September 2009

SUPERFUND REMOVAL 

GUIDANCE FOR PREPARING 

ACTION MEMORANDA

Office of Emergency Management 

Office of Solid Waste and Emergency Response 

U.S. Environmental Protection Agency 

Washington, D.C. 20460 
This document updates and replaces the “Superfund Removal Procedures Action Memorandum 

Guidance,” Office of Solid Waste and Emergency Response (OSWER) Directive 9360.3-01, dated 

December 1990, as amended by OSWER Directive 9360.0-42, Amendment to the Action Memorandum 

Guidance and Removal Cost Management System to Address Calculation of Removal Action Project 

Ceilings” dated November 5, 2001. This update supersedes the previous document and brings the 

guidance up-to-date. 

It also updates and replaces Directive 9360.0-19, dated March 3, 1989, “Guidance on Non-NPL Removal 

Actions Involving Nationally Significant or Precedent Setting Issues.” That guidance is covered in a 

separate section within this guidance. 

ii Final Guidance, September 2009 
TABLE OF CONTENTS 

LIST OF EXHIBITS.......................................................................................................... iv 

EXECUTIVE SUMMARY .................................................................................................v 

ACTION MEMORANDA 

Action Memorandum Purpose .......................................................................................1 

The Action Memorandum as Part of the Administrative Record for Selection of the 

Removal Action .............................................................................................................2 

Action Memorandum Roles and responsibilities...........................................................4 

MODEL ACTION MEMORANDUM 

Overview........................................................................................................................7 

ACTION MEMORANDA FOR SPECIAL CIRCUMSTANCES 

Overview......................................................................................................................28 

Initial Removal with Statutory Exemption Requests...................................................28 

Action Memoranda to Continue Response Actions.....................................................33 

Non-NPL Removal Actions Involving Nationally Significant or Precedent-Setting 

Issues............................................................................................................................44 

ACTION MEMORANDA ATTACHMENTS AND ADDENDA 

Action Memoranda Attachments .................................................................................49 

Headquarters Addenda.................................................................................................50 

REVIEW AND APPROVAL PROCEDURES 

Need for Review ..........................................................................................................52 

Resources for Review ..................................................................................................52 

Approval and Concurrence Procedures .......................................................................53 

APPENDIX A: SHORT-FORM ACTION MEMORANDUM TEMPLATE..................61 

APPENDIX B: REFERENCES........................................................................................66 

iii Final Guidance, September 2009 
LIST OF EXHIBITS 

EXHIBIT 1. ADMINISTRATIVE RECORD REQUIREMENTS FOR TIME-CRITICAL 

REMOVALS...........................................................................................................................3

EXHIBIT 2. ADMINISTRATIVE RECORD REQUIREMENTS FOR NON-TIME-CRITICAL 

REMOVALS...........................................................................................................................3

EXHIBIT 3. ACTION MEMORANDA ROLES AND RESPONSIBILITIES...............................6

EXHIBIT 4. BASIC ACTION MEMORANDUM OUTLINE ......................................................8

EXHIBIT 5. SAMPLE REMOVAL PROJECT CEILING ESTIMATE......................................24

EXHIBIT 6. INFORMATION REQUIREMENTS FOR REMOVAL AND 12-MONTH OR $2 

MILLION EXEMPTION REQUEST ACTION MEMORANDA .......................................29

EXHIBIT 7. APPROVAL FOR EXEMPTION REQUESTS..........................................30 

EXHIBIT 8: INFORMATION REQUIREMENTS FOR ACTION MEMORANDA TO 

 CONTINUE RESPONSES....................................................................................................37

EXHIBIT 9. SAMPLE PROJECT CEILING INCREASE ESTIMATE......................................41

EXHIBIT 10. REVIEW CHECKLIST .........................................................................................55

EXHIBIT 11. CONCURRENCE FOR NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING 

REMOVALS.........................................................................................................................60

iv Final Guidance, September 2009 
EXECUTIVE SUMMARY 

As the day-to-day managers of removal responses conducted under the Comprehensive Environmental 

Response, Compensation, and Liability Act (CERCLA), On-Scene Coordinators (OSCs) are responsible 

for a variety of activities. One of their most important responsibilities is the preparation of Action 

Memoranda (AM), more commonly referred to as Action Memos. 

An AM provides a concise written record of the selection and approval of a removal action. It describes 

the site's history, current activities, and health and environmental threats; outlines the action, cleanup 

levels (if applicable), and estimated costs; and documents approval of the proposed action by the proper 

Headquarters or Regional authority. An addendum to the AM, which is not part of the decision to select a 

removal action, outlines the enforcement strategy. 

An AM should document consideration of the factors affecting the removal decision. Specifically, the 

AM should substantiate the need for a removal action based upon criteria in the National Oil and 

Hazardous Substances Pollution Contingency Plan (NCP). Because AMs are the primary documents to 

select and authorize removal actions, they are a critical component of the administrative record. OSCs 

and Remedial Project Managers (RPMs) (in the case of some non-time critical removal actions) should 

always prepare detailed AMs to ensure a complete record of the decision making process. This guidance 

document provides through exhibits and examples the steps necessary to prepare an AM that contains the 

information required to properly document the selection and approval of a removal action. 

v Final Guidance, September 2009 
KEY TO SYMBOLS 

Bracketed numbers [#] appear in the text and exhibits and correspond to specific references in Appendix 

B. This appendix provides a list of supporting guidance documents that may be consulted for more 

detailed explanations of removal program procedures or policies affecting the preparation of AMs. 

Appropriate sections of statutes and regulations are also cited throughout the text, with a full citation of 

each statute and regulation appearing in Appendix B. 

vi Final Guidance, September 2009 
NOTICE 

The procedures set out in this document are intended solely for the guidance of government personnel. 

They are not intended, nor can they be relied upon to create any rights enforceable by any party in 

litigation with the United States. The guidance is designed to help promote consistent national policy on 

the development of AMs. It does not, however, substitute for CERCLA, or the Environmental Protection 

Agency’s (EPA) regulations, nor is it a regulation itself. Thus, it does not impose legally binding 

requirements on EPA, and may not apply to a particular situation based on the circumstances. EPA 

officials may decide to follow the guidance provided in this document, or to act at variance with the 

guidance, based on an analysis of site circumstances. 

vii Final Guidance, September 2009 
OVERVIEW 

ACTION MEMORANDA 

Action Memorandum Purpose 

An Action Memorandum (AM) serves as the primary decision document that: 

• determines the need for a CERCLA removal action, 

• authorizes the removal action, 

• identifies the action and cleanup levels (if applicable) and 

• explains the rationale for the removal response (for a non-time critical removal, the 

Engineering Evaluation/Cost Analysis (EE/CA) approval memo documents the 

appropriateness of a removal action, which is then chosen in an AM after the EE/CA and 

public comment). 

On-Scene Coordinators (OSCs) prepare AMs for all Fund-financed removal actions either prior to the 

start of a response or after the fact for removals initiated using an OSC’s delegated warrant authority 

as set forth in a Region’s specific Delegation of Authority1

. OSCs also prepare AMs, AMEnforcements, or Endangerment Determinations for removals to be conducted by potentially 

responsible parties (PRPs)[14, 27]. This guidance does not address preparation of decision 

documents for non-CERCLA removal actions, such as those taken to address oil spills pursuant to the 

Clean Water Act (CWA) and those that are authorized and funded by the Federal Emergency 

Management Agency (FEMA) under the Stafford Act. AMs are neither required nor prepared prior to 

conducting investigations, evaluations, or assessments performed under Section 104(b) of CERCLA 

or Section 300.410 of the NCP. 

Additional or supplemental AMs may be required to: 

• support the need to continue 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 the removal action, 

• or combinations thereof. 

To initiate a removal action which, at the outset, is expected to exceed 12 months in duration or $2 

million, the OSC should prepare an AM justifying the need to undertake a removal and explain how 

the project meets the statutory criteria for exemption from these limits. 

Each AM prepared initiating a removal should follow the standard model discussed in this guidance. 

Instructions on how to cover the special circumstances are provided as well. 

In some cases, conditions may require that either EPA or PRPs initiate emergency removal 

actions within a very short timeframe. In those cases it may not be feasible to complete an 

AM, AM-Enforcement or an endangerment determination before work must begin. 

Information to document and support the emergency removal action (e.g., AM-Enforcement, 

endangerment determination, pollution report (Polrep)) should then be prepared as soon as 

 

1

 The current EPA delegation of authority authorizes OSCs to determine the need for response and to approve and 

initiate removal actions costing up to $250,000 in an emergency and up to $50,000 in a non-emergency context. 

Such removal actions are initially selected before an AM is prepared. 

1 Final Guidance, September 2009 
OVERVIEW 

feasible [23]. In some cases, an AM, AM-Enforcement or Endangerment Determination may 

not be required. For example, when a PRP is already conducting a voluntary response action 

and the OSC, per the NCP, uses his or her authority to monitor the incident response to 

ensure that appropriate action is undertaken.2

The Action Memorandum as Part of the Administrative Record for Selection of the 

Removal Action 

The AM is the primary decision document selecting a removal response and is therefore the critical 

component of the administrative record [6, 10]. Section 113(k) of CERCLA, as amended, requires 

the establishment of an administrative record for the selection of a CERCLA response action. The 

administrative record: 

• Contains body of information used by the Agency to support and select a response action. 

• Is the basis for judicial review of any issues concerning the selection of a response action in 

the event the decision is challenged, such as in a subsequent cost recovery case. The OSC is 

primarily responsible for making recommendations for selection of the removal action to the 

delegated selecting official. As such, the OSC is responsible for ensuring the adequacy and 

completeness of the administrative record. 

• Provides for public participation in the Superfund decision-making process. 

The administrative record should contain all documents used by the Agency in making its decision to 

undertake and select a removal action. The AM should comprehensively demonstrate consideration 

of the factors supporting the determination that a removal action is warranted and the selection of the 

removal action. AMs that do not adequately substantiate the need for a removal action can undermine 

the Agency's case for a cost recovery action. 

Public availability of the administrative record, as set forth in section 300.820 of the NCP is affected 

by the urgency of the situation and the preparation of decision documents. The administrative record 

file for time-critical removal actions, and emergency responses, should be made available for public 

inspection no later than 60 days after the initiation of on-site activity. Public comment periods should 

be held in appropriate situations at the time the record file is made available and should be no less 

than 30 days. Exhibit 1 illustrates this process for time-critical removals. 

Although the signing of the AM generally signifies the completion of the response selection decision 

making, documents relevant to the response may be added to the record file later in certain situations 

as described in the NCP3

. 

For non-time-critical removal actions (NTCRA), a public comment period of at least 30 days is 

required on the EE/CA and any supporting documentation at the time the EE/CA is made available 

for public comment [1]. The administrative record file is made available for public inspection at the 

same time the EE/CA is made available. Exhibit 2 illustrates this process for non-time-critical 

removals. 

 

2

 For the purposes of this guidance potentially responsible party (PRP) voluntary response actions are not considered 

removals requiring an AM (or equivalent) unless the response leads to action requiring Superfund activity under 

CERCLA Section 104(a) or an action whereby a PRP performs work under an Agency enforcement instrument. 3

40 CFR 300.825 

2 Final Guidance, September 2009 
OVERVIEW 

EXHIBIT 1. ADMINISTRATIVE RECORD REQUIREMENTS FOR 

TIME-CRITICAL REMOVALS [6, 10] 

EXHIBIT 2. ADMINISTRATIVE RECORD REQUIREMENTS FOR 

NON-TIME-CRITICAL REMOVALS [6, 10] 

3 Final Guidance, September 2009 
OVERVIEW 

Action Memorandum Roles and Responsibilities 

Regions

Fund Lead 

OSCs should prepare AMs for all Fund-financed actions conducted under removal authority. OSCs 

should consult with the Office of Regional Counsel (ORC) and Regional enforcement coordinators 

for all AMs developed. In all situations, OSCs should strive to ensure the completeness and accuracy 

of AMs and document conclusions with available information. OSCs should use attachments to the 

AM, where appropriate, to provide additional supporting information (i.e., attachments should be 

concise and necessary to support or clarify an action, not just for general information). OSCs should 

also consult, as appropriate, staff from the Toxic Substances Control Act (TSCA) office, the Resource 

Conservation and Recovery Act (RCRA) office, and other Agency programs in the removal 

documentation process. Regional roles and responsibilities are detailed in Exhibit 3. 

Generally, draft AMs should be routed through Regional management for programmatic review and 

to ensure that proposed removal actions are managed within the Regions' removal advice of 

allowance. Concurrence and/or approval from Regional program managers is required in certain 

situations. OSCs should arrange for Regional review of the AM and should alert Headquarters in a 

timely fashion of all AMs requiring Headquarters' concurrence or approval. Specific Regional review 

and approval responsibilities are discussed later in this document. OSCs may also want to provide 

AMs to personnel in Regional Public Affairs offices to facilitate public notice efforts. 

NTCRA AMs should follow the same format as time critical removals and obtain Headquarters 

concurrence or approval under the same circumstances. OSCs and Remedial Project Managers 

(RPMs) should consult with Office of Superfund Remediation and Technology Innovation (OSRTI) 

via the Regional Coordinators, to the Director of the Assessment and Remediation Division (ARD) 

and the Office Director. Further guidance regarding the headquarters consultation and approvals on a 

NTCRA AM will be provided by the Office of Emergency Management (OEM) and OSRTI in the 

future. 

PRP Lead 

AMs, AM-Enforcements or Endangerment Determinations should be prepared for removals to be 

conducted by PRPs [14, 27]. Some Regions have found an AM, which includes estimated costs and 

authorization for funding, to be useful in PRP negotiations to indicate EPA’s commitment to 

proceeding with a Fund-lead action. An AM-Enforcement need not include estimated costs or 

authorization for funding, but in all other respects it should look the same as an AM. An 

Endangerment Determination documents that a threat to human health, welfare or the environment 

exists, and/or that a removal action is warranted. It need not include estimated costs or authorization 

for funding, but it should contain a clear description of the conditions and threats that pose an 

endangerment and require a removal action. 

As with Fund-lead removals, the timing for preparing an AM, AM-Enforcement or Endangerment 

Determination will depend on the exigency of the situation. In emergency situations, it may be 

necessary for the OSC to direct the PRP to initiate action prior to the preparation of a decision 

document or order. The OSC should document any such oral direction clearly and as soon as possible 

through an AM, AM-Enforcement, or Endangerment Determination [23]. 

4 Final Guidance, September 2009 
OVERVIEW 

All Leads 

The AM also provides the basis for information to measure the progress of the removal program4

. 

For OEM to be able to report on these measures, the following data elements will be provided by the 

Regions (While we expect that the most complete data will be found in the final Polrep, this data 

should also be included in the AM, if available) [21, 22, 23]: 

- Site name, 

- Site address, 

- US EPA site ID, 

- Lat/Long coordinates, 

- Contaminant name (i.e., the name of the contaminant that has the greatest area of impact or 

the greatest potential for human exposure at levels above federally set limits), 

- The evacuation zone radius (if applicable for an air release), 

- Name of water body (for a release to surface water), and 

- The isolation zone (the area surrounding the incident in which persons may be exposed to 

dangerous and life threatening concentrations of material) and protective action zone (the 

area downwind from an incident in which persons may become incapacitated and unable to 

take protective action and/or incur serious or irreversible health effects) (if applicable for an 

air release). 

Headquarters

Regional Coordinators in OEM’s Program Operations and Coordination Division (POCD) are 

available to provide assistance (e.g. interpretation of policy and/or guidance) in preparation for and/or 

during a removal action, including the preparation of AMs. OEM personnel also occasionally prepare 

addenda to AMs to clarify or supersede information contained in the AM. Regional Coordinators in 

OSRTI are available to provide assistance for OSCs and RPMs in preparation of AMs for NTCRAs. 

Further guidance regarding the headquarters consultation and approvals on a NTCRA AM will be 

provided by OEM and OSRTI in the future. The Office of Site Remediation Enforcement (OSRE) is 

available to provide assistance in preparing enforcement addenda for AMs. In addition, senior 

managers at Headquarters concur on or approve AMs under certain circumstances, as described later 

in this document 

 

4

 For more detailed information on FY’08 measures, refer to December 28, 2007 memorandum from Deborah 

Dietrich titled “New Outcome Measure for the Removal Program, Fiscal Year 2008” (and its attachments) and 

“FY2008 Emergency Response and Removal Outcome Measures Handbook”, May 2008 (and its Appendix A: Case 

Studies). [21, 22] 

5 Final Guidance, September 2009 
OVERVIEW 

EXHIBIT 3. ACTION MEMORANDA ROLES AND RESPONSIBILITIES5

REGIONAL 

REMOVAL or 

REMEDIAL 

PROGRAM 

(OSCs, RPMs, 

Managers, etc) 

• Prepare all AMs 

• Coordinates with the OEM/POCD Regional Coordinator or OSRTI/ARD for 

AMs requiring Headquarters' concurrence or approval 

• Provides access to all Regionally-approved AMs to OEM/POCD or 

OSRTI/ARD Regional Coordinator 

• Arranges for review of draft AMs by other EPA personnel 

• May approve AMs according to Regional delegations 

REMEDIAL PROJECT 

MANAGER • May be asked to concur in writing on the use of the consistency exemption 

when a removal action is taken at a site proposed for or listed on the NPL 

REGIONAL 

COUNSEL AND/OR 

REGIONAL 

ENFORCEMENT 

PERSONNEL 

• Reviews AMs 

• Reviews enforcement section of AMs 

REGIONAL 

ADMINISTRATOR 

(or Delegated Official) 

• Approves all AMs for removals less than $2 million and subsequent ceiling 

increases to $2 million. 

• Approves “consistency” exemption to $2 million limit for AMs at proposed 

and final NPL sites. 

• Approves ‘emergency” exemption to $2 million limit (up to $6 million) for 

AMs. 

