

 6.06 ARAR Determinations 

 6.07 RD Documents 

7.0 Remedial/Removal Action (RA)/Long-Term Management (LTM). 

 7.01 Correspondence 

 7.02 Sampling and Analysis Data and Plans 

 7.03 Scopes of Work/Contractual Documents 

 7.04 Work Plans/Safety Plans and Progress Reports 

 7.05 Invoices/Contractor Payments/Cost Reports 

 7.06 Interagency Agreements/Memoranda 

 7.07 ARAR Determinations 

 7.08 RA Documents 

 7.09 LTM Documents 

8.0 Public Affairs/Community Relations. 

 8.01 Correspondence 

 8.02 Mailing Lists 

 8.03 Scopes of Work/Contractual Documents 

 8.04 Work Plans/Safety Plans and Progress Reports 

 8.05 Invoices/Contractor Payments/Cost Reports 

 8.06 Public Involvement Plan 
EP 1110-3-8 

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J-4 

 8.07 Briefing Papers 

 8.08 News Clippings and Press Releases 

 8.09 Work Logs 

 8.10 Public Meeting Minutes/Transcripts (including minutes of RAB/TRC meetings) 

 8.11 Fact Sheets/Newsletters 

 8.12 Written Responses to Public Comments/Questions 

 8.13 Public Notices (Availability of Record, Public Comment) 

9.0 Congressional Relations. 

 9.01 Correspondence (to include formal Congressionals) 

 9.02 Briefings 

 9.03 Transcripts 

 9.04 Testimonies 

 9.05 Published Hearings 

10.0 Freedom of Information Act (FOIA). 

 10.01 Correspondence 

 10.02 Requests 

 10.03 Responses 

11.0 Real Estate. 

 11.01 Correspondence 

 11.02 Rights-of-Entry Documents 

 11.03 Title Search Documents 

 11.04 Land Grants/Deeds 

 11.05 Interagency Agreements/Memoranda 

 11.06 Findings and Determinations 

NOTE: Where appropriate, documents may be retained by the Office of Counsel as the 

attorney’s working file. All other documentation relating to legal issues that is not privileged or 

confidential will be retained in the permanent Project File within the major file subdivision to 

which it pertains. For example, documents generated by the legal office regarding rights-ofentry issues will be retained under 11.0 for Real Estate and, specifically, 11.02 for Rights-ofEntry Documents. Within the appropriate subdivisions, include all correspondence to and from 

agency counsel and other agency staff on the FUDS project team, all legal demands or claims 

and documents relating to processing them, all documents involving any litigation, all documents 

prepared to assist agency counsel or the Department of Justice in representing the agency on 

pending or potential legal disputes, and any other documents which are related to legal issues. 

Privileged or confidential documents will be maintained either in the Office of Counsel or with 
EP 1110-3-8 

9 Apr 04 

J-5 

the remainder of the permanent Project File in a privileged and confidential section of the file. 

Each document in this portion of the file, as well as the divider or file marker for this section, 

will be marked as privileged and confidential. These marked documents will not be released 

outside the agency or included in the Administrative Record without the approval of the Office 

of Counsel.
EP 1110-3-8 

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K-1 

APPENDIX K 

ADMINISTRATIVE RECORD DOCUMENTS 

The documents listed below will be included in the final Administrative Record. Since those 

documents marked with a "Ω" in appendix I may be added after a review by appropriate offices, 

they are not included here. This listing is based on the arrangement of the model permanent 

Project File structure presented as appendix J. This file structure will also be used in developing 

the Table of Contents for an Administrative Record. The 11 major divisions that make up this 

file structure correspond to the 11 volumes that constitute the typical Administrative Record. 

The number of binders per volume will vary depending on the size and number of the documents 

contained therein. (See paragraph 4-16 for a detailed discussion of the arrangement of a typical 

Administrative Record table of contents.) 

1.0 Site Management Records. 

 1.02 ASR (including factual supporting historical documents) 

 1.08 INPR (include final INPRs that have been reviewed and concurred with by agency 

 counsel and when applicable the Confirmation Report for FUDS HTRW projects – do 

 not include government cost estimates which may be attached to the INPR) 

 1.09 Final PA Report (including any associated documents) 

 1.10 SI Documents 

 1.12 NDAI Determinations documented in the Action 

 Memorandum, the ROD, or the DD 

2.0 Removal Response. 

 2.02 Sampling and Analysis Data and Plans (see note 2 of appendix I) 

 2.09 Chain-of-Custody Forms 

 2.12 Anomaly Review Board Documents (Management Plan/Correspondence/ 

 SOPs/Findings) 

