United States
Environmental Protection
Agency
Off ice of
Solid Waste and
Emergency Response
Publication 9360.3-01 FS
December 1990
«>EPA A Guide to Developing
Action Memorandums
Office of Emergency and Remedial Response
Emergency Response Division, OS-210
Qutek Reference Fact Sheet
EPA prepares Action Memorandums for all Fund-lead removal actions. Action Memos describe a site's history,
current activities, health and environmental threats, and proposed actions and costs. Action Memos also demonstrate
that site conditions meet the criteria for a removal action outlined in section 300.415 of the National Contingency Plan
(NCP) and document approval of the proposed action by the proper Headquarters' or Regional authority. A
confidential addendum to the Action Memo outlines EPA's enforcement strategy for the site. In addition to Fund-
lead removal actions, EPA prepares modified Action Memos for enforcement-lead removals and special circum-
stances such as actions that require additional funds, a change in the scope of the response, or an exemption to the
statutory limits under section 104(c) of the Comprehensive Environmental Response, Compensation, and Liability
Act (CERCLA).
This fact sheet describes the essential components of Action Memos used to initiate a removal action, as well as the
special cases identified above. Additional information on preparing Action Memos is contained in the "Action
Memorandum Guidance" (OSWER Directive 9360.3-01, September, 1990). This guidance is the first in a series of
documents under development to replace the "Superfund Removal Procedures" (OSWER Directive 9360.0-03B,
February, 1988). Further information concerning this series is found at the end of this fact sheet.
INTRODUCTION
An Action Memo is the primary decision document sub-
stantiating the need for a removal action, identifying the
proposed response, and explaining the rationale for the
removal action. Action Memos are prepared by On-
Scene Coordinators (OSCs) prior to the start of a re-
sponse, or after the fact for removal actions initiated
under the $50,000 approval authority delegated to OSCs
foruseinemergency situations. If circumstances change,
supplemental Action Memos may be required later in
the response to support the need to continue a removal
action beyond the statutory limits of 12 months in
duration or $2 million in expenditures, to increase the
total project ceiling, to change the scope of the response,
or combinations thereof. In addition, for removal ac-
tions expected at the outset to exceed the statutory limits
on time and/or money, the OSC must prepare an Action
Memo that justifies the need to undertake the proposed
response and that also meets the statutory exemption
criteria from these limits.
Section 113(k) of CERCLA requires the establishment
of an administrative record for the selection of a
CERCLA response action. The administrative record
is the body of information used by the Agency to select
a response action. As the primary decision document,
the Action Memo must demonstrate consideration of the
factors affecting the removal decision. Action Memos
that do not adequately substantiate the need for a re-
moval action or the selected cleanup method may unde r-
mine the Agency's case for a cost recovery action.
The outline beginning on the next page summarizes the
required contents of a basic Action Memo used to
initiate a removal action within the statutory limits.
These Action Memos are approved by the appropriate
EPA Regional Administrator, unless the OSC's $50,000
authority has been invoked (in these cases, the OSC
approves the Action Memo). Modifications to this
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format are required to prepare Action Memos for other
circumstances, and are discussed in the following
sections.
Purpose
Begin with a statement of purpose that identifies:
• The type of action requested (e.g., approval of a
removal request, ceiling increase, etc.);
• The site's name and location;
The name of the lead respondent;
Whetherthe response was initiated under the OSC's
$50,000 authority, or if any nationally significant or
precedent-setting issues are involved.
Site Conditions and Background
Consolidate known factual information describing the
site including:
• Removal site evaluation findings, physical location
information, site and release characteristics, NPL
status, and maps, pictures, or other graphics;
Other actions to date, both government-lead and
private party-sponsored;
• State and local authorities' roles, both past actions
and potential for future response.
Threats to Public Health and Welfare
Explain how this incident meets the requirements for a
removal action by detailing:
The threats to public health and/or welfare as they
relate to the criteria listed in section 300.415 of the
NCP (e.g., contamination of drinking water sup-
plies, threat of fire or explosion). Discuss only those
threats that will be addressed by the removal action,
beginning with the most serious.
• The results of health consultations, advisories, or
other health risk advice from the Agency for Toxic
Substances Disease Registry (ATSDR).
Endangerment Determination
Include the following statement, selecting the appropri-
ate substance category:
"Actual or threatened releases of [hazardous sub-
stances/pollutants and contaminants] from this site,
if not addressed by implementing the response ac-
tion selected in this Action Memorandum, may
present an imminent and substantial endangerment
to public health, or welfare, or the environment."
Proposed Actions and Estimated Costs
Describe the specific tasks involved in the proposed
removal action, with separate sections detailing:
• Contribution to remedial performance;
• Alternative technologies;
• Results of the Engineering Evaluation/Cost
Analysis (EE/CA) for non-time-critical actions;
• Applicable or relevant and appropriate requirements
(ARARs);
• Project schedule;
• Total project ceiling (see Figure 1, page 3).
Expected Change In the Situation Should Ac-
tion Be Delayed or Not Taken
Describe any expected changes in the situation should
action be delayed or not taken, and provide a worst-case
scenario.
Outstanding Policy Issues
Discuss remaining policy issues not identified else-
where in the Action Memo.
Enforcement
Summarize the extent to which potentially responsible
parties (PRPs) are known, and whether they can or will
respond. Place all remaining information concerning
the enforcement strategy in a separate addendum (see
page 3).