• Approves all AMs for removals exceeding 12 months 

HQ/OEM/POCD or 

OSRTI/ARD 

REGIONAL 

COORDINATOR 

• Coordinates the concurrence process for AMs requiring Headquarters' 

concurrence/approval 

• Advises (upon request) on the preparation of all AMs 

• Prepares addenda as necessary and/or advises Regions on preparation of 

such addenda 

DIRECTOR, POCD • Reviews all AMs requiring Headquarters' approval/concurrence 

DIRECTOR, OEM • Concurs on draft AMs for nationally significant or precedent-setting actions 

at non-NPL sites 

• Reviews/concurs on AMs requiring AA, OSWER approval 

DIRECTOR, OSRTI • Reviews/concurs on NTCRA AMs requiring AA, OSWER approval 

AA, OSWER • Approves removal actions costing more than $6 million and requiring the 

emergency waiver in Section 104(c)(1)(A) of CERCLA. 

• Approves the use of the consistency waiver in Section 104(c)(1)(C) of 

CERCLA for removal actions at sites not proposed to or final on the 

National Priorities List. 

OFFICE OF SITE 

REMEDIATION 

ENFORCEMENT 

• Concurs on exemption requests requiring Headquarters approval. 

OFFICE OF 

GENERAL COUNSEL 

• Concurs on exemption requests and nationally significant or precedentsetting actions that are approved at headquarters.

 

5

 In general, OEM will review/concur on emergency and time-critical removal AMs, and OSRTI will review/concur 

on NTCRA AMs. However, there may be circumstances where both Headquarters offices will review/concur on 

time-critical and NTCRA AMs. 

6 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

MODEL ACTION MEMORANDUM 

Overview 

An AM is used to initiate Fund-financed removals, or is prepared after the fact for those begun using 

the OSC's delegated warrant authority. OSCs prepare all AMs (except in the case of some NTCRA’s, 

where RPM’s may prepare them). OSCs should send copies of approved AMs to their appropriate 

Regional management representative and HQ Regional Coordinator, and place the original in the site 

file. Unless otherwise indicated in this guidance or any addenda, AMs to initiate a Fund-financed 

removal follow a standard format outlined on the following pages. OSCs should cover all of the 

topics presented in the outline to demonstrate that the EPA’s removal action meets statutory, NCP, 

and delegations requirements for removals. For removal actions determined at the outset to exceed 

$2 million or 12 months in duration, the AM should also substantiate the need for a statutory 

exemption, as discussed later in this guidance [3]. 

The short-form AM template (Appendix A, page 61) can be used for emergency responses and/or 

removals initiated using the OSC's delegated warrant authority. These AMs should be prepared and 

signed by the OSC as soon as practicable, or within five business days after the start of removal 

actions, depending on the extent of mitigation efforts. The short-form AM includes the most critical 

items required of every AM. Specifically, it addresses the conditions and threats at the site, describes 

the specific NCP criteria met to support a removal action, provides a brief description of the scope of 

work to be performed, and provides a cost breakout and project ceiling. 

Exhibit 4, on the next page, presents the basic outline for AMs. The exhibit is followed by a model 

AM that addresses the major statutory, regulatory, policy, and program requirements affecting 

removal decisions. Abbreviated examples are provided for additional guidance; however, OSCs 

should provide more detailed statements in actual AMs. 

7 Final Guidance, September 2009 
ACTION MEMORANDUM OUTLINE 

EXHIBIT 4. BASIC ACTION MEMORANDUM OUTLINE 

Heading 

I. Purpose 

II. Site Conditions and Background 

A. Site Description 

1. Removal site evaluation 

2. Physical location 

3. Site characteristics 

4. Release or threatened release into the environment of a hazardous 

substance, or pollutant or contaminant 

5. NPL status 

6. Maps pictures, and other graphic representations 

B. Other Actions to Date 

1. Previous actions 

2. Current actions 

C. State and Local Authorities’ role 

1. State and local actions to date 

2. Potential for continued State/local response 

III. Threats to Public Health or Welfare or the Environment and Statutory and Regulatory 

Authorities 

 

IV. Endangerment Determination 

V. Proposed Actions and Estimated Costs 

A. Proposed Actions 

1. Proposed action description 

2. Contribution to remedial performance 

3. Engineering Evaluation/Cost Analysis (for non-time critical actions only) 

4. ARARs (Applicable or Relevant and Appropriate Requirements) 

5. Project Schedule 

B. Estimated Costs 

VI. Expected Change in the Situation Should Action Be Delayed or Not Taken 

VII. Outstanding Policy Issues 

VIII. Enforcement 

IX. Recommendation 

Enforcement Addendum 

Attachments

8 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

[Regional Letterhead] 

MEMORANDUM 

DATE: Month, day, year 

SUBJECT: Approval and Funding for a Removal Action at ____ Site, City, County, State 

FROM: Name, OSC or RPM 

TO: Regional Administrator (RA) or designee (or to the file, through the RA, if the response 

is initiated using the OSC’s $50,000/$250,000 delegation and warrant authority and will 

not exceed that cost)6

THRU: Regional Superfund Division Director, or designee 

 Office of Regional Counsel, as appropriate 

 Site ID # ___ 

I. PURPOSE 

Provide a statement of purpose indicating the type of action (e.g., approval of a removal action or a 

ceiling increase), the site's name and location, the name of the lead respondent if there is an 

enforcement order (if it does not violate privacy issues), whether the response was initiated using the 

OSC's $50,000/$250,000 delegation and warrant authority, and, for non-NPL sites, if there are any 

nationally significant or precedent-setting issues associated with the response (if so, attach the 

concurrence memo shown in Exhibit 11). 

Example: The purpose of this Action Memorandum is to request and document approval of the 

selected removal action described herein for the ______ site, City, County, State.

II. SITE CONDITIONS AND BACKGROUND 

Identify the 12-digit CERCLIS ID7 number, RCRA and State ID’s (if applicable) and the category of 

removal (i.e., emergency, time-critical, non-time-critical). Provide an overview of the site's history 

and current characteristics. Indicate the nature of the contamination and describe the information 

obtained in the removal site evaluation. Ensure that the information contained in this section provides 

an accurate assessment of current site conditions, using relevant supporting data where possible. 

A. Site Description

1. Removal site evaluation 

• Discuss the history of the incident or release, including the time, date and location of 

the incident, the type of incident that occurred, and the facts concerning the discovery 

of the release. 

Examples: − Train derailment resulted in tank rupture and vapor release. 

 

6

 Regional routing instructions may vary. 

7

 Some emergencies may not have CERCLIS ID numbers. 

9 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− A storage lagoon in the south corner of the site overflowed due to 

heavy rains. 

− Drums washed up on the beach and were reported by park rangers. 

• Indicate that if a preliminary assessment (PA), Superfund site investigation (SSI), or 

listing site inspection (LSI) has been conducted for the site. Regardless of the site's 

status on the National Priorities List (NPL), substantial background information may 

already exist. 

• List the site's known key problem areas. 

Examples: − Stacked drums 

− Bulk liquids 

− Lagoons 

− Contaminated soils 

2. Physical location 

• Describe the site's physical location in terms of surrounding land use, population size, 

and distances to nearest populations and other reference points, including latitude and 

longitude, and physical address with zip code, when available. 

Examples: − A school is within 1/4 mile of the site. 

− There are 1,000 residences within 1 mile of the site, 10 of which are 

adjacent. 

− The area is mainly suburban residential with some light industrial areas. 

− The Burns Asbestos site is a former Air Force Aerospace Defense 

Command site located on Hines Logging Road and Radar Lane 

approximately 3.5 miles southwest of the cities of Burns and Hines, 

Harney county, Oregon (T23S, R30E, Section 20 or Willamette 

Meridian), at the top of Burns Butte, elevation of 5,100 feet above mean 

sea level, 43.56222 latitude and -119.150972 longitude. The site is 

approximately 31.5 acres in size and is located approximately 4 miles 

from the nearest surface water body – intermittent creeks. 

• As appropriate to finding of release or threat of release, or to selection of the removal 

action, provide site-specific meteorological data (e.g., average rainfall/snowfall; 

average/extreme temperatures; average/peak wind speeds; prevailing wind direction), and 

provide references used. 

• Describe adjacent areas in terms of vulnerable or sensitive populations, habitats, and 

natural resources, including a short description of threatened or endangered species, and 

historical or cultural issues. [2]. 

Examples: − The site is adjacent to wetlands and a tributary to the Red River flows 

nearby. 

− There are no known threatened or endangered species on the site. 

However, the United States Bureau of Land Management (BLM) has 

identified more than 70 species of migratory birds that are known to pass 

through or breed and nest in the Burns district (which encompasses the 

Burns Asbestos Site). 

10 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− There are potential historical landmarks and/or structures with 

historical significance identified at the Burns Asbestos Site. EPA 

contacted the State Historic Preservation Office to determine if any of 

the buildings on site would be considered historically significant. 

− There are populations that may be particularly vulnerable or sensitive, 

based on analysis of potential environmental justice concerns. The 

analysis is included as an attachment. 

− There are Tribal interests at the site. EPA contacted the Burns Paiute 

Tribe to inform Dean Adams, the Tribal Chairman, about the removal 

action and to determine if the action was within the Tribe’s usual and 

accustomed rights area. 

3. Site characteristics 

• Describe the current use of the site, the nature and type of facility, and business activities 

that may have or are currently contributing to the incident. 

Examples: − The site was a sanitary landfill that accepted industrial wastes. 

− The site has been used for a midnight dump of PCB wastes. 

− There is an operating metal fabrication facility on the site. 

• Indicate if the site is fully or partially owned by Federal agency(ies), identify the 

operators of the facility if other than the Federal Agency(ies), and describe the type of 

facility. (Note: Department of Defense (DOD) and Department of Energy (DOE) may 

have delegated authority to conduct certain responses at such facilities, including 

emergency removal actions. Other Federal agencies may have delegated authority to 

conduct non-emergency removal actions. The Federal agency(ies) must reimburse EPA 

if EPA conducts a removal action at a Federal facility. Please contact the Federal 

Facilities Restoration and Reuse Office (FFRRO) and the Federal Facilities Enforcement 

Office (FFEO) in such instances.) 

Example: − The spill occurred on National Park Service land and required an 

emergency removal. 

• Indicate if a State or local government body has been an owner or operator (Note: this is 

particularly important at an NPL site because there may be a need for cost sharing by the 

State or local government. Cost-share requirements are covered in NCP Section 

300.525(b)) 

• Indicate whether this is the first removal at the site or if there have been previous actions. 

Previous actions should be described in section II.B of the AM and generally count 

against the time and dollar ceilings. 

4. Release or threatened release into the environment of a hazardous substance, or 

pollutant or contaminant. 

• List the hazardous substances as defined by section 101(14) of CERCLA, or pollutants or 

contaminants as defined by section 101(33) of CERCLA known to be present at the site. 

(Note: pollutants or contaminants alone are generally insufficient to support a 106(PRP 

lead) action. A release of a hazardous substance must be documented in the AM in 

support of a PRP lead removal.) 

11 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

• Provide estimates of the quantities involved, identify the source of information, and refer 

to sampling and analytical data. 

Examples: − Site records and conversations with the plant manager indicate that 10 

drums of PCB-contaminated sludge are buried on-site. 

− Preliminary sampling has found drinking water to exceed the removal 

action level for toluene at two residences. 

• Highlight substances of critical concern such as PCBs and dioxins (if the information is 

presented in chart form, identify the substance, quantity, location, and any existing 

standards for comparison). Explain all data presented. 

• Identify any unique characteristics of the materials involved, such as mixed or radioactive 

wastes. 

• Describe the mechanism for the past, present, or future release, observable or probable 

migration route(s) of contaminants, and the basis for this determination. Discuss site 

features or characteristics, weather conditions, human events, or other conditions that 

would cause, spread, or accelerate the release of materials. Describe the rate of release 

and physical properties of the substance that influence or determine the form and speed at 

which it travels. Support these descriptions with documentation, as appropriate. 

Examples: − Substantial fire/explosion hazard and toxic fumes from the contaminants 

would release into the environment. 

− A transformer lying on its side has been determined to contain PCBcontaminated oil, surrounding surface soil is heavily stained, and is 

readily accessible to the public. 

− Vegetation on the north bank of the stream, approximately 50 yards 

below the ruptured tank, is dead. 

5. NPL Status 

• State whether or not the site is listed on the NPL. If it is an NPL site, indicate whether or 

not remedial activities are in progress or when remedial action is expected (note that 

contribution to remedial performance is discussed in the "Proposed Action" section) [12]. 

If it is not an NPL site: 

− Note whether or not the site has been proposed for the NPL. 

− If information is readily available, state whether or not the site has received, or is 

expected to receive, a Hazard Ranking System (HRS) rating (Note: The actual 

numeric HRS score for a site may be confidential and should not be included in the 

AM without the specific advice of EPA legal counsel).

− Indicate whether or not the site is being referred to the NPL site assessment program. 

Example: – The site has been referred to the NPL site assessment program for a 

site investigation. 

6. Maps, pictures and other graphic representations 

• Refer to attached pictures, diagrams, maps, and/or sketches if they substantiate the 

conditions at the site and strengthen the background section of the memo, and provide 

them as an attachment. 

12 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

B. Other Actions to Date

1. Previous actions 

• Describe any government or private actions that have been undertaken in the past and not 

previously discussed. Include both CERCLA and any other responses conducted 

previously, such as spill responses under section 311 of the Clean Water Act or private 

party cleanup attempts if known. 

• Provide information available including, to the extent practicable, dates and effectiveness 

of previous actions. 

2. Current actions 

• Describe any other government or private activities that are currently being performed 

but have not been previously discussed. Indicate the dates, costs (if known), and 

effectiveness of these activities. 

• Discuss how proposed EPA actions will relate to current activities described above. 

C. State and Local Authorities' Roles 

1. State and local actions to date 

• Indicate whether the State and/or local governments requested EPA assistance and the 

name of specific agencies/officials making the request. 

Example: − The State Department of Natural Resources sent a letter to the EPA 

Regional office describing threats posed by leaking aboveground storage 

tanks at ABC site. 

• Summarize any "first responder" or other actions these or other agencies have taken to 

protect public health and the environment. Note the date and effectiveness of such 

actions. 

Examples: − Local government evacuated a one-square mile area. 

− Police were posted on February 10 to restrict public access, and no 

further vandalism has occurred. 

• Indicate State/local government cooperation in assessing the release/threat, and whether 

State/local personnel remain at the site. 

2. Potential for continued State/local response 

• Describe actions State/local government personnel are taking and their future roles. 

Examples: − Site security provided by State highway patrol. 

− Water main hookups to be installed by local water authority. 

13 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

• Indicate specifically; 

− Whether the State is able to obtain funds or must delay the response for an 

unacceptable period of time (based on the exigency of the situation) to provide 

funding; 

− Whether the State/locality will fund the removal or require funding; and/or 

− For NTCRAs, whether the State will lead the response under a cooperative agreement 

[8]. 

III. THREATS TO PUBLIC HEALTH OR WELFARE OR THE ENVIRONMENT, AND 

STATUTORY AND REGULATORY AUTHORITIES 

Explain how this incident meets the requirement of a threat to public health or welfare or a threat to 

the environment8

 for initiating a removal. Common routes of exposure include fire/explosion and 

resulting emissions, human contact, and soil contamination that could lead to ingestion or 

contamination of ground or surface water. Also note whether it is being evaluated by the Agency for 

Toxic Substances and Disease Registry (ATSDR) for the need to dissociate residents from threats. 

For this section, discuss only those threats that will be addressed by the removal action, beginning 

with the most serious, and relate the discussion to appropriate statutory and regulatory authorities. 

Include either threats to public health or welfare, threats to the environment, or both, as 

appropriate. 

• Detail the threats to public health or welfare as they relate to the factors (provided below) from 

section 300.415(b)(2) of the NCP. Attach and refer to or incorporate any final ATSDR health 

consultations or site-specific health advisories, or other health risk advice, and explain any 

deviations from final ATSDR documents. 

− Actual or potential exposure to nearby human populations, animals, or the food chain 

from hazardous substances or pollutants or contaminants. Identify substances of concern, 

realistic exposure scenarios, and how the levels of hazardous substance(s) exceed sitespecific action level(s), and/or acute, and if appropriate, chronic toxicological standards. 

Tailor the description to the concentrations of contaminants on the site and receptors. 

Describe any reports of human or animal health effects (e.g., illness, injury, or death) that 

appear linked to the exposure and describe any effects of human or animal exposure. 

Examples − Volatilization of hazardous substances contained within the deteriorating 

building threatens surrounding residents with airborne exposure. 

 

8 CERCLA section 104(a) authorizes removal responses ''whenever (A) any hazardous substance is released or there 

is a substantial threat of such a release into the environment, or (B) there is a release or substantial threat of release 

into the environment of any pollutant or contaminant which may present an imminent and substantial danger to the 

public health or welfare." Note that EPA’s response authority is limited under section 104(a)(3) of CERCLA when 

there is a release or threat of release: of a naturally occurring substance in its unaltered form, or altered solely 

through naturally occurring processes or phenomena, from a location where it is naturally found; from products 

which are part of the structure of, and result in exposure within, residential buildings or business or community 

structures; or into public or private drinking water supplies due to deterioration of the system through ordinary use. 

EPA may not respond to these situations unless a public health or environmental emergency exists and no other 

authority can respond in a timely manner. 

14 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− It is estimated that residents within a 2-mile radius may be exposed to toxic 

fumes at substantial levels in the event of an explosion/fire. 

− Studies have identified nausea and respiratory dysfunction as the primary 

health effects. 

− Significant levels of dioxin were found in crayfish and sediment samples 

taken in Black Creek downstream of the storm sewer, which carries 

contaminated runoff from the site. 

− Large fish kill (4 million) reported in 2003; potential repeat if 2-million 

gallon lagoon overflows again, releasing sludges and supernatant liquid.

− Actual or potential contamination of drinking water supplies or sensitive ecosystems. 

Identify the substances of concern, realistic exposure scenarios explaining how the water 

supply and/or sensitive ecosystem is threatened, and the immediacy and gravity of the threat. 

Describe the location of the affected drinking water supply and/or sensitive ecosystem and its 

use. Describe any ecosystem effects that appear to be linked to contaminant exposures. 

Indicate if the numeric removal action levels for drinking water are exceeded in the aquifer or 

site-specific factors otherwise indicate that a significant health threat exists. 

Examples: − Degreasers and other solvents dumped on the ground have migrated through 

the soil, contaminating 14 wells down gradient of the site. 