 2.15 EE/CA Report 

 2.16 Action Memoranda 

3.0 Remedial Investigation (RI). 

 3.02 Sampling and Analysis Data and Plans (see note 2 of appendix I) 

 3.09 Chain-of-Custody Forms 

 3.10 RI Reports 

 3.11 Health and Endangerment Assessments (including human health and ecological 

 risk assessments and lead-based paint and asbestos surveys) 

4.0 Feasibility Study (FS). 
EP 1110-3-8 

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K-2 

 4.02 Sampling and Analysis Data and Plans (see note 2 of appendix I) 

 4.03 Geophysical Investigation Data 

 4.10 FS Reports (see note 7 of appendix I) 

 4.11 Proposed Plans for RA (see note 7 of appendix I) 

5.0 Record of Decision (ROD) or Decision Document (DD). 

 5.02 Sampling and Analysis Data and Plans (see note 2 of appendix I) 

 5.03 Geophysical Investigation Data 

 5.09 All Public Notices, Comments Received, and Responses to the 

 Comments 

 5.10 ROD or DD (see note 7 of appendix I) 

 5.11 Amendments to ROD or DD 

 5.12 Explanation of Significant Differences 

6.0 Remedial Design (RD). None unless notes 5, 8, or 9 of appendix I apply 

7.0 Remedial/Removal Action (RA)/Long-Term Management (LTM). None unless notes 5, 8, 

 9, or 16 of appendix I apply 

8.0 Public Affairs/Community Relations. 

 8.01 Correspondence (see notes 1 and 8 of appendix I) 

 8.10 Public Meeting Minutes/Transcripts (including RAB/TRC meeting minutes) (see note 

 15 of appendix I) 

 8.12 Written Responses to Public Comments/Questions (include all public comments, or 

 information obtained from the public relating to the response action decision, which 

 may include summaries of interviews, correspondence with political subdivisions such 

 as zoning boards, letters from the public, etc.) 

 8.13 Public Notices (Availability of Record, Public Comment) 

9.0 Congressional Relations. None unless determined that they provide factual information 

 that was relied upon in the selection of a response action 

10.0 Freedom of Information Act (FOIA). None 

11.0 Real Estate. 

 11.06 Final approved Findings and Determinations 
EP 1110-3-8 

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L-1 

APPENDIX L 

MODEL ADMINISTRATIVE RECORD INDEX 

The Administrative Record Index will be divided into several indices arranged by the access 

points indicated below. By knowing only one piece of information about the document being 

sought, such as the author, a person will be able to find that document in its volume of the 

Record. Each Index should include on the top of each page the FUDS property name, date of 

the Index, and type of organizing identifier, e.g., author, date, etc., for that Index. 

Key Words (found in the title of each document or piece of correspondence) 

Authors (authors of documents sent and received) 

Affiliation (of authors of sent documents) 

Date (provides for a chronological listing of all documents) 

ARIMS number 

Volume number (volume of binder in which the document is maintained) 
EP 1110-3-8 

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M-1 

APPENDIX M 

MODEL ADMINISTRATIVE RECORD DATA ELEMENT DEFINITION INDEX 

Doc No. Unique no. assigned to each document based on file structure numbering system 

Vol Volume number of the binder in which the hard copy of the 

document is contained 

Title Title of the document 

Date The date the document was published by or released from the 

issuing office or agency 

Author Author of document sent or received 

Affiliation Agency, office, or corporate entity of author 

Pages Total number of printed pages of document, including any attachments 

ARIMS No. File no. from AR 25-400-2 

Doc Type Indicates type of document, e.g., correspondence, report, plan, memorandum, etc. 
EP 1110-3-8 

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N-1 

APPENDIX N 

SAMPLE VISITOR SIGN-IN BOOK FORMAT 

Visitor Sign-In Book 

Date of visit: ___________________________ 

Name: _________________________________ 

Affiliation: _____________________________ 

Address: _______________________________ 

 _______________________________ 

Phone number: __________________________ 

FUDS project documents viewed: ASR ______ INPR ______ ROD ______ Other _________ 

Cost of copied materials (if applicable): ___________________ 

Privacy Act Statement 

Authority: 10 U.S. Code (USC) 2705. 

Principal Purpose: To establish controlled access to the Administrative Record file and other 

FUDS project documents in order to minimize instances in which documents are lost or 

damaged. The requested information will be used to contact viewers of the Record file and other 

FUDS project documents to identify and resolve problems as necessary. The sign-in book will 

also be used to provide documentation of the government's effort to provide public access to the 

Record file and other FUDS project documents. Disclosure of the requested information is 

voluntary. Failure to provide all the requested information will not prevent viewing of the 

Record file or other FUDS project documents. 
EP 1110-3-8 

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APPENDIX O 

O-1 

MODEL ADMINISTRATIVE RECORD TRANSMITTAL COVER LETTER 

(Name of Contact) 

(Address) 

Dear (Name of Contact): 

The U.S. Army Corps of Engineers is required by law to establish Administrative Records for 

certain environmental restoration projects and to maintain one copy of such Records “at or near” 

the environmental restoration project at issue. The attached Administrative Record consists of 

information upon which the government bases its selection of response action for the (name of 

FUDS property). 