Recommendation
Provide an approval statement indicating that NCP
removal requirements have been substantiated and
summarize the total project ceiling. Include the follow-
ing statement:
"This decision document represents the selected
removal action for the [site name], in [location],
developed in accordance with CERCLA as amended.
and not inconsistent with the NCP. This decision is
based on the administrative record for the site."
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FIGURE 1
Sample Removal Project Celling Estimate
Extramnral
Regional Allowaree Costs:
Total Cleanup Contractor Costs
(This cost category includes
OSC estimates for ERCS,
Regional ERCS, subcontractors,
Letter Contracts, orders for services,
Notices to Proceed, Alternative
Technology Contracts, and lAGs
with other Federal agencies. Also
includes a 10-20% contingency.)
Other Extramural Costs Not Funded From the RcriflnaJ Allowance:
Total TAT, including multiplier costs
Total NCLP
Total ERT/REAC
Subtotal, Extramural Costs
Extramural Costs Contingency
(20% of Subtotal, Extramural Costs; round to nearest thousand)
TOTAL, EXTRAMURAL COSTS
Intramnral Costs;
Intramural Direct Costs
Intramural Indirect Costs
TOTAL, INTRAMURAL COSTS
TOTAL, REMOVAL PROJECT CEILING
$862,500
$50,000
$100,000
$100.000
$1,112,500
+ $223.000
$1335.500
$9,900
$18.000
$27,900
$1,363,400
Enforcement Addendum
Provide information on the following topics:
• PRP search;
• Notification of PRPs of potential liability and of
the required removal action;
• Decision whether to issue an order,
- Negotiation and order issuance strategy.
Attachments
Append all attachments referred to in the body of the
Action Memo such as site maps ami pictures, ATSDR
documentation, previously approved Action Memos,
and the project schedule.
ACTION MEMOS FOR
ENFORCEMENT-LEAD ACTIONS
Action Memos must also be prepared for removal ac-
tions to be conducted by PRPs. These Action Memos,
however, do not need to include estimated costs or
authorization for funding, and may be designated as
"Action Memo/Enforcement"
ACTION MEMOS FOR
SPECIAL CIRCUMSTANCES
The content of a basic Action Memo is modified in two
situations: when EPA determines at the beginning of a
response that an exemption to the statutory limits on
time and/or money will be needed, and to continue
removal actions already in progress. The approval of the
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Assistant Administrator for the Office of Solid Waste
and Emergency Response (AA, OSWER) is required for
all requests involving total expenditures over $2 mil-
lion. EPA Regional Administrators approve requests
for action totalling less than $2 million, as well as
exemptions to the 12-month limit
Combined Removal and Statutory
Exemption Requests
These Action Memos must provide the same informa-
tion described for the basic Action Memo, as well as
information demonstrating how site conditions meet the
CERCLA section 104(c) criteria for an exemption to the
time and dollar limits on removal actions. This new
section, entitled "Exemption From Statutory Limits," is
placed immediately after the "Threats" section and uses
the threat information to justify either an:
Emergency exemption (there is an immediate risk to
public health or welfare or the environment; contin-
ued response actions are immediately required to
prevent, limit, or mitigate an emergency; and assis-
tance will not otherwise be provided on a timely
basis).
or a:
• Consistency exemption (continued response actions
are otherwise appropriate and consistent with the
remedial action to be taken).
Action Memos to Continue Response
Actions
Action Memos are occasionally required to continue
work approved by an original Action Memo, or to restart
work at the same site if the statutory limit on time has
been exceeded. The four basic types of requests are:
• To extend a removal action beyond 12 months;
• To increase the total project ceiling;
• To increase the total project ceiling beyond
$2 million;
• To change the scope of response for the removal
action.
Action Memos to continue response actions must cover
each of the categories required in the basic Action
Memo outline, but may refer to the most recently ap-
proved Action Memo (which should be attached) in
order to avoid duplication. If new or additional informa-
tion is available, it should be included in the appropriate
section of the new Action Memo. For those Action
Memos requesting an exemption to the 12-month or $2
million limit, a section on "Exemption from Statutory
Limits" as described above should be added.
SUPERFUND REMOVAL PROCEDURES
SERIES
The "Action Memorandum Guidance" is the first vol-
ume of a ten-volume series of guidance documents
collectively titled the "Superfund Removal Procedures".
These stand-alone volumes update and replace the single-
volume "Superfund Removal Procedures" manual
(OSWER Directive 9360.0-3B), issued in February,
1988. Each volume in the series is dedicated to a
particular aspect of the removal process and includes a
volume-specific Table of Contents, Reference List, and
Key Words Index. In addition to the nine procedural
volumes listed in Figure 2, the series includes an Over-
view volume, containing a comprehensive Table of
Contents, List of Exhibits, Key Words Index, List of
Acronyms, and Glossary, for use as a quick reference.
The complete series of documents will be available in
1991. For further information on any volumes in the
series, contact the Superfund Removal Procedures se-
ries coordinator at (202) 382-4671.
FIGURE 2
Volumes In Superfund Removal
Procedures Series
Overview
The Removal Response Decision: Site Discovery to
Response Decision
Action Memorandum Guidance
Response Management: Removal Start-up to Close-out
Removal Enforcement Guidance for On-Scene
Coordinators
Public Participation Guidance for On-Scene Coordinators:
Community Relations and the Administrative Record
Removal Response Reporting
Special Requirements
Guidance on the Consideration of ARARs During
Removal Actions
State Participation
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