− Samples taken within a 2-block radius showed the removal action level for 

barium is exceeded at the tap in four houses. 

− Site is partly located in a wetland. Hazardous substances kill algae which 

are an important part of the ecosystem. State has documented groundwater 

contamination. 

− State Department of Natural Resources reports high levels of mercury and 

other heavy metals in fish in a nearby recreational lake, which receives 

storm water runoff from this abandoned electroplating facility. 

− Hazardous substances or pollutants or contaminants in drums, barrels, tanks, or other 

bulk storage containers, that may pose a threat of release. Identify the substances of 

concern and estimate their quantities; and describe the number, type, and conditions of 

containers to the extent they are known. Provide realistic exposure scenarios based upon site 

conditions and the proximity of sensitive or nearby populations. Describe the effects of 

human exposure and/or the effects of these substances on plant and/or animal life. 

Examples: − The chemicals are contained in 2 leaking 5,000-gallon pressure vessels 

located on deteriorating, concrete pads. An elementary school is located 1/4 

mile away. 

− There are approximately 10 uncovered drums surrounded by a partially, 

collapsed chain-link fence on the site, which is crossed by a footpath 

frequented by neighboring residents going to the train station. 

− Approximately 800 drums containing volatile organics, about half of which 

are damaged, are strewn across the southwest corner of the property. 

Vegetation in the vicinity of the drum site is dead. 

− Pesticide residues are present in many open containers on the landfill 

surface. Deer have been observed walking through the landfill area and 

grazing nearby. These pesticides are toxic at these levels to deer. 

− High levels of hazardous substances or pollutants or contaminants in soils largely at or 

near the surface that may migrate. Identify the substances of concern, estimated amounts, 

15 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

realistic pathways and exposure scenarios, and how the levels exceed standards. Describe the 

soil characteristics, the extent of the contamination, and factors that may affect migration. 

Examples: − The hazardous substances were dumped in a 20-ft. square area and have 

penetrated the top soil to a depth of approximately one foot. The aquifer is 6 

feet below the surface. If contaminants leach an additional five feet, they will 

encounter and contaminate the aquifer. 

− The residue from the lagoon lies on top of a hard packed clay surface, with 

contaminants migrating from the site in storm water runoff to a nearby 

stream used for drinking water. 

− PCB contaminant levels in the soil at the property line exceed 200 ppm. A 

neighboring horse farm that has access to trails on-site is adjacent. 

Contaminants would be toxic to horses at these levels. 

− Fugitive dust has been observed escaping the site during periods of high 

wind and moving towards a trout hatchery less than 1/4 mile downwind. 

− Weather conditions that may cause hazardous substances or pollutants or contaminants to 

migrate or be released. Describe the conditions of concern and provide an estimate of the 

likelihood of their occurrence. Explain how these conditions would affect exposure scenarios 

and migration or to likely exposures to plant or wildlife populations. Describe recurring 

weather patterns that create or aggravate threats to the environment. 

Examples: − Spring floods carried an estimated 70 barrels of volatile organics into the 

Green River, the drinking water source for more than 5,000 people. Further 

flooding is predicted. 

− Before containment measures are implemented, heavy summer cloudbursts 

may wash pollutants across the concrete yard and into municipal storm 

sewers. This could affect a nearby watercourse used for swimming. 

− Snow melt runs through the mine drainage area each spring, depositing 

tailings in Rush Creek, which is used for recreational fishing. Record 

snowfalls were reported in January and February. 

− Heavy rains are expected to continue, which could result in a second lagoon 

overflow into the adjacent wetland when migratory bird populations are at 

their peak. 

− Threat of fire or explosion. Identify the substances of concern, and realistic exposure 

scenarios including the gravity and immediacy of the threat. Be specific about the number of 

people exposed, the proximity of sensitive or nearby populations, and the geographic area 

affected. Describe any illness, injury, or death to flora or fauna resulting from fires or 

explosions. Describe the geographic area affected and any special environmental concerns. 

Examples: − The site contains nearly 30 drums of incompatible volatile organics stored 

next to each other. A hospital is less than four blocks away. 

− Vandals have set two fires at the unsecured site, necessitating evacuation of 

five row houses adjacent to the drum storage area. 

− Hunters using the grounds of the abandoned chemical reclamation facility 

for target practice detonated discarded munitions, creating a fire that 

devastated more than 4 acres of the wildlife management area and killed an 

unknown number of birds and other wildlife. 

− Reactive chemicals are stored haphazardly throughout the dilapidated 

warehouse, and in some instances are exposed to the elements, creating 

potential for explosion and fire. The nursery for the county arboretum is 

approximately 600 yards from the south wall of the warehouse. 

16 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− The availability of other appropriate federal or state response mechanisms to respond to 

the release. 

− Other situations or factors that may pose threats to public health or welfare of the United 

States or the environment. 

IV. ENDANGERMENT DETERMINATION 

It is strongly encouraged that an endangerment determination analysis be included in every AM (or its 

equivalent). An imminent and substantial endangerment finding would support a future PRPtakeover under CERCLA § 106, which requires an imminent and substantial endangerment finding. 

As per OSWER Directive 9360.0-34 (August 19, 1993) [17], an endangerment determination should 

be based on “appropriate Superfund policy or guidance, or on collaboration with a trained risk 

assessor, which is outlined and discussed in Section III above. Appropriate sources include, but are 

not limited to, EPA relevant action level or clean-up standards, Agency for Toxic Substances and 

Disease Registry documents or personnel, or staff toxicologists.” Whatever source is used should be 

cited in this section, along with a detailed justification of the decision. 

Depending on the types of substances involved, one of the following two statements should be used: 

• For removals involving hazardous substances: 

“Actual or threatened releases of hazardous substances from this site may present an imminent 

and substantial endangerment to public health, or welfare, or the environment.” 

• For removals involving only pollutants or contaminants: 

“Actual or threatened releases of pollutants and contaminants from this site may present an 

imminent and substantial endangerment to public health, or welfare, or the environment.” 

V. PROPOSED ACTIONS AND ESTIMATED COSTS 

Explain proposed actions, estimated costs, and the project schedule. State how the action addresses 

the threat. To the extent alternative actions were considered; include descriptions, costs estimates, 

and schedule. 

Example: − Removal of waste solvents and off-site RCRA disposal is the only feasible solution for 

mitigating threats posed by the situation. Site stabilization without disposal would 

provide only a temporary solution to the threats posed by the site. 

17 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

A. Proposed Actions

1. Proposed action description 

Describe the tasks involved in the proposed response to the public health, welfare, and 

environmental threats discussed in Section III of the AM. To the extent that it is known 

at the time, describe the removal, including ultimate disposition of contaminants, and 

explain what may be anticipated to remain at the site when the removal is completed. 

Discuss the rationale for choosing the option and provide supporting data for the 

decision. State why the proposed actions are appropriate for this situation in light of the 

threats and explain how they may achieve timely response and protection of human 

health and the environment. Describe, if appropriate, any significant conservation 

measures and/or best management practices to be employed during the response action to 

avoid or minimize adverse effects on the environment. In some limited cases, alternative 

removal activities may be defined in the scope of work provided that each alternative can 

be described in the AM as appropriate to abate, prevent, minimize, stabilize, mitigate or 

eliminate the release or threat of release (describing alternative remedies may provide 

more incentive for PRPs to sign orders to take a removal action and may also offer more 

flexibility for the OSC should they discover conditions during the action that will render 

one option better than another). 

Examples: − Installation of an interceptor well will block the migration of 

contaminants and greatly reduce the threat of contaminating the stream 

bordering the site. Contaminated water will be treated on-site and 

discharged into the stream. 

− Excavation of the contaminated soil and disposal in a RCRA-permitted 

landfill will mitigate the public health threat posed by direct human 

contact and inhalation of airborne particles. 

• State whether any further information is needed before all response actions can be 

decided and, if possible, the approximate date when a final decision will be reached. 

Example: − Further sampling to determine the extent of soil contamination is 

expected to be completed within 30 days. 

• Ensure that the extent of contamination has been or will be verified by sampling and 

properly documented. If the extent of the contamination study has not been fully 

completed and verified, the AM should describe any other actions to be undertaken. 

Refer to the Sampling Quality Assurance/Quality Control (QA/OC) Plan and summarize 

the contents if necessary. 

Example: − EPA will use a split sampling technique. 

• To the extent information is available; describe how any vulnerable or sensitive 

populations, habitats, or natural resources identified in section II.A might affect removal 

activities. 

Example: − Location in a floodplain might hamper removal activities in 

spring.season 

• Where known and appropriate, list other uncertainties affecting implementation of the 

proposed action. 

Examples: − Mobile incinerators will not be available until next quarter. 

− Steep slope of site may prevent permanent capping. 

18 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

• Discuss the need for provision of post-removal site controls (PRSC) and identify specific 

PRSC (e.g., maintenance of signs, fences) necessary or appropriate for the removal action 

to remain protective. Note whether the State, local government, or the PRPs have agreed 

to provide for PRSC, if applicable. Identify any other agreement that exists to provide 

PRSC. The AM may include a contingency for changing to a response that does not 

require PRSC if no commitment for PRSC can be obtained. (Note: As stated in section 

300.415(k) of the NCP, OSCs are strongly encouraged to obtain a commitment to provide 

for PRSC when necessary before initiating removal activities that will require PRSC.) [7] 

Alternatively, the AM may clearly delineate the extent of the proposed removal action, 

and document the potential risks of PRSC failure, in order to ensure informed Agency 

deliberation. 

Example: − Post-removal site control activities (e.g., repair of fencing surrounding 

the on-site waste repository) will be managed by the PRPs.

• Discuss the need for and feasibility of relying on State or local agencies or PRPs to 

implement institutional controls (ICs) following the removal action, if applicable [11]. If 

known, describe specific institutional controls the State or local agencies may implement 

(e.g., environmental covenants) consistent with State or local law (e.g., state statute 

adopting Uniform Environmental Covenants Act). (Note: This is most important for 

removals involving excavation where contaminated soil remains below clean fill 

according to specific cleanup plans.) 

Examples: − Land use restrictions are needed to prevent disturbance of the 

contaminated materials remaining beneath the protective barrier after 

completion of the removal action. Consistent with state law, EPA will 

request that the State sign an agreement under which the State will 

ensure that property owners provide environmental covenants restricting 

future uses of the property and requiring compliance with specific 

construction instructions to manage any future activities properly. 

− EPA will request that the County agree to institute prohibitions on 

drilling new water wells. 

 

• Describe available information concerning off-site disposal, such as the estimated 

quantity or type of waste(s) requiring off-site treatment or disposal, and, if known, the 

treatment facility and the extent to which the substance can be treated. 

Examples: − Drums containing an unidentified mixture of solvents will require off-site 

disposal. 

− Arrangements will be made for disposal of approximately 300 tons of 

contaminated soil at a RCRA-approved facility. 

• State the intent to comply with the off-site rule, or indicate that compliance with the 

policy is not an issue at the site. For non-time-critical removals involving off-site 

disposal, indicate that the appropriate State environmental officials have been notified. 

Example: − Since the material is being stabilized on-site, off-site disposal is not 

required. 

• Identify cross-media relationships and potential adverse impacts associated with 

intermediate steps. 

Examples: − Excavation of soils from highway shoulder will require traffic diversion 

and will be coordinated with local police. 

19 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− Local traffic and noise levels will increase during the response. 

Therefore, hazardous substances will not be moved off-site during school 

bus operating hours. 

2. Contribution to remedial performance 

• Indicate that the proposed actions will, to the extent practicable, contribute to the efficient 

performance of any long-term remedial action with respect to the release or threatened 

release concerned. For sites where long-term remedial action is anticipated, the AM 

should document the conclusions resulting from consideration of the following items: 

− For sites with signed Records of Decisions (RODs), briefly describe the remedial 

action selected. For proposed and final NPL sites where no remedial action has been 

selected, identify a range of feasible alternatives based upon a review of available site 

information and professional judgment; 

− Which threats will require attention prior to the start of the long-term cleanup if there 

is one? For proposed or final NPL sites, where remedial action is planned or likely, 

identify specific threats and explain why and how they must be addressed prior to 

long-term cleanup; 

− How far should the removal go to ensure that threats are adequately abated? For 

proposed or final NPL sites, where remedial action is planned or likely, explain (1) 

which threats must be abated entirely and which must be stabilized to protect public 

health, welfare, and the environment until a permanent remedy can be effected and 

(2) how abatement or stabilization is accomplished by the proposed actions in 

Section V of the Action Memo; 

− Is the proposed removal action consistent with the long-term remedy, if known? 

Describe how the removal contributes to, or is at least consistent with, the permanent 

remedy. Explain if complying with contribution to remedial performance provisions 

conflicts with other program goals such as pursuit of PRP cleanup; 

− For non-NPL sites where remedial plans are unknown or not anticipated, state that 

the proposed action will not impede future responses based upon available 

information; 

OR 

− Note that no further action is required if the proposed removal action completes the 

cleanup, or if an emergency existed that precluded an analysis of how the removal 

related to long-term actions. 

3. Engineering Evaluation/Cost Analysis (EE/CA)9

− Refer to the EE/CA (located in the administrative record file) and the EE/CA Approval 

Memorandum for a discussion of alternative actions considered for non-time-critical 

removals [1]. 

 

9

 This section applies only to non-time critical removals. 

20 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

− Refer to the written response to significant comments on the EE/CA and supporting 

documentation in the administrative record. 

4. Applicable or relevant and appropriate requirements (ARARs) 

Pursuant to 40 CFR 300.415(j), removal actions shall, to the extent practicable considering 

the exigencies of the situation, attain ARARs [5]. "Practicability" is based upon the urgency 

of the situation and the scope of the removal. For instance, the need to respond immediately 

may be so urgent that there is not time to identify ARARs or evaluate the extent to which 

ARARs could be attained. Setting ARARs-based cleanup standards for more permanent or 

extensive cleanups may not be practicable for removal actions intended to address more 

immediate environmental hazards. Even if compliance with ARARs is practicable, 

compliance may be waived if the requirements under CERCLA Section 121(d)(4) are 

satisfied. 

ARARs consist of two sets of requirements, those that are applicable and those that are 

relevant and appropriate. OSCs should identify ARARs on a site-specific basis by first 

determining whether the given requirement is applicable, and then, if not, determining 

whether it is relevant and appropriate for onsite activities. Applicable requirements are those 

substantive standards that specifically address the situation at a CERCLA site, however, an 

applicable requirement need not have been promulgated specifically to apply to CERCLA 

sites. If a requirement is not legally applicable, a decision maker (e.g. OSC) must exercise 

best professional judgment to determine whether it is relevant and appropriate under the 

circumstances of the release of contamination. 

To determine relevance, the decision maker should determine whether the requirement 

addresses problems or situations sufficiently similar to the circumstances of the proposed 

response action. For appropriateness, the determination should be made as to whether the 

requirement would also be well-suited to the conditions of the site.10

EPA defines ARARs as either chemical, location or action specific. Requirements 

generally are ARARs when they pertain to the specific activities being conducted. 

ARARs include the following: 

1) Any standard, requirement, criterion, or limitation under any Federal environmental 

law, such as TSCA, Safe Drinking Water Act (SDWA), Clean Air Act (CAA), RCRA, 

etc, and 

2) Any promulgated standard, requirement, criterion, or limitation under a State 

environmental or facility-siting law, including those contained in EPA-approved 

programs which has been identified by the State to EPA in a timely manner. 

 

10 It is recommended to consult with OSWER Directives 9234.1-01 and 9234.1-02, CERCLA Compliance with 

Other Laws Manual: Parts I and II (August 1988 and August 1989 respectively), especially Exhibits 1-1, 1-2, 1-3, 

and 1-9. These exhibits list potential chemical, location and action specific ARARs under major Federal 

environmental statutes. 

21 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

Federal 

− List Federal ARARs identified for the site that are deemed practicable, if any. 

Example: − Based on communications with the EPA Region 2 Office of Solid Waste, 

Office of Water, Office of Air Quality Planning and Standards and the 

office of Toxic Substances, the following were indentified as practicable 

Federal ARARs for the site: 

- RCRA Subtitle C (40 CFR 264 Subpart J) requirements for storage 

of a RCRA hazardous waste (KO52 – Petroleum refining industry 

tank bottoms) in a tank with secondary containment 

- TSCA requirements for the storage of PCBs 

- TSCA requirements to incinerate PCB-contaminated waste at a 

TSCA-permitted incinerator 

- Clean Water Act section 404 requirements for dredging a Federally 

designated wetland. 

− Explain, if necessary, that Federal ARARs were not considered before removal activities 

were undertaken during an emergency situation. 

State

− Describe efforts to identify State ARARs and indicate if State response has been timely. 

Example: − Received list of ARARs for XYZ site from State representatives within two 

weeks of request 

− Where there has been time to assess State ARARs, list those which are deemed 

practicable. 

Example: − After review of list of potential State ARARs, the following State ARAR 

was determined to be practicable for the site: 

- State surface water direct discharge effluent limitations for 

wastewater treatment effluent contaminated with lead, zinc and 

arsenic. 

− Explain, if appropriate, that State ARARs were not identified or considered prior to 

removal initiation due to emergency circumstances. 

5. Project schedule 

− Specify the anticipated time needed to perform the preventative, stabilizing, and/or 

mitigative (cleanup) response actions to the threats posed by the site, and how quickly 

response activities are expected to begin. 

− Show when the State/local/PRP/remedial program commitment to provide PRSC takes 

effect, if applicable [7]. 

B. Estimated Costs 

In November, 2001, the Agency outlined a new approach to the removal action project ceiling 

calculation [13]. The new approach counts only direct extramural costs against the obligations 

limitation. The calculation of the obligations limitation (or removal action project ceiling) does 

22 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

not include estimates of other costs -- such as intramural direct labor, travel, and indirect costs, 

and subsequent enforcement costs -- that are recoverable under Section 107 of CERCLA. 

• Use the Removal Cost Management System (RCMS) [28] to summarize the estimated total 

removal action project ceiling11 with a breakdown of costs highlighting the categories listed 

below. 