By providing the public with greater access to these Records, it is our hope that the public will 

be better equipped to comment constructively on FUDS project activities and to understand the 

issues relating to the selection of the response action at the FUDS property. 

We appreciate having the (name of local repository) as the designated Administrative Record 

facility for the (name of FUDS property). The enclosed Record file, along with any future 

documents relating to technical activities at the FUDS project, will be placed in the (name of 

local repository) and be available for public review. The Record file should be treated as a 

noncirculating 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 FUDS projects. 

Please feel free to distribute this guide to the public. 

To ensure the receipt of the Administrative Record, I would appreciate your completion of the 

attached Document Transmittal Acknowledgment form. Please return this form in the enclosed 

self-addressed, stamped envelope. 

Again, I would like to thank you for your cooperation with the U.S. Army Corps of Engineers in 

serving as a field repository. If you have any questions or comments, please contact (name of 

contact) at (phone no.). 

Sincerely, 

(Name) 

Administrative Record Coordinator 

(Signature is subject to local procedures.)
EP 1110-3-8 

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P-1 

APPENDIX P 

MODEL ADMINISTRATIVE RECORD DOCUMENT TRANSMITTAL 

ACKNOWLEDGMENT FORM 

FROM: (Office Address) 

TO: (Field Repository Address) 

I acknowledge that I have received the following documents from the U.S. Army Corps of 

Engineers, (district office/field office), pertaining to (FUDS property name). 

Administrative Record Name _____________________________________ 

Administrative Record Volume Numbers ___________________________ 

Signed _________________________________________________ 

Date ___________________________________________________ 

Please return this form to: (District Office/Field Office Address)
EP 1110-3-8 

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Q-1 

APPENDIX Q 

SAMPLE ADMINISTRATIVE RECORD 

FACT SHEET 

Administrative Records in Local Repositories 

The Administrative Record is the collection of documents which forms the basis for the selection 

of a response action at a FUDS environmental restoration project. Under section 113 (k) of the 

Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), as 

amended by the Superfund Amendment and Reauthorization Act (SARA), 42 USC 9601 et. seq., 

the U.S. Army Corps of Engineers is required to establish an Administrative Record for every 

remedial or removal response action and to make a copy of the Administrative Record file 

available at or near the FUDS project. 

The Administrative Record file must be reasonably available for public review during normal 

business hours. The Record file should be treated as a noncirculating reference document. This 

will allow the public greater access to the volumes and 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 information repository. 

The documents in the Administrative Record may become damaged or lost during use. If this 

occurs, the local repository manager should contact the Corps of Engineers district or field office 

for replacements. Documents may be added to the Record file as the FUDS project work 

progresses. Periodically, the Corps of Engineers may send supplemental volumes and indexes 

directly to the local repository. These supplements should be placed with the initial Record file 

materials. 

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 local Corps 

office. 

The Corps welcomes comments at any time on documents contained in the Administrative 

Record file. Please send any such comments to (name of contact). The Corps will hold formal 

public comment periods at certain stages of the response process. The public is urged to use 

these formal review periods to submit their comments. The public will be advised through the 

local news media of these formal review periods. 

For further information on the Administrative Record, contact (name and phone number of 

ARC).
EP 1110-3-8 

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R-1 

APPENDIX R 

MODEL ADMINISTRATIVE RECORD NOTICE OF PUBLIC AVAILABILITY 

THE U.S. ARMY CORPS OF ENGINEERS 

ANNOUNCES THE AVAILABILITY OF THE 

ADMINISTRATIVE RECORD 

(NAME OF FUDS PROPERTY, LOCALITY, STATE) 

The U.S. Army Corps of Engineers announces the availability for public review of files 

comprising the Administrative Record for the selection of the (remedial, removal) response 

action at the (name of FUDS property, locality, state). The Corps seeks to inform the public of 

the availability of the Record at this repository and at the district office and to encourage the 

public to comment on documents as they are placed into the Record file. 

The Administrative Record includes documents which form the basis for the selection of a 

(remedial, removal) response action at this FUDS project. Documents now in the Record files 

include (determination of eligibility/PA and SI reports, validated sampling data, RI/FS or EE/CA 

work plan, and the Public Involvement Plan). Other documents will be added to the Record files 

as the FUDS project work progresses. These additional documents may include, but are not 

limited to, the RI/FS report, the Proposed Plan, the EE/CA report, other technical reports, 

additional validated sampling data, comments and new data submitted by interested persons, and 

Corps responses to significant comments. 