Extramural costs coming out of the Regional allowance12 

− Emergency and Rapid Response Services (ERRS), subcontractors, pre-qualified vendors 

and other site-specific contracts, letter contracts, order for services, notices to proceed, 

and interagency agreements (IAGs) with other Federal agencies such as the U.S. Coast 

Guard, Federal Emergency Management Agency, Bureau of Land Management, Bureau 

of Reclamation and the U.S. Army Corps of Engineers. 

Other extramural costs not funded from the Regional allowance. 

− Superfund Technical Assessment and Response Team (START), including multiplier 

costs13. 

− Contract Laboratory Program (CLP). 

− Decontamination, Analytical & Technical Services Contract (DATS). 

− Scientific, Engineering, Response, and Analytical Services Contract (SERAS). 

Exhibit 5 shows a sample removal action project ceiling estimate. (Note: Do not include any 

CERCLA section 104(b) investigatory costs in the estimate, because they do not count 

against the removal action project ceiling or the $2 million statutory limit.) 

• Include contingencies14 in the cost estimate. The two contingencies are listed below. 

− 10-20% contingency for Regional extramural removal allowance costs, based on best 

engineering judgment. 

− 20% contingency applied to total or other extramural project costs (all costs except EPA 

intramural costs). 

Include the cost of previous CERCLA removal actions taken at the site (if applicable) 

considering expenditures in all areas described above. 

 

11 The total removal action project ceiling is the proposed removal total cost estimate added to the previously 

approved total project ceiling: i.e., the total of all approved project ceilings for a site. 

12 Costs formerly referred to as “extramural cleanup contractor costs” are actually Regional removal allowance costs 

and should be referred to as such. 

13 To cover administrative costs of the START program, an administrative multiplier, which includes overhead 

expenses, is applied towards all START expenses. This factor is multiplied by the sum of the personnel and expense 

amounts listed above, to estimate total START expenses for the removal site. 

14 Contingencies allow for unforeseen expenses that may arise during a removal action (e.g., discovery of additional 

hazardous materials and delays resulting from poor weather conditions or equipment failure). Contingencies may be 

applied to either the extramural or intramural portion of the total project ceiling as needed. 

23 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

EXHIBIT 5. SAMPLE REMOVAL ACTION PROJECT CEILING 

ESTIMATE [13, 28] 

Extramural Costs:

Regional Removal Allowance Costs:

Total Cleanup Contractor Costs 

(This cost category includes estimates for ERRS, subcontractors, 

Notices to Proceed, and Interagency Agreements with Other 

Federal Agencies. Include a 10-20% contingency. 

Other Extramural Costs Not Funded from the Regional Allowance:

Total START, including multiplier costs 

Total Decontamination, Analytical & Tech. Services (DATS) 

Total CLP 

Subtotal 

Subtotal Extramural Costs 

Extramural Costs Contingency 

(20% of Subtotal, Extramural Costs rounded to nearest thousand.) 

TOTAL REMOVAL ACTION PROJECT CEILING 

$745,000 

$150,000 

 5,000

$100,000

$255,000 

$1,000,000

$200,000 

$1,200,000 

VI. EXPECTED CHANGE IN THE SITUATION SHOULD ACTION BE DELAYED OR 

NOT TAKEN 

• Describe any expected changes in the situation should action be delayed or not taken, such as 

changes in the scope or nature of contamination, increased threats, or the need for additional 

response actions. Include a worst-case scenario. 

Examples: − Contamination may spread from the site to a nearby stream which serves as 

a municipal water supply. 

− Delayed action may increase public health risks to the adjacent population 

through prolonged exposure to airborne contaminants. 

VII. OUTSTANDING POLICY ISSUES 

• Discuss remaining policy issues not previously discussed, if applicable, or state "None" if no 

other policy issues are associated with the site. For nationally significant or precedent setting 

sites, indicate the policy issue and refer to attached HQ concurrence. 

Examples: – The removal involves nationally significant and precedent-setting issues 

because it involves releases from consumer products on Indian Tribal lands. 

− The site comprises two non-contiguous areas of contamination located 1/4 

miles apart. 

24 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

VIII. ENFORCEMENT 

The purpose of an AM is to document the threats posed to public health, welfare and/or the 

environment and document the decision to fund and undertake the selected removal action. For 

administrative purposes, the enforcement strategy is included as an addendum with the original 

AM. It is not distributed to outside parties or included in the Administrative Record.

As set out in Section 104(a) and as more fully explained in NCP section 300.415(a)(2), EPA's 

policy concerning removal enforcement is that where PRPs are known, an effort should be made, 

to the extent practicable, to determine whether they can and will perform or finance the necessary 

removal action promptly and properly [14, 27]. The urgency determination (i.e., emergency, timecritical, or non-time-critical), however, is a deciding factor in determining the amount of time that 

can be devoted to a PRP search and negotiations prior to initiating a response plan. OSCs should 

be prepared to obtain the necessary approval to conduct a Fund-lead response if no viable PRPs 

can be identified, or if an order cannot be finalized prior to the need to initiate removal activities. 

Efforts to locate PRPs, however, should continue throughout the removal action to support PRP 

take-over of the ongoing action, possible PRP involvement in any future response actions, or cost 

recovery. 

• Provide a summary statement indicating the extent to which PRPs are known, and whether 

they can and will perform or finance the proposed response promptly and properly. 

• This section of the AM should provide EPA's total estimated project-related costs of the 

removal action. These costs, which are based on full cost accounting practices, will be 

eligible for cost recovery and are calculated shown below. 

Direct Costs 

(Direct extramural + Direct intramural) 

+ (Indirect Costs) 

+ [(Current Region-specific Indirect Cost Rate) 

 x (Direct Costs)]

= Estimated EPA Costs for 

 a Removal Action 

Example: − Using the sample extramural cost calculation from exhibit 5 ($1,200,000), an 

estimate of EPA's direct intramural costs ($40,000), and 27.02% as the 

regional indirect cost rate, the total estimated EPA costs for the removal 

would be: 

($1,200,000 + $40,000) + (27.02% x $1,240,000) = $1,575,048 

• Include the following sentences in the enforcement section of the AM: 

“The total EPA costs for this removal action based on full-cost accounting practices that will 

be eligible for cost recovery are estimated to be $1,575,048.” 

• Include the following language as a footnote in this section: 

“Direct Costs include direct extramural costs and direct intramural costs. Indirect costs are 

calculated based on an estimated indirect cost rate expressed as a percentage of site-specific 

direct costs, consistent with the full cost accounting methodology effective October 2, 2000. 

These estimates do not include pre-judgment interest, do not take into account other 

enforcement costs, including Department of Justice costs, and may be adjusted during the 

course of a removal action. The estimates are for illustrative purposes only and their use is 

not intended to create any rights for responsible parties. Neither the lack of a total cost 

25 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

estimate nor deviation of actual total costs from this estimate will affect the United States’ 

right to cost recovery.” 

• Place all remaining information concerning the enforcement strategy in a separate addendum 

labeled "enforcement sensitive.” The enforcement addendum is not part of the AM for 

purposes of NCP and is not placed in the publicly available section of the administrative 

record file. 

IX. RECOMMENDATION 

• The following statement should appear in all AMs to document that the proposed response is 

in compliance with statutory and regulatory removal provisions. 

“This decision document represents the selected removal action for the __ site, in __ 

(location), developed in accordance with CERCLA as amended, and is not inconsistent with 

the NCP. This decision is based on the administrative record for the site.” 

• Provide an approval statement indicating that NCP removal requirements have been 

substantiated and stating the total project ceiling and the Regional removal allowance costs. 

Example: − Conditions at the site meet the NCP section 300.415(b) criteria for a removal 

and I recommend your approval of the proposed removal action. The total 

project ceiling, if approved, will be $1,200,000. Of this, as much as 

$745,000 comes from the Regional removal allowance. 

• Include spaces for approval or disapproval signatures and dates. 

ENFORCEMENT ADDENDUM 

Type the site name and date on each page of the enforcement addendum and label clearly 

“Enforcement Sensitive.” The enforcement addendum must be detached from the AM 

before placing the AM in the administrative record file. Discuss the following topics in the 

addendum using the assistance of Regional enforcement staff to compile information [14, 27]. 

A. PRP Search 

• Detail PRP search progress to date, including PRPs identified, their financial status (if 

known), and an estimate, if possible, of how much waste they contributed to the site 

(volumetric contribution) (if known). 

Examples: − Title searches and examination of on-site accounting records are being 

conducted to identify PRPs. 

− The 104(e) information requests have been issued. 

− The PRP has failed to take part in prior removal actions. 

• Describe the PRP search strategy for the future, including the schedule and expedited 

components (if applicable). 

B. Notification of PRPs of Potential Liability and of the Required Removal Action 

• Indicate if notice letters have been sent, to whom, and the response of PRPs to date. (Note: 

Notification, prior to the start of the response, is not always possible in emergency situations. 

26 Final Guidance, September 2009 
MODEL ACTION MEMORANDUM 

Efforts to notify PRPs, however, should continue throughout the removal action to support 

PRP take-over of the ongoing action, involve the PRP in future response actions, or cost 

recovery.) 

Example: − Fifty notice letters have been sent to identified PRPs. 

• Describe future notice activities planned and their implementation schedule. 

C. Decision Whether to Issue an Order 

• Discuss consideration of the primary factors affecting the decision to issue an order including 

the immediacy of the need to respond, evidence indicating PRP liability, and the financial 

ability of PRPs to respond. (Note: Ensure that all administrative record requirements have 

been met before issuing a UAO.) 

Example: − The Agency has identified viable PRPs and anticipates issuing a Unilateral 

Administrative Order under section 106 of CERCLA to implement the 

removal action selected in this Action Memorandum. 

• Discuss consideration of the secondary factors affecting the decision to issue an order 

including the ability and need to precisely define the removal, willingness of the PRPs to 

conduct the removal (this is not dispositive), availability of the Fund, and technical problems 

such as the oversight/technical capabilities of the PRP. 

Example: − The PRPs have not adequately responded to a RCRA section 7003 order. 

 

• Identify any other strategic concerns regarding the issuance of an order. 

D. Negotiation and Order Issuance Strategy 

• Discuss the timeline/deadline for issuance of an Administrative Order on Consent (AOC), the 

date for issuance of a Unilateral Administrative Order (UAO) if no settlement is reached, and 

the status of the order. 

Example: − A 2-week time frame for negotiations has been established starting 

June 1. If no agreement is reached, an UAO will be immediately issued. 

• Indicate the process by which the appropriate State agency will be notified. 

• Identify any access issues and how they have been addressed. 

Example: − The site owner initially refused access to response personnel but 

has since relented. 

• Describe the status of Statement of Work preparation. 

Example: − The PRPs have contracted with a national cleanup firm, provided 

EPA with a copy of the work plan, and site investigation is underway. 

• Discuss the availability and thoroughness of the documentation of past costs. 

ATTACHMENTS 

• Append attachments referred to in the body of the AM. 

27 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

ACTION MEMORANDA 

FOR SPECIAL CIRCUMSTANCES 

I. OVERVIEW 

In addition to requesting approval of an initial removal response, AMs are used to request ceiling 

increases, statutory exemptions, changes in the scope of response, or combinations of these 

categories. This section provides instructions on preparing the basic types of AMs used in special 

circumstances (i.e., combined removal and statutory exemption requests, 12-month exemption 

requests, ceiling increase requests, $2 million exemption/ceiling increase requests, and requests for 

changes in the scope of response). For removal actions involving combinations of these scenarios, 

OSCs should consult the instructions for each type of request to ensure that all appropriate 

information is included. 

II. INITIAL REMOVAL WITH STATUTORY EXEMPTION REQUESTS 

A. Overview 

An OSC may be able to determine at the initiation of a response that an exemption to the statutory 

limitations under CERCLA will be needed [3]: 

• To initiate a removal action where the project is expected at the outset to exceed 12 months15. 

• To initiate a removal action where the total project cost is expected at the outset to exceed $2 

million. 

AMs that combine exemption requests with requests for initial approval of removal actions 

should contain the information discussed below, in addition to the information detailed in the 

model AM provided in the preceding section. The new information described below should be 

inserted into the appropriate section of the model AM, as indicated by the shaded portions of 

Exhibit 6. The section numbers shown below correspond to the basic AM outline presented in 

Exhibit 4. 

B. 12 - Month Exemption 

An AM requesting initial approval of a removal combined with a 12-month exemption request is 

used when the OSC can determine at the outset of the response that the removal action will 

exceed the statutory time limitation of 12 months [3]. Like the model AM described in the 

preceding section, this AM is sent to the RA (or to whomever the RA has re-delegated this 

authority) for approval, and addressed from the OSC through the Regional Superfund Division 

Director (as appropriate). In situations where an exemption is sought for a removal at a proposed 

or final NPL site based upon the consistency exemption, the appropriate official in the Region's 

remedial program should also concur (RAs are authorized to approve time exemptions based 

 

15 The 12-month clock starts when on-site removal action response activity begins (not when the contractor is 

authorized) and runs for 12 consecutive months, including time that passes between restarts. CERCLA section 

104(b) investigatory studies, which would include removal site evaluation activities conducted pursuant to NCP 

300.410, are not removal action response activities that count toward the 12-month time limit when they precede the 

initial start date. 

28 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

upon the consistency exemption for both NPL and non-NPL sites) [4]. The AM should include a 

“consistency exemption” or an “emergency exemption” or both. 

EXHIBIT 6. INFORMATION REQUIREMENTS FOR REMOVAL 

AND 12-MONTH OR $2 MILLION EXEMPTION REQUEST 

ACTION MEMORANDA16

Heading 

I. Purpose 

II. Site Conditions and Background 

III. Threats to Public Health or Welfare or the Environment 

IV. Endangerment Determination 

V. Exemption from Statutory Limits 

VI. Proposed Actions and Estimated Costs 

VII. Outstanding Policy Issues 

IX. Enforcement 

X. Recommendation 

Enforcement Addendum 

Attachments 

C. $2 - Million Exemption 

AMs that combine requests for an initial removal with an exemption from the $2 million 

limitation are used when the OSC can determine at the outset of the response that the total cost of 

the removal action will exceed $2 million [3]. The AM should include a “consistency 

exemption” or an “emergency exemption” or both. 

Consistency Exemption: 

• NPL sites (proposed or final). RAs are authorized to approve consistency exemptions for 

removal actions at proposed and final NPL sites. This AM is sent to the RA for approval, and 

addressed from the OSC through the Regional Superfund Division Director (as appropriate). 

The appropriate official in the Region’s remedial program should also concur. 

 

16 New information is inserted into the appropriate section of the model AM, as indicated by the shaded sections of 

this exhibit. 

29 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

• Non-NPL sites. Where a consistency exemption is sought for a removal action at a site that 

is not proposed or final on the NPL, the AM is submitted to Headquarters for approval by the 

AA/OSWER. 

Emergency Exemption: 

• Up to $6 million. RAs are authorized to approve emergency exemptions for removal actions 

costing up to $6 million. This AM is sent to the RA for approval, and addressed from the 

OSC through the Regional Superfund Division Director (as appropriate).

• More than $6 million. Where an emergency exemption is sought for a removal action 

costing more than $6 million, the AM is submitted to Headquarters for approval by the 

AA/OSWER.

Headquarters Approval 

Where Headquarters approval is sought, the OSC should alert their OEM Regional Coordinator at 

Headquarters as early as possible. 

The AM, signed by the RA or Designated Official, must be addressed to the Assistant 

Administrator, Office of Solid Waste and Emergency Response (AA, OSWER) through the 

Director, Office of Emergency Management (OEM) to the attention of the Director, POCD. The 

Memo should be sent to the appropriate Regional Coordinator at least three weeks before the 

exemption is needed. The Regional Coordinator obtains the necessary Headquarters' 

concurrences and submits the AM to the AA, OSWER for final approval. If additional 

Headquarters assistance is needed, OSCs are encouraged to send AMs earlier to avoid 

lengthening the three-week Headquarters' processing time. For example, OSCs may submit draft 

AMs to Headquarters for comment to expedite final processing. In an emergency situation, the 

OSC may obtain oral approval of a combined removal and statutory exemption request from the 

AA, OSWER, which must be followed by a written AM within 48 hours. 

EXHIBIT 7. APPROVALS FOR EXEMPTION REQUESTS 

CERCLA 

Waiver 

Response 

Cost NPL Status Approving Official 

12 month -- -- RA 

Emergency $2M - $6M -- RA 

Emergency >$6M -- AA/OSWER

Consistency >$2M Proposed or Final on NPL RA 

Consistency >$2M Not Proposed or Final on NPL AA/OSWER

30 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

D. Additions To The Model Action Memorandum 

In addition to providing the information described in the model AM, the “Purpose” and 

"Recommendation" sections of the AM should be modified as discussed below. A new section on 

the exemption from statutory limits should also be added. 

Purpose (Section I) 

• Modify the “Purpose” statement described in the model AM to specify a combined initial 

removal and 12-month and/or $2 million exemption request. 

Exemption from Statutory Limits 

(New section V: follows “Endangerment Determination”) 

• Place this section immediately following the "Threats" section and use the threat information 

to justify the need for a 12-month and/or $2 million exemption [3]. Ensure that the severity 

of the threats is sufficiently documented to warrant the exemption request. Demonstrate that 

the removal meets one or both of the two CERCLA section l04(c) exemptions listed below (it 

is sometimes desirable to justify both exemptions). The two CERCLA section l04(c) 

exemptions are commonly referred to as the "emergency exemption" and the "consistency 

exemption." Note that the statute only allows an emergency exemption when three additional 

conditions are met. Therefore, OSCs must ensure that all three components of the emergency 

exemption are sufficiently addressed when requesting exemption from statutory limits. 

A. Emergency Exemption 

1. There is an immediate risk to public health or welfare or the environment. The key 

word is immediate. Focus on how soon the public or the environment is at risk or 

will be in the immediate future. Describe site conditions that constitute an immediate 

risk. Indicate all hazardous substances involved, refer to and interpret tables of data, 

and define the immediacy of the risk to affected human populations and 

environmental resources. Discuss the time needed to address the hazards involved 

and adverse weather conditions that may exacerbate the situation. Make reference to 

and attach any final ATSDR findings. 

Examples: − The retaining wall for the lagoon is highly unstable and on the verge 

of collapse. Frequent rains expected in the next 4-6 weeks may 

hasten this collapse, which would cause approximately 20,000 

gallons of waste contaminated with heavy metals to spill into 

Twining Creek, approximately 1/2 mile above the public water 

supply intake. 

− Volatile and explosive substances (see Table 1 for names and 

estimated quantities) are contained in 43 rapidly deteriorating 

drums. Incompatible substances are stored next to, and on top of, 

each other, presenting a high risk of fire/explosion and subsequent 

spread of toxic fumes to the 25 homes within a 1/4 mile radius of the 

site. 

2. Continued response actions are immediately required to prevent, limit, or mitigate an 

emergency. The key words are emergency and continued response actions are 

immediately required. Describe the emergency by referring to the release or threat of 

31 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

release of hazardous substances identified in the “Threats" section, citing specific 

concentrations, identifying deteriorating site conditions, and describing the type of 

threats. Ensure that each element of the response is justified by the emergency 

criteria and documented accordingly (be sure to include any ATSDR health 

consultations/assessments/advisories that support an emergency finding). Explain the 

emergency consequences of not granting the exemption. 

Examples: − The TCE-contaminated contents of two 5,000 gallon tanks will be 

drained and disposed of off-site. Continued actions are necessary, 

however, to dismantle and remove the rusting tanks so that toxic 

residues do not wash off-site into a neighboring stream. 

− 10 partially buried drums of dioxin-contaminated waste were 

discovered during the emergency removal of 120 drums from the 

surface of the site. Some of the contents have already leaked into the 

surrounding soil, presenting an increased threat to residents of 18 

neighboring homes and wildlife. Contaminated soil must be 

addressed to eliminate risk of ingestion by neighborhood children or 

migrating wildlife. 

3. Assistance will not otherwise be provided on a timely basis. The key words are 

timely basis. Describe why State/local governments cannot address the site within an 

appropriate timeframe. If applicable, discuss the absence of any PRP's role using a 

summary of information from the enforcement addendum (excluding any 

enforcement sensitive details). Discuss the remedial timeframe to address the site if 

it is listed on the NPL. 

Examples: − A deteriorating storage shed threatens to expose explosive 

substances to the atmosphere, and local responders do not have 

appropriate expertise for safely mitigating the threat. 

− Neither the State nor county government has access to or resources 

to acquire the proper incineration equipment and services needed. 

B. Consistency Exemption17

1. Continued response actions are otherwise appropriate and consistent with the 

remedial action to be taken. Demonstrate that the proposed removal meets the 

criteria for consistency (at a minimum, the removal does not foreclose the remedial 

action) and appropriateness, i.e., the activity is necessary to avoid a foreseeable 

threat, prevent further migration of contaminants, use alternatives to land disposal, or 

comply with the off-site rule18. Describe what Federal, State, or PRP-lead remedial 

 

17 This exemption is generally only for use at proposed and final NPL sites. The limited situations where use of the 

exemption is appropriate for non-NPL sites will be determined by the AA, OSWER on a case-by-case basis [4]. 18 The off site rule is contained in Section 300.440 of the NCP: Procedures for planning and implementing offsite response actions. (a) Applicability. (1) This section applies to any remedial or removal action involving the 

off-site transfer of any hazardous substance, pollutant, or contaminant as defined under CERCLA sections 101 (14) 

and (33) (‘‘CERCLA waste’’) that is conducted by EPA, States, private parties, or other Federal agencies, that is 

Fund-financed and/or is taken pursuant to any CERCLA authority, including cleanups at Federal facilities under 

section 120 of CERCLA, and cleanups under section 311 of the Clean Water Act (except for cleanup of petroleum 

exempt under CERCLA). Applicability extends to those actions taken jointly under CERCLA and another authority. 

(2) In cases of emergency removal actions under CERCLA, emergency actions taken during remedial actions, or 

response actions under section 311 of the Clean Water Act where the release poses an immediate and significant 

threat to human health and the environment, the On-Scene Coordinator (OSC) may determine that it is necessary to 

transfer CERCLA waste offsite without following the requirements of this section. 

32 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

REMOVAL AND EXEMPTION REQUEST 

actions are planned (citing the Record of Decision (ROD) if available), or anticipate 

likely remedial actions if plans are not yet made. 

Example: − Excavating, and removing, the buried drums will not interfere with 

likely remedial alternatives to address soil and ground-water 

contamination. The removal action is also appropriate because the 

drums and their contents will be incinerated, not disposed of in a 

landfill. 

Recommendation (Section X) 

• Refer to both removal criteria and statutory exemption criteria in a Regional recommendation 

statement. For AMs requiring Headquarters’ approval, state when funding is planned and the 

source of funding. 

Examples: − Conditions at the Site meet the NCP section 300.415(b) criteria for a 

removal and the CERCLA section 104(c) consistency exemption from the 12-

month limitation, and I recommend your approval of the proposed removal 

action and 12-month exemption. The total project ceiling if approved will be 

$125,000. Of this, an estimated $100,000 will be from the Regional removal 

allowance 

− Conditions at the, site meet the NCP section 300.415(b) criteria for a 

removal and the CERCLA section 104(c) emergency exemption from the $2 

million limitation, and I recommend your approval of the proposed removal 

action and $2 million exemption. The total project ceiling if approved will at 

$4.5 million, of which an estimated $3.8 million will be funded from FY 07 

and FY 08 Regional removal allowances. 

III. ACTION MEMORANDA TO CONTINUE RESPONSE ACTIONS 

A. Overview 

AMs are also occasionally required to continue work approved by an original AM, or to restart 

work at the same site if the statutory limitation on time has been exceeded. The basic types of 

requests contained in these additional AMs are listed below. 

• 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 

General instructions for preparing these AMs are discussed in the following paragraph, followed 

by the specific information needed for each type of request. AMs combining several types of 

requests contain all appropriate information. 

AMs to continue response actions cover each of the sections in the basic AM outline (see Exhibit 

4), but may refer to the most recently approved AM (which should be attached) to avoid 

duplication. Specific points to consider in preparing exemption requests, ceiling increases, 

33 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

requests for changes in the scope of response, or other combinations thereof include the topics 

listed below. 

• The "Subject" line should specify the type of request (e.g., ceiling increase, $2 million 

exemption, 12-month exemption, or change in the scope of response request) followed by the 

words "Action Memorandum" on the next line. 

• If the removal action requires an extension of the 12-month limit or an increase in the project 

ceiling that raises costs over $2 million, justification for the exemption is presented in a new 

section, "Exemption from Statutory Limits." If previous AMs were based upon different 

exemption criteria (e.g., the consistency exemption was used instead of the emergency 

exemption), the OSC includes in the new request appropriate and sufficient information. 

Additionally, if site conditions have changed from those documented in a previous exemption 

request but continue to meet the same exemption criteria, the new request demonstrate that 

current conditions meet the same criteria. 

• If the removal action will exceed the project ceiling or if funds are to be redirected, a detailed 

cost breakdown of previous and requested ceilings should be provided. 

• For the remaining sections of AMs to continue response actions, include the following. 

• If information contained in the previous AM is still current and correct, the OSC should 

indicate "Refer to previous Action Memorandum" for that section. 

• If new or additional information is available, the OSC should include it under the 

appropriate section number in the AM and indicate that this supplements or supersedes 

information in previous AMs. Note that exemption requests based upon the emergency 

exemption will likely require expanded sections with updated information. 

The discussion below identifies specific information for ceiling increases, exemption requests, 

and changes in the scope of response request, as illustrated by the shaded portions of Exhibit 8. 

References to the appropriate section numbers in an original AM, as outlined in Exhibit 4, are 

included. 

B. 12-Month Exemption 

A 12-month exemption request AM is used to extend the response time of an already-approved 

removal beyond the statutory limit of 12 months [3]. The 12-month exemption request is sent to 

the RA for approval and addressed from the OSC through the Regional Superfund Division 

Director (as appropriate). If a subsequent time exemption or change in scope of response is 

needed, the new AM states that the removal continues to meet the original exemption criteria or 

demonstrates that new exemption criteria are met. Where an extension is sought for a proposed 

or final NPL site based upon the consistency exemption, the appropriate official in the Region's 

remedial program should also concur before the AM is approved. 

Additions to Model Action Memorandum 

Where appropriate, the previous AM should be referred to and the “Purpose,” “Site Conditions 

and Background,” “Threats,” “Proposed Actions,” and “Recommendation” sections should be 

34 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

modified as discussed below. Any updated or new information should be discussed under the 

appropriate heading. A section on the exemption from statutory limits is also included. 

th 

exemption is sought.

Site Conditions and Background (Section II) 

• the action, the date the action was approved in the original Action 

Memorandum, and the date response activities began on site. 

• Describe the actions initially approved, actions to date, and actions to be completed. 

 facility - all but disposal have 

been completed. 

• 2-month 

limit exemption

Examples: − layed cleanup work and exposed more drums. 

− Contract lab delays disrupted scheduled response activities. 

Threats to Public Health or Welfare or the Environment, and Statutory and Regulatory 

Au

• A new/revised/updated section is needed if the 12-month exemption is to respond to threats 

on that should be included. 

(Ne

• Demonstrate that the site meets either the emergency or consistency exemption according to 

 the combined removal and exemption request AM. 

emption when three additional 

criteria are met, beyond the criteria for an original AM within statutory limits. Therefore, 

Pro

• ssing the same 

issues raised in the “Proposed Actions” section of the model AM. 

• Update costs as appropriate. 

• of State response, list of 

ARARs that will be complied with). 

Purpose (Section I) 

• Modify the "Purpose" statement described in the model AM to specify that a 12-mon

Discuss who initiated 

Example: − Of the three actions initially approved - staging of drums, soil 

excavation, final disposal at a RCRA approved

Describe the problems or conditions at the site that have led to the request for a 1

. 

Severe flooding de

thorities (Section III) 

that are different from those addressed in previous AMs. Section III of the model AM 

describes the informati

Exemption From Statutory Limits 

w Section V: follows "Endangerment Determination") 

the instructions in the discussion of

Remember that the statute only allows an emergency ex

substantiate the request accordingly [3, 4]. If a subsequent time extension or change in scope

of work is needed, the new AM states that the removal continues to meet the original 

exemption criteria or demonstrates that new exemption criteria are met. 

posed Actions and Estimated Costs (Section VI) 

Describe what actions are required to complete the removal action, addre

Provide an update on ARARS (e.g. response from State, evaluation

35 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

Address the same issues outlined in the “Proposed Actions” section of the model AM. 

Rec

he 

removal. 

t the site meet criteria for the CERCLA section 104(c) 

consistency exemption, and I recommend that you approve an exemption 

project ceiling is $730,000, of which as much as $650,000 comes from the 

• Include any spe

C. Ceiling Increase

•

ommendation (Section X) 

• Provide an approval statement that briefly presents the rationale and time schedule for t

Example: − Conditions a

from the 12-month limit to allow a continued removal response. The total 

Regional removal allowance. 

cial conditions or provisions that pertain to this exemption. 

 

RA or delegated 

Superfund Division Director can approve ceiling increases, addressed from the OSC, that do not 

ct costs over $2 million. If the ceiling increase will bring the total project 

ceiling above $2 million for the first time, the OSC should prepare a combined $2 million 

es for 

unnecessary duplication of information. The “Purpose,” “Site Conditions and Background,” 

endation” sections should be modified as described 

below. 

ify the "Purpose" statement described in the model AM to specify that a ceiling increase 

is requested. 

Site Conditions and Background (Section II) 

• action was approved in the original AM and the date response activities began 

on site. 

 EPA on December 2, 2006. 

s: − Actions completed include staging and overpacking drums, 

− Drums currently awaiting disposal at a RCRA-approved disposal site. 

A ceiling increase AM is used for approval of all ceiling increase requests. The 

result in total proje

exemption and ceiling increase. Requests for ceiling increases for projects already totaling over 

$2 million should state that the removal still meets the same exemption criteria (i.e., emergency 

or consistency) specified in the original $2 million exemption request/ceiling increase AM or 

demonstrate that the response meets other exemption criteria. Therefore, all ceiling increas

projects totaling over $2 million reiterate or demonstrate that exemption criteria are met. 

Additions to Model Action Memorandum 

Where appropriate, the original or most recent AM should be referred to in order to avoid 

“Threats,” “Proposed Actions,” and “Recomm

Purpose (Section I) 

• Mod

State the date 

Example: − The removal was initiated by

• Discuss the present status of the removal action. 

Example

and pumping down lagoons. 

36 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

EXHIBIT EQUIREMENTS FOR 

ACTIO M

 8: INFORMATION R

N EMORANDA TO CONTINUE RESPONSES19

12-Month Exemption Ceiling Increase* 

Heading Heading 

I. Purpose I. Purpose 

II. Site Conditions and Background II. Site Conditions and Background 

III. Threats to Public Health or Welfare or 

the Environment, and Statutory and 

Regulatory Authorities 

III. Threats to Public Health or Welfare or the 

Environment, and Statutory and 

Regulatory Authorities 

IV. Endangerment Determination IV. Endangerment Determination 

V. Exemption from Statutory Limits V. Proposed Actions and Estimated Costs 

VI. Proposed Actions and Estimated Costs VI. Expected Change in the Situation Should 

the Action Be Delayed or Not Taken 

VII. Expected Change in the Situation Should 

the Action Be Delayed or Not Taken 

VII. Outstanding Policy Issues 

VIII. Outstanding Policy Issues VIII. Enforcement 

IX. Enforcement IX. Recommendation 

X. Recommendation Enforcement Addendum 

Enforcement Addendum Attachments 

Attachments 

$2 Million Exemption/Ceiling Increase Change in Scope of Response 

Heading Heading 

I. Purpose I. Purpose 

II. Site Conditions and Background II. Site Conditions and Background 

III. Threats to Public Health or Welfare or 

the Environment, and Statutory and 

Regulatory Authorities 

III. Threats to Public Health or Welfare or the 

Environment, and Statutory and 

Regulatory Authorities 

IV. Endangerment Determination IV. Endangerment Determination 

V. Exemption from Statutory Limits V. Proposed Actions and Estimated Costs 

VI. Proposed Actions and Estimated Costs VI. Expected Change in the Situation Should 

the Action Be Delayed or Not Taken 

VII. Expected Change in the Situation Should 

the Action Be Delayed or Not Taken 

VII. Outstanding Policy Issues 

VIII. Outstanding Policy Issues VIII. Enforcement 

IX. Enforcement IX. Recommendation 

X. Recommendation Enforcement Addendum 

Enforcement Addendum Attachments 

Attachments 

*Ceiling increase requests for removal actions with total project costs over $2 million should state that the 

removal continues to meet previously documented statutory exemption criteria or demonstrate that the 

response meets other exemption criteria in a section on “Exemption From Statutory Limits.” 

 

19 New information is inserted into the appropriate section of the model AM, as indicated by the shaded sections of 

this exhibit. 

37 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

• Describe the site conditions and the reasons for a ceiling increase request. 

Exa es. 

d equipment. 

purpose of ceiling increase.

le: − Disposal of additional drums that washed ashore after the removal 

• ld the ce g 

• ay help st rease and 

rmation, ATSDR s. 

T the En on

A

• ection is required c will be used to respond to 

are different from those addresse previous AMs. Section III of the model AM 

e of information that sho substantiate the request 

crease. 

s

20 

ment Det illion 

 has previously been approved. Re t sections as appropriate.) 

• eet th e

in the original $ ase AM. 

 changed but continue to me ified in the original 

at the criteria. If 

o meet the sa e

re met r

exemption and removal request AM. Remember t uate 

equ a statutory limits. 

ccordingly. 

Proposed Actions and Estimated Costs (Section V) 

equired to com onse, addressing the same issues 

sed in the “Proposed Actions” section f the model AM. 

Example: − Sampling for compatibility remains to be completed before final 

 (see Exhibit 

9) [28]. 

 

mples: − Additional drums were discovered buried near the property lin

− Unexpected freezing temperatures required the use of specialize

• Describe the 

Examp

action began. 

Describe a worst-case scenario shou ilin increase not be granted. 

Include any other information that m sub antiate the need for a ceiling inc

attach any new enforcement info health advice, or other useful document

hreats to Public Health or Welfare or vir ment, and Statutory and Regulatory 

uthorities (Section III) 

A new/revised/updated s if the eiling increase 

threats that d in

describes the typ uld be included in order to

for a funding in

Exemption From Statutory Limit

(New Section V follows “Endanger

e

ermination

num r 

” for ceiling increases where $2-m

xemption be subsequen

State that site conditions continue to m

consistency exemption) specified 

If site conditions have

e ex mption criteria (i.e., emergency or 

2-million exemption/ceiling incre

et the same criteria spec

exemption request, demonstrate here th new conditions meet the exemption

site conditions do not continue t me xemption criteria, the AM demonstrates 

that criteria for the other exemption a acco ding to the instructions for the combined 

hat additional criteria are used to eval

the threats in an emergency exemption r

Therefore substantiate the request a

est th n in an original AM within 

• Describe what actions are r plete the resp

rai o

disposal may be undertaken. 

• Provide a detailed breakdown of costs for both the current and proposed ceiling

20 This section is used if a $2-million exemption has been previously approved. Renumber subsequent sections as 

appropriate. 

38 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

Recommendation (Section IX) 

• Present the 

Summarize what the additional funds will be used for and state how much the approval would 

ling increase is for a removal with a total project 

o ing, and 

g is

Examples: − Site conditions continue to meet the NCP section 300.415(b) 

he proposed 

will be 

D. $2 Million Exemption and Ceiling Increase 

Region's recommendations, rationale, and project costs in an approval statement. 

increase the total project ceiling. If the cei

ceiling of m re than $2 million, specify the exemption criteria met, the source of fund

when fundin planned. 

criteria for a removal, and I recommend your approval of t

ceiling increase of $600,000. The total project ceiling if approved 

$1,774,000, of which as much as $1,387,000 will be funded from the 

Regional removal allowance. 

− Site conditions continue to meet the NCP section 300.415(b) criteria for a 

removal and the CERCLA section 104(c) consistency exemption, and I 

recommend your approval of the proposed project ceiling increase of 

$400,000. The total project ceiling if approved will be $3.5 million, of which 

as much as $2.9 million will be funded from FY 07 and FY 08 Regional 

removal allowances.