The Administrative Record is available for review during normal business hours at: 

 (information repository name, address, and phone number and Corps of Engineers district 

 office name, address, and phone number and the room number for its public access reading 

 room) 

Additional information is available at the following location(s): 

 (name, address, phone number) 

Written comments on the Administrative Record should be sent to: 

 (name, address, phone number)
EP 1110-3-8 

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Glossary-1 

GLOSSARY 

ACSIM.......................Assistant Chief of Staff for Installation Management 

AR..............................Army Regulation 

ARAR ........................Applicable or Relevant and Appropriate Requirement 

ARC ...........................Administrative Record Coordinator 

ARIMS.......................Army Records Information Management System 

ASAIE........................Assistant Secretary of the Army for Installations and Environment 

ASR............................Archives Search Report 

ATSDR ......................Agency for Toxic Substances and Disease Registry 

BRAC.........................Base Realignment and Closure 

CERCLA....................Comprehensive Environmental Response, Compensation, and Liability 

 Act 

CFR............................Code of Federal Regulations 

COR ...........................Contracting Officer’s Representative 

CX..............................Center of Expertise 

DA..............................Department of the Army 

DASA (ESOH)...........Deputy Assistant Secretary of the Army (Environment, Safety and 

 Occupational Health) 

DD..............................Decision Document 

DEP............................Department of Environmental Protection 

DERP .........................Defense Environmental Restoration Program 

DOD...........................Department of Defense 

DUSD (ES) ................Deputy Under Secretary of Defense (Environmental Security) 

EE/CA........................Engineering Evaluation/Cost Analysis 

EPA............................Environmental Protection Agency 

ETL ............................Engineer Technical Letter 

FACA.........................Federal Advisory Committee Act 

FAR............................Federal Acquisition Regulation 

FFERDC ....................Federal Facilities Environmental Restoration Dialogue Committee 

FOIA ..........................Freedom of Information Act 

FOUO.........................For Official Use Only 

FR...............................Federal Register 

FS ...............................Feasibility Study 

FUDS .........................Formerly Used Defense Sites 

FY ..............................Fiscal Year 

HQDA........................Headquarters, Department of the Army 

HQUSACE.................Headquarters, U.S. Army Corps of Engineers 

HTRW........................Hazardous, Toxic, and Radioactive Waste 

IAW............................In Accordance With 

INPR ..........................Inventory Project Report 
EP 1110-3-8 

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Glossary-2 

LTM ...........................Long-Term Management 

MFR ...........................Memorandum for Record 

MSC ...........................Major Subordinate Command 

MMR..........................Military Munitions Response 

NCP............................National Oil and Hazardous Substances Pollution Contingency Plan 

NDAA........................National Defense Authorization Act 

NDAI..........................No DOD Action Indicated 

NPL............................National Priorities List 

ODEP .........................Office of the Director of Environmental Programs 

OE ..............................Ordnance and Explosives 

OMB ..........................Office of Management and Budget 

PA ..............................Preliminary Assessment 

PAO............................Public Affairs Office 

PDT............................Project Delivery Team 

PIRS ...........................Project Information Retrieval System 

PL...............................Public Law 

PM..............................Project Manager 

POC............................Point of Contact 

PRP ............................Potentially Responsible Party 

RA..............................Remedial Action 

RAB ...........................Restoration Advisory Board 

RD..............................Remedial Design 

RD/RA .......................Remedial Design/Remedial Action 

RI................................Remedial Investigation 

RI/FS..........................Remedial Investigation/Feasibility Study 

ROD ...........................Record of Decision 

SAP ............................Simplified Acquisition Procedures 

SARA.........................Superfund Amendment and Reauthorization Act 

SI................................Site Investigation/Inspection 

SOP ............................Standing Operating Procedure 

SOW...........................Statement of Work 

Stat .............................United States Statutes at Large 

TAG ...........................Technical Assistance Grant 

TAPP..........................Technical Assistance for Public Participation 

TLM ...........................Technical Liaison Manager 

TOSC .........................Technical Outreach Services to Communities 

TPP.............................Technical Project Planning 

TPS.............................Third Party Site 

TRC............................Technical Review Committee 

USACE ......................U.S. Army Corps of Engineers 
EP 1110-3-8 

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Glossary-3 

USACHPPM..............U.S. Army Center for Health Promotion and Preventive Medicine 

USAEC ......................U.S. Army Environmental Center 

USAESCH .................U.S. Army Engineering and Support Center, Huntsville 

USC............................United States Code