The $2-million exemption request and ceiling increase AM is used when a ceiling increase will 

 for a 

the 

up t

Ad

Wh

dup

con ose,” Site Conditions and Background,” 

 “Recommendation” should be modified 

r

• “ $2 million 

exemption and c

• Provide the same information as detailed for the ceiling increase AM. 

bring the total project ceiling above $2-million for the first time or when addressing new threats 

in subsequent ceiling increases [3]. This dual request AM may require approval from 

Headquarters. If so, it must be addressed to the AA, OSWER from the RA, through the Director, 

OEM to the attention of the Director, POCD. In situations where an exemption is sought

proposed or final NPL site based upon the consistency exemption, the appropriate official from 

Regional remedial program also concurs [4]. Note: RA’s can approve exemption requests of 

o $6 million for emergency exemptions. 

ditions to Model Action Memorandum 

ere appropriate, the original or most recent AM should be referred to in order to avoid 

lication of material. Additionally, the combined exemption and ceiling increase AM should 

tain the information discussed below. The “Purp

“Threats”, “Statutory Limits,” “Proposed Actions,” and

as described below. 

Pu pose (Section I) 

Modify the Purpose” statement provided in the model AM to request a combined

eiling increase. 

Site Conditions and Background (Section II) 

39 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

Threats to Public Health or Welfare or the Environment, and Statutory and Regulatory 

Authorities (Section III) 

•

Exe

(New Section V: fol

• Place this sectio mation 

to justify the ne that the severity of the threats is 

sufficiently a 

are used to eval ction 

Memo). Demon ption 

(or both) under 

removal and exe

Proposed Actions and Estimated Costs (Section VI) 

• Refer to the “Proposed Actions” section of the ceiling increase AM discussed previously and 

t. 

d I recommend your approval of an exemption from 

the $2 million limitation and a ceiling increase of $500,000. The total 

 will be $4.2 million, of which an estimated $3.7 

million will be funded from the FY’07 and FY’08 Regional removal 

A new/revised/updated section is needed if the $2 million exemption and ceiling increase will 

be used to respond to threats that are different from those addressed in previous AMs. 

Section III of the model AM describes the information that should be included. 

mption from Statutory Limits 

lows “Endangerment Determination”) 

n immediately following the “Threats” section and use the threat infor

ed for a $2 million exemption. Ensure

documented to warrant the exemption request (remember that additional criteri

uate the threats in an emergency exemption request than in an original A

strate that the removal meets either the emergency or consistency exem

CERCLA section 104(c). See the exemption section of the combined 

mption request for $2 million exemption documentation requirements. 

Exhibit 9 for documentation requirements. 

Recommendation (Section X) 

• Present the Region's recommendations, rationale, and project costs in an approval statemen

Identify the source of funding and when funding is planned. 

Example: − Conditions at the site meet the criteria for a CERCLA section 104(c) 

emergency exemption, an

project ceiling if approved

allowances. 

40 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

EXHIBIT 9. SAMPLE PROJECT CEILING INCREASE ESTIMATE [28] 

Extramural Costs Current Ceiling Proposed Increase Proposed Ceiling

Regional Allowance Costs: 

Total Cleanup Contractor Costs 

(Th

esti

sub n

ord f

Procee

Contra

Federa

10-20%

$837,000 $525,000 $1,362,000 

is cost category includes OSC 

mates for: ERRS, 

co tractors, Letter Contracts, 

er or services, Notices to 

d, Alternative Technology 

cts, and IAGs with other 

l agencies. Also includes a 

 contingency) 

Other Extramural Costs Not Funded From the Regional Allowance: 

Tot

multiplier costs 

al START, including $10,000 $5,000 $15,000 

Total CLP $20,000 $15,000 $35,000 

Subtotal $30,000 $20,000 $50,000 

Subtota E l, xtramural Costs $867,000 $545,000 $1,412,000 

Extramural t g

(20% of Subtotal, Ext

Costs; round to neares

 Costs Con in ency 

ramural 

t thousand) $173,000 $109,000 $282,000 

TOTAL, REMOVAL AC

PROJECT CEILING 

TION $1,040,000 $654,000 $1,694,000 

41 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

E. Change In The Scope Of Response 

 for a change in the sco e

onse goals have changed from tlined in t

at provide below is used when there is a change in the scope of work at a 

roject ceiling hould be roval t

erfund rector (as 

e case of a $2 million exemption request over $6 million) 

is instance, Headquarters' approval is needed, and the AM 

 as a $2 million exemption request. When a change in the scope 

oved removal action totaling more than $2 million, the AM 

 that the statutory exemption criteria are still met. 

orandum 

nal odifications to the 

ons,” and 

tions are discussed 

Purpose (Section I)

 the “Purpose” statement provided in the model AM to specify that a change in the 

pe of response is requested. 

ackground (Secti

cs such as location, current conditions, and NPL status. Attach the 

t as appropriate in order to avoid repeating site description 

he sam the origin

e action, th n was ap he origi he 

 began on sit

• Describe the conditions or situations that have led to the proposed change in the scope of the 

response. 

Example: − Initially incineration was identified as the sole method of treatment and 

disposal, but tests have shown that incineration is not feasible for all the 

waste, so some of the waste will be solidified on-site. 

• Include a chronological description of steps taken to address the conditions or situations 

leading to this request. 

• Identify any key problems or complications that have developed or are anticipated. 

The request

removal resp

pe of response is u

 those ou

sed when the propos

he "Proposed Action” section of the 

d actions and/or 

current AM. The form d 

site, but no change in total p . This AM s

Division Di

 sent for app

appropriate), unless the removal 

o the RA from

the OSC through the Regional Sup

was initially or subsequently (in th

approved by Headquarters. In th

should be routed in the same way

of response is needed for an appr

requesting the change should state

Additions to Model Action Mem

Where appropriate, refer to the original or most recent AM. Additio

“Purpose,” “Site Conditions and Background,” “Threats,” “Propose

m

d Acti

“Recommendation” sec below. 

• Modify

sco

Site Conditions and B on II) 

• Detail key site characteristi

original AM and refer to i

information used to describe t e threats in al AM. 

• Discuss who initiated th

date response activities

e date the actio

e. 

proved in t nal AM, and t

42 Final Guidance, September 2009 
SPECIAL CIRCUMSTANCES 

ACTION MEMORANDA TO CONTINUE RESPONSE 

Threats to Public Health or Welfare or the Environment, and Statutory and Regulatory 

ond 

lied with as 

ng the same issues outlined in the "Proposed 

 within the current approved total project ceiling (no separate 

equired). 

moval criteria and present the OSC's 

ed funds in an approval statement. 

prove a 

n, with no increase in the 

Authorities (Section III) 

• A new/revised/updated section is needed if the change in the scope of response is to resp

to threats that are different from those addressed in previous AMs. Section III of the model 

AM describes the type of information that should be included. 

Proposed Actions and Estimated Costs (Section V) 

• List and describe all the approved project tasks remaining to be accomplished for completion 

of the removal action. 

• Describe any ARARs that were not identified in the original AM but will be comp

a result of the proposed change in work, addressi

Actions" section of the model AM. 

• Provide an update on ARARs identified in the original AM (e.g. response from State, 

evaluation of State response, list of ARARs that will be complied with). 

State that the costs will remain

cost summary is r

•

Recommendation (Section IX) 

• State that the response continues to meet NCP re

recommendations for a redirection of approv

Example: − Conditions at the site continue to meet the criteria for the CERCLA section 

104(c) emergency exemption, and I recommend that you approve the 

redirection funds as indicated. Specifically, I recommend that you ap

change to the scope of work to include solidificatio

total project ceiling. 

43 Final Guidance, September 2009 
NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING ISSUES 

IV. NO

PRE UES 

Bac ro

N-NPL REMOVAL ACTIONS INVOLVING NATIONALLY SIGNIFICANT OR 

CEDENT-SETTING ISS

kg und

Delegat tant Administrator for Solid 

Waste and Emergency Response (AA/OSWER) prior to initiation of removal actions taken at nonNPL nce, or precedent-setting21. Re-delegation 

R-14-2 transfers authority to concur to the Director of the Office at Headquarters responsible for the 

Rem

Administrator, OSWER. The purpose of the concurrence requirement is to promote national 

consistency in the implementation of the Superfund removal program. 

This sec

national specifies procedures for requesting Headquarters 

concurrence on these actions. The guidance also identifies categories of removals subject to special 

proc u

The types of re

sect . t 

non-NP

of a nationall nclude the On-Scene Coordinator 

(OSC) in consultation with OEM’s Program Operations and Coordination Division (POCD) Regional 

Coordinator

NAT O

Seven categories of rem e 

list is not exhaustive and

recommended where the

(a) Whether Fund-financed response to a particular incident will establish a precedent for future 

response actions; or 

(b) Whether a response will commit EPA to a course of action that could have a significant impact 

on future resources, due to the widespread occurrence of a particular problem. 

 

ion 14-2 (November 2001) requires the concurrence of the Assis

 sites where the proposed action is of national significa

oval Program (National Program Manager); authority to non-concur remains with the Assistant 

tion identifies categories of potential removal situations which have been determined to be of 

 significance or precedent-setting and

ed ral requirements that do not require Headquarters concurrence. 

movals that require concurrence are not limited to those categories identified in this 

ion These categories are to be used by the Regions as a guide for screening proposed removals a

L sites that may require Headquarters concurrence. Final determinations regarding removals 

y significant or precedent-setting nature should i

22. 

I NALLY SIGNIFICANT OR PRECEDENT SETTING CATEGORIES 

ovals have been designated as nationally significant or precedent-setting. Th

 early consultation with your Region’s POCD Regional Coordinator is 

re are questions. In making the determination, the key considerations are: 

21 Under section 300.120(c) of the NCP, EPA will provide the OSC for an emergency removal action when the 

release is on, or its sole source is from, a Federal facility in the inland zone, unless it is a DOD or DOE facility. An 

EPA emergency removal action at a Federal facility is nationally significant action; however, it does not require 

Headquarters concurrence for the reasons explained below in “Emergency Removal Concurrence Procedures.” If 

there is an EPA emergency removal action at a Federal facility, the OSC should follow the procedures in 

“Emergency Removal Concurrence Procedures,” and also notify FFRRO and FFEO as soon as possible. 22 This section does not apply to situations involving Stafford Act deployments and/or other large scale incidents 

where EPA would generally not use CERCLA funding. EPA’s response to incidents such as Radiological Dispersal 

Devices (RDDs), Improvised Nuclear Devices (INDs), chemical agents and/or most biological agents would most 

likely be part of a full scale national response directed and funded under DHS/FEMA authorities. For radiological 

responses, for example, FEMA’s “Planning Guidance for Protection and Recovery Following Radiological 

Dispersal Device (RDD) and Improvised Nuclear Device (IND) Incidents” guidance issued in 2008 may be used. If 

however, specific circumstances resulted in an EPA decision to take a CERCLA removal action such as for a 

smaller incident, the AM would be subject to the Headquarters concurrence procedures of this section. 

44 Final Guidance, September 2009 
NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING ISSUES 

The categories identified and the rationales for identification are as follows: 

1. Removal actions at sites within the United States or its territories involving contamination 

or response actions that may affect other sovereign nations, including Indian Tribes. 

Rationale: Headquarters concurrence will facilitate the execution of proper diplomatic 

protocol by the Department of State, and proper coordination with Indian Tribes, the 

Bureau of Indian Affairs, the Indian Health Service, and other appropriate organizations, 

where applicable. 

2. Removals involving pesticide contamination arising from: 

- Improper storage of pesticide products awaiting indemnification; 

- Lawful application of pesticides, including special local use pesticides; 

- Grain fumigation operations. 

Rationale: Headquarters concurrence will avoid commitment to cleanup of widespread 

contamination generally beyond the intended scope of CERCLA. 

3. Removal actions at sites involving any form of dioxin when it is one of the principal

contaminants of concern. 

Rationale: Headquarters concurrence will ensure national consistency in dioxin cleanup. 

 proposed action will 

provide an acceptable level of protection from dioxin exposure. 

e.g., 

Headquarters must review all dioxin removal actions to verify that the

4. Removal actions at sites involving releases from consumer products in consumer use (

lead-contaminated soil resulting from peeling lead-based paint on houses). 

Rationale: Headquarters concurrence will avoid a commitment to the cleanup of 

widespread non-point source contamination without consideration of the implications for 

the national program. 

5 . 

Rationale

. Removals involving asbestos when it is the principal contaminant of concern

: Headquarters concurrence remains necessary because action levels for response 

have not yet been set and these determinations are being made on a case-by-case basis (see 

OSWER 9345.4-05 “Clarifying Cleanup Goals and Identification of New Assessment 

Tools for Evaluation Asbestos at Superfund Cleanups” August 10, 2004 [18] and 

“Vermiculite Ore Asbestos Sites: Evaluating Potential Indoor Residential Contamination”

memo dated Oct. 3, 2006 from Deborah Y. Dietrich, Director, OEM [19]). 

6. Removal actions involving Bacillus anthracis (the bacterium that causes anthrax) from 

natural sources (such as contaminated agricultural soils, animals or animal products)23. 

 

23 Responses to weaponized forms of Bacillus anthracis would in general not use CERCLA funding, but would 

likely be covered under the Stafford Act. However, CERCLA authority may be used. 

most 

45 Final Guidance, September 2009 
NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING ISSUES 

Rationale: Headquarters concurrence will ensure national consistency in the Agency's 

approach to Bacillus anthracis cleanup as technologies, procedures and action levels 

. Removal actions involving substances or releases which may be subject to statutory 

ition of 'hazardous substance' (e.g., certain petroleum products 

including crude oil, and natural gas or synthetic gas usable for fuel); 

• Releases excluded from Fund-financed response under the CERCLA section 101(22) 

 of motor vehicles; 

releases of radioactive material from a nuclear incident24; and releases caused by 

und-financed response under CERCLA section 104(a)(3) 

including releases of a naturally occurring substances; releases from products that are 

ic 

n from ordinary use. 

ir 

oval action include radon contamination in building structures, 

pentachlorophenol (PCP) contamination in log cabins, releases from coal gasification 

continue to be developed. 

7

exclusions or limitations in CERCLA. These include: 

• Substances excluded from Fund-financed response under the CERCLA section 

101(14) defin

definition of ‘release'(e.g., emissions from the engine exhaust

normally applied fertilizer); and/or 

• Releases excluded from F

part of a structure and result in exposures within the structure; and releases in publ

or private drinking water supplies due to system deterioratio

Specific examples of substances or releases that have raised issues with respect to the

eligibility for CERCLA rem

facilities, methane gas releases, and asbestos in building materials in homes. 

Rationale: Headquarters concurrence will ensure that statutory exclusions and limitations 

are interpreted in a consistent and appropriate manner. Headquarters concurrence will also 

ironmental 

emergency and no other person will respond in a timely manner. 

Concurren

arly screening for issues of a nationally significant or precedent-setting nature is essential to 

EM/POCD Regional Coordinator when a possible nationally significant or precedent-setting 

remov

concu

action t or 

preced

For th currence 

should be received prior to the Regional Administrator's, or delegated Regional Manager, formal 

 

ensure consistent application of EPA's authority under CERCLA section 104(a)(4) to 

respond to a release or threat of release if it constitutes a public health or env

ce Procedures 

E

ensure timely HQ concurrence when necessary. OSCs should contact the appropriate

O

al action is first identified, to alert the Regional Coordinator that a request for Headquarters 

rrence will be forthcoming. OSCs should also call the Regional Coordinator for advice on 

s that are not specifically listed in the guidance, but which may be nationally significan

ent-setting. 

ose removal actions where Headquarters concurrence is required, written con

 (22)(C) “release of source, byproduct, or special nuclear material from a nuclear incident, as those 24 42 U.S.C. 9601

terms are defined in the Atomic Energy Act of 1954 [42 U.S.C. 2011 et seq.], if such release is subject to 

requirements with respect to financial protection established by the Nuclear Regulatory Commission under section 

170 of such Act [42 U.S.C. 2210], or, for the purposes of section 9604 of this title or any other response action, any 

release of source byproduct, or special nuclear material from any processing site designated under section 

7912(a)(1) or 7942(a) of this title, ...” 

46 Final Guidance, September 2009 
NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING ISSUES 

appro ed 

within

Non-Emergency Removal Concurrence Procedures 

All no with a Request for Concurrence 

rm (Exhibit 11). The AM should be in final draft form, except that it should not be signed by 

the Reg a

addressed fr onal 

Superfund D ally significant 

or precedent-setting issue. This form has been developed in an effort to streamline the 

concurr e

The Region

nationally s al action once the action has been concurred 

upon by Headquarters Additional Headquarters concurrence is required only if the scope of work 

describe

amended A

Headquarte

unless the s

Emergenc

In cas r 

prece s 

oncurrence. In these cases, however, OSCs take only those actions necessary to mitigate the 

emerg

Coord

If the 

action ld send to the Office 

Director, OEM a copy of the AM submitted to the Regional Administrator, or delegated Regional 

 the AM’s approval. The AM should clearly 

describe the nationally significant or precedent-setting issues involved. A request for 

he 

ed above. Headquarters will expedite the review of these requests to avoid 

elaying on-going removal actions. 

val of the AM, except in cases of emergencies (i.e., situations where a response is initiat

 hours after completion of a site evaluation). 

n-emergency concurrences are requested through an AM

fo

ion l Administrator, or delegated Regional Manager. The request form should be 

om the Regional Administrator to the Office Director, OEM through the Regi

ivision Directors or designee. The request should describe the nation

enc by Headquarters. 

al Administrator, or delegated Regional Manager, may approve the AM for a 

ignificant or precedent-setting remov

d within the AM changes significantly. In this case, Headquarters concurrence on the 

M is required, as discussed above, prior to any additional actions at the site. 

rs concurrence is not required on requests for ceiling increases or time exemptions, 

cope of work changes significantly. 

y Removal Concurrence Procedures 

es where emergency removal actions, as defined above, involve nationally significant o

dent-setting issues, Regions may initiate a removal action without Headquarter

c

ency or stabilize the site, and then inform the appropriate OEM/POCD Regional 

inator at the latest on the next working day after the removal action was initiated. 

response is determined to be nationally significant or precedent-setting but no further 

s are required beyond the emergency mitigation, the Regions shou

Manager, for that removal within two weeks of

Headquarters concurrence is not necessary when the incident does not require actions beyond t

initial emergency measures. 

 

For those nationally significant or precedent-setting sites where further response is required 

beyond the emergency measures, Headquarters concurrence should be obtained before taking any

further action. These concurrence requests are subject to the non-emergency procedural 

requirements describ

d

47 Final Guidance, September 2009 
NATIONALLY SIGNIFICANT OR PRECEDENT-SETTING ISSUES 

REM

rocedures are set out below for two removal categories that do not present nationally significant or 

rrence, but instead involve issues with special 

egional procedures. 

The

OVAL ACTIONS SUBJECT TO SPECIAL PROCEDURES 

P

precedent-setting issues requiring Headquarters concu

R

 two categories of removal actions and the policy for handling each are as follows: 

1. Removals at sites with radiation contamination. 

Procedures: For health and safety protection, OSCs should consult with their designated 

Regional health physicist and follow the appropriate procedures set out in: 

• "Turnback Guidance for EPA personnel responding to Radiological Emergencies" 

[Dec 7, 2006 joint OSWER and OAR memo] [24]; 

 Health 

nd 

. 

2. Removals involving business relocations. 

• Chapter 2 of the "Emergency Responder Health and Safety Manual: Radiation

and Safety Implementation Plan" [OSWER Directive Number 9285.312, July 28,

2005] [25]; and 

• "Safety, Health and Environmental Management Program Guidelines: Radiation 

Safety and Health Protection Program: Guideline 38," [EPA/Safety, Health a

Environmental Management Division, March 2006], (“SHEMP Guideline 38”) [26]

Procedures: AMs for removals involving business relocations may be approved by the 

Regional Administrators, and other response activities comprising the removal may be 

s. 

tor should 

any, can 

be provided (see “Superfund Response Actions: Temporary Relocations Implementation 

ine 

initiated; however, OSCs should confer with OEM/POCD Regional Coordinators on 

business relocations prior to initiating the specific business relocation activitie

Determinations for the types of relocation assistance EPA can provide are made on a 

case-by-case basis, and ORC and the Region’s OEM/POCD Regional Coordina

work with the Office of General Counsel (OGC) to determine what assistance, if 

Guidance” [20]). This is to ensure national consistency in the criteria used to determ

the need for business relocations, and the specific expenses incurred. 

48 Final Guidance, September 2009 
ACTION MEMORANDUM ATTACHMENTS & ADDENDA 

ACTION MEMORANDA ATTACHMENTS AND 

Action Me

he per u as increase the 

effectivenes

attachments

easily create

relevance o y

within the body

efforts to co er

consumption, pa e 

record. 

Standard Attach

ADDENDA 

moranda Attachments 

T pro se of select attachments can save time in preparing AMs as well 

s of the AM as the primary decision document for removal activities. While certain 

 are part of the standard AM package, the OSC may utilize other existing material or 

d attachments to enhance the overall clarity and usefulness of this document. The 

f an information contained in scientific documents should be explained and summarized

 of every AM. Balancing the utility of AM attachments, and consistent with EPA’s 

ns ve natural resources, care should be taken to avoid excessive attachments and paper 

rticularly for supporting documents which are already included in the administrativ

ments 

The following docum strative Record should be attached to the AM 

whe eleva

• EE/CA 

organiz ry) 

and its a ical 

remova

• Written

in the “

300.820

signific mments should be 

included in the administrative record and may be appended to the AM after the comment period 

closes [10]. 

• Final ATSDR Health Advisories and Health Consultation Memos or other health advice: If the 

OSC has received such information, it is attached and referred to in the “Threats” section of the 

AM. 

• Enforcement information: The addendum is attached and referred to, and may be prepared by 

enforcement personnel [14, 27]. The Enforcement Addendum is not part of the 

Administrative Record and should be detached from any AM distributed outside of EPA.

• Concurrence Memorandum for Nationally Significant or Precedent-Setting Actions. If 

applicable, this approval memo is attached and referred to in the "Outstanding Policy Issues" 

section (see previous section). 

ents while included in the Admini

n r nt to the specific site and referred to as indicated. 

Approval Memo and the EE/CA: To avoid repetition of information and for 

ational purposes, OSCs should attach and refer to the EE/CA (or its Executive Summa

pproval memo. The EE/CA Approval Memo and EE/CA are part of the non-time-crit

l AM package [1]. 

 response to significant comments: This document is attached to the AM and referred to 

Proposed Actions” section. If a public comment period was held pursuant to section 

(a) of the NCP (required for all non-time-critical removals), the AM documents that 

ant comments were considered. A written response to all significant co

49 Final Guidance, September 2009 
ACTION MEMORANDUM ATTACHMENTS & ADDENDA 

Recommended Attachments 

d above, OSCs are enc

 Suggested attach

In addition to the attachments describe ouraged to use other documentation to 

substantiate their findings presented in the AM. ments include the following. 

he Index may be attached and referred to in the “Site Conditions 

: This Index may not be available for initial AMs, when it is 

hed 

rred to where appropriate in the “Site Conditions and Background” section of the AM. 

his includes charts, graphs, or other forms of documentation indicating the 

extent of contamination based upon sampling results, such as Preliminary Assessments (PA) 

 identify in column format the 

substance, quantity, location, and existing standards. The attachment should be referred to in the 

•

e OSC might measure the time in terms of number of days instead of 

specific dates). The schedule should be referred to in the “Proposed Actions” section of the AM. 

If o e 

atta

atta

Headquarters Addenda 

not

request for a change in the scope of work. Addenda are succinct documents issued from 

Headquarters that clarify and supersede certain parts of the AM as described below. 

• val action 

• Grammatical revisions to avoid misinterpretation 

•

• Providing partial approval of a proposed removal action (i.e., approval for less than the requested 

amount). 

• Administrative Record Index: T

and Background” section [10]. Note

likely the Administrative Record will not have been assembled yet. 

• Previously approved AMs: If other AMs have been approved for the site, they should be attac

and referred to where appropriate to avoid unnecessary duplication of information. 

• Documentation of site characteristics: These may be hand-drawn or professionally produced 

pictures, photographs, diagrams, maps, or other illustrations of the area around the site, the site 

itself, and prominent site features related to the incident or its response. These documents may be

refe

• Sampling results: T

reports. All data presented either in the AM or in an attachment must be discussed and their 

relevance to the removal fully explained. If a chart is used,

“Site Conditions and Background” section of the AM. 

Project schedule: Charts can be used to illustrate various tasks and their anticipated duration (to 

avoid potential problems, th

ther information is readily available and, based on professional judgment, the OSC believes th

chments will strengthen or clarify the material presented in the AM, the use of additional 

chments is encouraged. 

Occasionally it is necessary to make minor modifications to AMs submitted to Headquarters that do 

 require the development of an entirely new original AM, exemption request, ceiling increase, or a

Providing supplemental information to clarify or elaborate upon the need for a remo

Incorporating new information to reflect a change in the situation since the submission of the AM 

to Headquarters. 

50 Final Guidance, September 2009 
ACTION MEMORANDUM ATTACHMENTS & ADDENDA 

Addenda are addressed from the Director, POCD, to the AA, OSWER, through the Director, OEM, 

nd conclude with an approval statement similar to that of the AM. The AA, OSWER signs the 

o 

nd 

complete before forwarding them to Headquarters. 

a

addendum, not the original AM, to signify approval of the request. These addenda are not intended t

serve a quality assurance/control function. Regional staff should ensure that AMs are accurate a

51 Final Guidance, September 2009 
REVIEW PROCEDURES 

REVIEW AND APPROVAL PROCEDURES 

d for Review 

Because CERCLA limits judicial review of response action selection is lim

Nee

ited to the contents of the 

administrative record, and the AM is the primary ecision document used to initiate removals, the 

importance of a thorough review process cannot be overstated. Thorough review procedures are 

necessary to ensure that the AM sufficiently and curately justifies the decision to undertake a 

removal. Careful reviews can also avert unnecessary delays due to typographical errors, 

organizational problems, and other minor errors. 

Each Region should allot time for adequate review of the AM (based on the exigencies of the 

situation) and adhere to a consistent review process. In addition to a thorough proofreading for 

typographical errors and other minor problems, OSCs should refer to the checklist provided in Exhibit 

10 to ensure that the AM is sufficient for administrative record purposes. 

State-lead actions 

d

ac

OSCs also need to plan for the additional time required for intergovernmental review (IGR) of AMs 

for state-lead removals.25 Funds will not be obligated until State representatives have had an 

opportunity to comment on the proposed removal in accordance with their review process. IGR 

should be initiated at least one quarter prior to the obligation of funds for a removal and should take 

place concurrently with cooperative agreement application development and review. OSCs should 

plan accordingly for the additional review time required for State-lead actions [8]. 

Resources for Review 

When possible, the OSC should have an outside reviewer (in addition to their management) examine 

the document. This will help the OSC evaluate the AM as a sufficient decision document. Two 

valuable resources an OSC has in this regard are Regional Counsel and OEM Regional Coordinators. 

OSCs should have Regional Counsel or enforcement staff review the "Enforcement" section of all 

AMs as time permits. In particular, Regional enforcement personnel should review AMs requiring 

Headquarters' concurrence and approval as well as 12-month exemption requests. With the increasing 

emphasis on removal enforcement, OSCs should ensure that each AM contains sufficient detail on 

enforcement activities to justify funding a removal [14, 27]. The “Enforcement” addendum should be 

labeled “Enforcement Confidential.” The “Enforcement” addendum can also be distributed to OGC 

and OECA/OSRE for review and comment when requesting a ceiling waiver. Sending the 

“Enforcement” addendum to headquarters will not make the addendum publicly available. 

OSCs can also contact their Regional Coordinators in OEM for advice and assistance throughout the 

removal process. OSCs are strongly encouraged to submit $2 million exemption requests requiring 

Headquarters concurrence to their Regional Coordinator for review. In addition, the OSC should 

notify the Coordinator of forthcoming exemption requests as soon as possible following the 

determination that Headquarters concurrence will be needed. 

 

25 Under 40 CFR Part 29, States with established review processes are required to issue formal notice to their 

designated State contacts, directly affected governmental entities, and Regions/area wide planning agencies that they 

are seeking Federal assistance. 

52 Final Guidance, September 2009 
REVIEW PROCEDURES 

Regional s in 

preparati n and 

ure. 

pp

00 

onal and Headquarters 

ovides a summary of exemption approvals. 

 Coordinators in the OSRTI are available to provide assistance for OSCs and RPM

on of AMs for NTCRAs. Further guidance regarding the headquarters consultatio

approvals on a NTCRA AM will be provided by OEM and OSRTI in the fut

A roval and Concurrence Procedures 

The approval and concurrence procedures for AMs are determined by the two factors listed below. 

• The type of action being requested (e.g., an initial removal action, 12-month exemption, $2 

million exemption, or change in the scope of response). 

• The unique circumstances for each removal (e.g., involvement of nationally significant or 

precedent-setting issues, use of the consistency exemption, use of the OSC's $50,000/$250,0

delegation and warrant authority). 

Exhibit 3 details approval and concurrence responsibilities at both the Regi

levels. Exhibit 7 pr

Regions

The RA, the Superfund Division Director, or the Branch Chief in Regions where authority has be

delegated according to Delegation 14-2, approve the following removal actions by signing all final 

AMs: Initial removals costing up to $2 million, 12-month exemption requests, ceiling increases up to

$2 million, and changes in the scope of response for removals costing up to $2 million. The RA also 

approves $2 million exemption requests for removals using the emergency exemptio

en 

n up to $6 

RA approval, when the consistency exemption is used and the site in question 

 on the NPL, the appropriate official in the Region's remedial program should 

million. In addition to 

is proposed for or listed

concur in writing [4]. 

Procedures for obtaining the necessary approvals and concurrences from Regional personnel vary 

among Regions. OSCs should check with program managers to determine existing procedures for 

obtaining RA concurrence and coordinating with the remedial program (if necessary). 

Headquarters 

The AA OSWER must approve all $2 million emergency exemption requests and subsequent ceiling 

increases except in cases where the AA OSWER has delegated approval authority to the RA [3]. 

Under Delegation 14-2, the AA OSWER has delegated this approval authority to RAs for removals 

using the emergency exemption up to $6 million. The AA OSWER also determines whethe

he use of the consistency exemption to exceed the $2 million limit at non-NPL sites is appr

r or not 

opriate on 

, 

ers 

 of 

of the removal action to within six 

ears of the granting of the waiver.26 

t

a case-by-case basis [4]. OECA/OSRE and OGC are consulted for all emergency and consistency 

exemption requests of $2 million. OECA/OSRE is also consulted when the cost of a site increases by

$2 million (e.g., at $4 million and $6 million). When sending an exemption request to OECA/OSRE

the Enforcement addendum should be attached. Sending the Enforcement addendum to headquart

will not make the addendum publicly available. A consistency exemption extends the statute

limitations deadline from within three years of the completion 

y

 

26 OGC concurrence is not required for ceiling increase requests that do not involve a change in the scope of the 

response. 

53 Final Guidance, September 2009 
REVIEW PROCEDURES 

. 

actions at nonNPL sites. Exhibit 11 provides a sample of the concurrence memo that accompanies AMs involving 

sues. 

least three weeks

In addition to exemption requests, one other action requires Headquarters approval or concurrence

The Director, OEM concurs on nationally significant or precedent-setting removal 

nationally significant or precedent-setting is

AMs for Headquarters' approval should be sent to the appropriate Regional Coordinator in OEM at 

 before the requested action is needed (and after appropriate Regional signatures 

The Regional Coordinator concurrences and submit the AM to the 

gional 

C o

Hea

mediation Division and the 

rector. Further guidance regarding the headquarters consultation and approvals on a NTCRA 

by OEM and OSRTI in the future. 

have been obtained). 

will obtain the necessary program

AA, OSWER for final approval. OSC’s are encouraged to submit a draft AM to their OEM Re

o rdinator to ensure potential problems can be addressed before a signed AM is sent to 

dquarters for approval or concurrence. 

NTCRA AMs should follow the same format as time critical removals and obtain Headquarters 

concurrence or approval under the same circumstances. OSCs and RPMs should consult with OSRTI 

via the Regional Coordinators, to the Director of the Assessment and Re

Office Di

AM will be provided 

54 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 10. REVIEW CHECKLIST 

The

S cklist and may add their own procedures. 

 following checklist has been developed to help ensure that all types of AMs are complete. 

O Cs and RPMs should review all AMs against the che

Removal Request

The AM should: 

_____ Provide a statement of purpose (section I)* 

_____ Indicate if the response was initiated under the OSC’s $50,000 or $250,000 authority 

(Section I). 

_____ Describe the site thoroughly and accurately and includes: (section II)* 

● Location (include site name, USEPA site ID, lat, long, address)* 

● NPL Status 

● Past and present uses 

_____ Identify the proper CERCLA response authority (section II).* 

_____ Indicate if a Federal facility is involved (section II). 

_____ Indicate if a state or local government body is an owner or operator (section II). 

_____ Identify the materials on site (section II). 

_____ State whether the materials are hazardous substances, pollutants or contaminants and 

the contaminant with the greatest impact or potential impact (section II).* 

_____ Provide an estimate of the volume of materials to be removed or remediated (section 

II). 

_____ Describe the migration patterns of the materials involving the affected media, and 

include wind speed, direction, and time of day for airborne materials (section II).* 

_____ Provide an estimate of the protective action distance for materials released to the air 

(section II).* 

_____ Provide an estimate of the evacuation radius if applicable (section II).* 

_____ Provide the name of the water body to which materials are released, if applicable, and 

area over which contaminant is present in concentrations considered harmful to 

humans (section II).* 

_______________ 

* Denotes information for all AMs. Other items should be discussed as appropriate, given site 

circumstances. 

55 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 10. REVIEW CHECKLIST 

Removal Request (continued): 

_____ Provide the area of groundwater contamination, if known, and the area in which 

people receive assistance (e.g. bottled water distribution, water filtration) (section II).* 

_____ escribe the migration patterns of the substances involved (section II).* D

_____ entify the strategy for and results of the PRP search and notification process Id

(Enforcement Addendum). * 

_____ Indicate the State and local authorities past, current, and likely future involvement, 

and funding capabilities (section II).* 

_____ current actions by the federal government or private parties 

ection II). 

Describe any previous or 

(s

_____ entify and discuss threats to public health or welfare or the environment in relation Id

to NCP criteria (section III). 

_____ Incorporate an appropriate endangerment determination based upon the substances 

involved (section IV)* 

_____ escribe tasks involved in the proposed response (section V).* D

_____ ite (section 

).* 

Substantiate the need for a removal by addressing the threats found at the s

V

_____ tify the need to defer decisions Iden pending further information (section V). 

_____ Refer to the sampling QA/QC plan for further information concerning site sampling

plans (section V).* 

_____ Discuss the need for institutional controls (section V). 

_____ dicate compliance with the off-site disposal rule (section V).* In

_____ iscuss commitments to provide post-removal site control (section V). D

_____ State the contribution to efficient performance of remedial actions (section V).* 

_____ dicate consideration of alternativ In e actions and technologies (section V). 

_____ Attach and refer to the EE/CA for an analysis of alternative actions (section V). 

_______________ 

* Denotes information for all AMs. Other items should be discussed as appropriate, given site 

circumstances. 

56 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 10. REVIEW CHECKLIST

Removal Request (continued): 

_____ Discuss the effort to identify ARARs and list those for which compliance is deemed 

practicable (section V). * 

_____ ummarize the estimated total project cei S ling with a breakdown of the costs involved 

(section V).* 

_____ Describe the expected change in the situation should action be delayed or not ta

(section VI).* 

ken 

_____ Identify important policy issues (section VII). 

_____ rovide a summary statement indicating the extent of PRP involvement in the P

proposed response action (section VIII).* 

_____ rovide recommendation statement and spaces P for signatures and date (section IX). * 

_____ esults of the PRP search and notification process 

nforcement Addendum). * 

Identify the strategy for and r

(E

_____ f the factors affecting the decision to issue an order 

nforcement Addendum). 

Discuss consideration o

(E

_____ escribe the negotiation and order issuance strategy and schedule (Enforcement D

Addendum). 

_____ ppend all attachments. A

Removal and Exemption Request: 

_____ Provide a specific statement of purpose (section I).* 

_____ Substantiate the need for 12-month and/or $2 million exemption based upon the 

emergency or consistency exemptions, or both (new section V).* 

_____ rovide a specific recommendation st P atement and documented the approval of 

appropriate program managers (section X).* 

12-Month Exemption Request: 

_____ Provide a specific statement of purpose (section I).* 

_____ Describe previous actions and current problems (section II).* 

_______________ 

* Denotes information for all AMs. Other items should be discussed as appropriate, given site 

circumstances. 

57 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 10. REVIEW CHECKLIST 

12-Month Exemption Request (continued): 

_____ Discuss any new threats to public health, welfare, or the environment as they relate to

NCP criteria (section III). 

_____ Demonstrate that the site meets the emergency or consistency exemption requirements

or both (section V).* 

_____ Describe remaining actions (section VI).* 

_____ escribe any ARARs that will be complie D d with as a result of the exemption request 

(section VI). 

_____ rovide a specific recommendation statem P ent and documented approval of appropriate 

program managers (section X).* 

Ceiling Increase Request: 

_____ Provide a specific statement of purpose (section I).* 

_____ escribe previous actions a D nd current problems (section II).* 

_____ Describe what the ceiling increase will be used for (section II).* 

_____ Discuss any new threats to public health, welfare, or the environment as they rela

NCP criteria (section III). 

te to 

_____ Demonstrate that the site meets emergency or consistency exemption requirements if a 

$2 million exemption has been granted previously (section V, if applicable). 

_____ Describe remaining actions (section V).* 

_____ ummarize costs of the current a S nd proposed ceilings (section V).* 

_____ roval of appropriate 

rogram managers (section IX).* 

Provide a specific recommendation statement and documented app

p

_____ search and notification process 

nforcement Addendum). * 

Identify the strategy for and results of the PRP

(E

$2 Million Exemption and Ceiling Increase Request: 

_____ Provide a specific statement of purpose (section I).* 

_______________ 

* Denotes information for all AMs. Other items should be discussed as appropriate, given site 

circumstances. 

58 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 10. REVIEW CHECKLIST

$2 Million Exemption and Ceiling Increase Request (continued): 

_____ Describe previous actions and current problems (section II).* 

_____ Describe what the ceiling increase will be used for (section II).* 

_____ iscuss new threats to public health, welfare, or the environment as they relate to D

NCP criteria (section III) 

_____ Demonstrate that the site meets the emergency or consistency exemption requirements

or both (section V).* 

_____ Describe remaining actions (section VI).* 

_____ Summarize costs of the current and proposed ceilings (section VI).* 

_____ Provide a specific recommendation statement and documented approval of appropriate 

program managers (section X).* 

_____ Identify the strategy for and results of the PRP search and notification process 

(Enforcement Addendum). * 

Change in the Scope of Response Request: 

_____ rovide a specific statement of purpose (section I).* P

_____ Describe previous actions and current problems (section II).* 

_____ Discuss any new threats to public health, welfare, or the environment as they relate to 

NCP criteria (section III). 

_____ escribe remaining actions (section V). * D

_____ omplied with as a result of the proposed change in 

ork (section V). 

Describe any ARARs that will be c

w

_____ State that costs will remain within the current project ceiling (section V).* 

_____ Provide a specific recommendation statement and documented approval of appropriate 

program managers (section IX).* 

 

_______________ 

* Denotes information for all AMs. Other items should be discussed as appropriate, given site 

circumstances.

59 Final Guidance, September 2009 
REVIEW PROCEDURES 

EXHIBIT 11. CO NIFICANT OR 

PRECEDENT-SETTING REMOVALS 

NCURRENCE FOR NATIONALLY SIG

SUBJECT: ng 

 

GH

 The pu um is to request your concurrence on the proposed removal action at 

___ ____________. Redelegation of Authority R-14-2 

nt or precedent-setting removals. 

 OS Management’s 

Program Operations and Coordination Division (POCD). POCD has advised the OSC that this removal is 

red

_________ ______ 

tion ce. 

 _____________________ 

r, O Date 

ministrator. If you 

not e Assistant Administrator. 

ncu

__ _____________________ 

t A Date 

ergency

 Request for Concurrence on Proposed Nationally Significant or Precedent-Setti

Removal 

FROM: Regional Administrator (or delegated Regional Manager) 

THROU : Regional Superfund Division Director (as appropriate) 

TO Director, Office of Emergency Management 

rpose of this memorand

the ___

gives you t

__________________ site in ___________

he authority to concur on nationally significa

 The C has discussed this proposed removal with staff of the Office of Emergency

conside nationally significant or precedent-setting because 

___________________________

The Ac Memorandum is attached for your review. My approval awaits your concurren

Concur 

____________________________________ 

Directo ffice of Emergency Management 

According to 

choose 

the redelegation, authority to non-concur remains with Assistant Ad

 to concur on this action, please forward this memorandum to th

Non-Co r: 

_______

Assistan

____________________________ 

dministrator for Solid Waste 

 and Em Response 

60 Final Guidance, September 2009 
APPENDIX A: SHORT-FORM ACTION 

MEMORANDUM TEMPLATE 

$250,000/$50,000 Action Memorandum27

SUBJEC Action Memorandum for a Removal Action at the XX

Scene Coordinator’s delegated authority under CERCL

T: XX site pursuant to the OnA Section 104. 

cific) 

O: Sally Director, Director 

cy 

response actions described herein for the XXXXX Site located in [city], [County], [state] 

legated authority under CERCLA Section 104. 

NRC Case Number: 

CERCLIS Number: 

Responsible Party (PRP): 

 NPL Status: 

 Removal Start Date: 

B. Site Background 

1. Removal Site Evaluation 

 

FROM: Joe Osc, OSC 

Emergency Response Branch (Region spe

THRU: Bob Manager, Chief 

Emergency Response Branch (Region specific) 

T

Superfund Division (Region specific) 

I. Purpose 

 The purpose of this memorandum is to document the decision to initiate emergen

pursuant to the On-Scene Coordinator’s de

II. Site Information 

A. Site Description 

 Site Name: 

 Superfund Site ID (SSID): 

 Site Location: 

 Lat/Long: 

 Potentially 

27 Regional Administrators may redelegate to designated On-Scene Coordinators (OSCs) the authority to determine 

the need for emergency response and to approve and initiate removal actions costing up to $250,000 where site 

conditions constitute an emergency and up to $50,000 where site conditions do not constitute an emergency. OSCs 

must check their specific Regional delegations to determine the level to which they have been granted the 

programmatic authority to respond to a release or threatened release of a hazardous substance, pollutant, or 

contaminants. Some Regions may not have fully redelegated this programmatic authority to OSCs. 

61 Final Guidance, September 2009 
Discuss the history of the incident or release, including the time, d

location of the incident, the type of incident that occurred, and the

cerning the discovery of the release

ate and 

 facts 

con

 cha cteristics 

cal location in terms of surrounding land use, 

3 e environment of a hazardous substance, 

ection 101(14) of CERCLA, or 

minants as defined by section 101(33) of CERCLA known 

 contaminants alone are generally 

n. A release of a hazardous 

ocumented in the AM in support of a PRP-lead 

lic Health Welfare or the Environment 

ts 

release or potential release and the potential environmental or 

ptors. 

(from 40 CFR 300.415) which were considered in 

 nearby human populations, animals or the food 

ces or pollutants or contaminants [300.415(b)(2)(i)]. 

mination of drinking water supplies or sensitive 

ntaminants in drums, barrels, tanks, or 

iners, that pose a threat of release [300.415(b)(2)(iii)]. 

_ High levels of hazardous substances or pollutants or contaminants in soils largely at 

t may migrate [300.415(b)(2)(iv)]. 

use hazardous substances or pollutants to migrate or 

e ]. 

__ Threat of fire or explosion [300.415(b)(2)(vi)]. 

__ The availability of other appropriate federal or state response mechanisms to 

2. Physical location and Site

Describe the site's physi

ra

population size, and distances to nearest populations and other reference 

points. 

. Release or threatened release into th

pollutant or contaminant. 

List the hazardous substances as defined by s

pollutants or conta

to be present at the site. (Note: Pollutants or

insufficient to support a 106(PRP lead) actio

substance should be d

removal.) 

III. Threats to Pub

A. Nature of Actual or Threatened Release of Hazardous Substances, Pollutan

or Contaminants. 

Explain how this incident meets the requirement of a threat to public health or 

welfare or a threat to the environment for initiating a removal. Include information 

on the manner of 

human health rece

B. Check applicable factors 

determining the appropriateness of a removal action:

__ Actual or potential exposure to

chain from hazardous substan

__ Actual or potential conta

ecosystems [300.415(b)(2)(ii)]. 

__ Hazardous substances or pollutants or co

other bulk storage conta

_

or near the surface tha

__ Weather conditions that may ca

to b released [300.415(b)(2)(v)

respond to the release [300.415(b)(2)(vii)]. 

__ Other situations or factors that may pose threats to the public health or welfare of 

the United States or the environment [300.415(b)(2)(viii)]. 

62 Final Guidance, September 2009 
IV. Endangerm

Contamin

(This section is optional and is only for Removal Actions involving pollutants or 

contami nts and contaminants from this site, if 

no ddr um, 

may pre e 

environ

V. Selec R

A. Situati

1. Cur

Des

2. Rem

Des rties that 

are ing performed but have not been previously discussed. Indicate the dates 

and effectiveness of these activities. 

3.

perly. 

P

1. Proposed action description 

the 

time, 

 ultimate disposition of contaminants. 

2

. 

3.

e site that are deemed practicable, if 

e: 

ance with ARARs is 

ent Determination under CERCLA Section 104: Pollutant or 

ants 

nants) Actual or threatened releases of polluta

t a essed by implementing the response action selected in this Action Memorand

sent an imminent and substantial endangerment to public health, or welfare, or th

ment. 

ted emoval Action and Estimated Costs 

on and Removal Activities to Date 

rent Situation. 

cribe the current situation. 

oval activities to date: 

cribe any ongoing removal activities taken by other government or private pa

currently be

a. Federal Government/Private Party 

b. State/local 

 Enforcement 

Describe ongoing enforcement activities and/or include the following language: 

Where the responsible parties are known, an effort initially shall be made, to the 

extent practicable, to determine whether they can and will perform the necessary 

removal action promptly and pro

B. lanned Removal Actions 

Include a description of the action to be taken. Describe the tasks involved in 

proposed response to the public health, welfare, and environmental threats 

discussed in section III of the AM. To the extent that it is known at the 

describe the removal, including

. Contribution to remedial performance 

The proposed actions will, to the extent practicable, contribute to the efficient 

performance of any long-term remedial action at the site

 ARARs 

List Federal and state ARARs identified for th

any and if known at time of removal. Provide at least the following languag

Removal actions conducted under CERCLA are required to attain ARARs to

the extent practicable. In determining whether compli

63 Final Guidance, September 2009 
practicable, the OSC may consider appropriate factors, including th

of the

e urgency 

 situation and the scope of the removal action to be conducted. . 

C. osts* 

 equipment) 

4. Project Schedule 

Specify the anticipated time needed to perform the preventative, stabilizing, 

and/or mitigative (cleanup) response actions to the threats posed by the site. 

Estimated C

Contractor costs (ERRS/START staff, travel,

Other Extramural Costs (Strike Team, other Fed Agencies) 

Contingency costs (20% of subtotal) 

Total Removal Project Ceiling 

*EPA direct and indirect costs, although cost recoverable, do not count toward the Removal Ceiling for this 

y be held financially responsible for costs incurred by the EPA as set forth 

VI. Expect

 A delay uld increase the actual or potential threats to 

the public health and/or the environm

VII. Ou ssues 

 None 

VIII. Approvals

ts the selected removal action for this Site, developed in 

ed, and not inconsistent with the National 

on g

Conditi nd 

through ct 

ceiling owance. 

___

Joe Osc

Fed ral

removal action. Liable parties ma

in Section 107 of CERCLA. " 

ed Change in the Situation Should Action Be Delayed or Not Taken 

 in action or no action at this Site wo

ent. 

tstanding Policy I

This decision document represen

accordance with CERCLA as amend

C tin ency Plan. This decision is based on the administrative record for the Site. 

ons at the site meet the NCP section 300.415(b) criteria for a removal action a

 this document, I am approving the proposed removal actions. The total proje

is $250,000, this amount will be funded from the Regional removal all

_____________________________ ______________ 

, Date 

e On-Scene Coordinator 

64 Final Guidance, September 2009 
IX. Endangerm

“Actual or threatened releases of hazardous substances from this site may present an 

ent to public health, or welfare, or the environment.” 

________________________________ ______________ 

 Date 

Onl

ent Determination under CERCLA Section 106: Hazardous Substances 

imminent and substantial endangerm

_

Bob Manager, Chief 

Emergency Response Unit 

[ y in case of Endangerment Determination] 

65 Final Guidance, September 2009 
APPENDIX B: REFERENCES28

Guidance 

[1] OSWER Directive 9360.0-32, “Guidance on Conducting Non-Time Critical Removal Actions 

U

[2] O ts for CERCLA 

A

[3] OSWER Directive 9360.0-12, "Guidance on Implementation of the Revised Statutory Limits on 

Removal Actions" (April 6, 1987) 

[4] OSWER Directive 9360.0-12A, "Final Guidance on Implementation of the 'Consistency' 

Exemption to the Statutory Limits on Removals" (June 12, 1989) 

[5] OSWER Directive 9360.3-02, Superfund Removal Procedures: Guidance on the Consideration of 

ARARs During Removal Actions” (August 1991) 

[6] OSWER Directive 9833.3A-1, "Final Guidance on Administrative Records for Selecting CERCLA 

Response Actions” (December 3, 1990 under revision 2008) 

[7] OSWER Directive 9360.2-02, "Policy on Management of Post-Removal Site Control” (December, 

1990) 

[8] OSWER Directive 9375.1-4-W, "Guidance for State-Lead Removal Actions" (July 10. 1987) 

[9] OSWER Directive 9380.2-11, "Administrative Guidance for Removal Program Use of Alternatives 

to Land Disposal" (August 1988) 

[10] OSWER Directive 9360.3-05, “Superfund Removal Procedures: Public Participation Guidance for 

On-Scene Coordinators: Community Relations and the Administrative Record: (June 1992) 

[11] "Policy on Use of Institutional Controls at Hazardous Waste Sites," Memorandum from E. LaPointe 

to H. Longest et al. (October 28, 1988) 

[12] "Use of Removal Authority to Completely Clean Up NPL Sites," Memorandum from T. Fields to 

Regional Branch Chiefs (January 29, 1988) 

[13] OSWER Directive 9360.0-42, “Amendment to the Action Memorandum Guidance and Removal 

Cost Management System to Address Calculation of Removal Action Project Ceilings” (November 

5, 2001) 

[14] OSWER Directive 9360.3-06, “Superfund Removal Procedures: Removal Enforcement Guidance 

for On-Scene Coordinators” (April 1992) 

 

nder CERCLA” (August, 1993) 

SWER Directive 9280.0-02B, "Policy on Floodplains and Wetlands Assessmen

ctions" (August 6, 1988) 

28 Bracketed numbers appear throughout the text and correspond to the references listed in this appendix. These 

references may be consulted for additional information on specific topics affecting the preparation and content of 

AMs. 

66 Final Guidance, September 2009 
[15] OSWER Directiv esponse Reporting: 

POLREPS and O

R Directive 9360.3-08, “Superfund Removal Procedures: Removal Response Decision: Site 

17] ermination of Imminent and Substantial Endangerment for 

18] 5, “Clarifying Cleanup Goals and Identification of New Assessment 

19] valuating Potential Indoor Residential Contamination” memo 

20] porary Relocations 

21] , Fiscal Year 2008” (and attachments) memo 

22] res Handbook” (May 2008) 

um, 

25] 12, Chapter 2 of the "Emergency Responder Health and Safety 

26] ealth 

27] ect Management Handbook (July 1989) 

29] irectives 9234.1-01 and 9234.1-02, CERCLA Compliance with Other Laws Manual: 

e 9360.3-03, “Superfund Removal Procedures: Removal R

SC Reports” (January 1993) 

[16] OSWE

Discovery to Response Decision” (March 1996) 

[ OSWER Directive 9360.0-34, “Det

Removal Actions” (August 19, 1993) 

[ OSWER Directive 9345.4-0

Tools for Evaluation Asbestos at Superfund Cleanups” (August 10, 2004) 

[ “Vermiculite Ore Asbestos Sites: E

dated October. 3, 2006 from Deborah Y. Dietrich, Director, OEM 

[ OSWER Directive 9230.0-97, “Superfund Response Actions: Tem

Implementation Guidance” (April 2002) 

[ “New Outcome Measures for the Removal Program

dated December 28, 2007 from Deborah Y. Dietrich, Director, OEM 

[ “FY2008 Emergency Response and Removal Outcome Measu

[23] OSWER Directive 9360.3-03, “Guidance for Preparing Polreps/Sitreps” (December, 2007) 

[24] “Turnback Guidance for EPA Personnel Responding to Radiological Emergencies”, memo dated 

December 7, 2006 from Susan Parker Bodine, Assistant Administrator, OSWER and Bill Wehr

Acting Assistant Administrator OAR. 

[ OSWER Directive Number 9285.3

Manual: Radiation Health and Safety Implementation Plan" (July 28, 2005) 

[ "Safety, Health and Environmental Management Program Guidelines: Radiation Safety and H

Protection Program: Guideline 38," (EPA/Safety, Health and Environmental Management Division, 

March 2006), (“SHEMP Guideline 38”) 

Manuals 

[ OSWER Directive 9837.2, Enforcement Proj

[28] Removal Cost Management System. http://www.ertsupport.org/RCMS_Home.htm 

[ OSWER D

Parts I and II (August 1988 and August 1989 respectively) 

Statutes and Regulations 

The Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended, 42 

USC Sections 9601-9675 

The National Oil and Hazardous Substances Pollution Contingency Plan, 40 CFR Part 300 

67 Final Guidance, September 2009 
68 Final Guidance, September 2009