United States
            Environmental Protection
            Agency    _
             Office of
             Solid Waste and
             Emergency Aesoor.se
 &EPA
DIRECTIVE NUMBER:  9012.10-b

TITLE: Redelegation of Civil Judicial Settlement
     Authorities under Delegation 14-13-B and 14-14-E
            APPROVAL DATE:  August 18, 1988

            EFFECTIVE DATE:  AugUst is. 1988

            ORIGINATING OFFICE: OWPE

            EJ FINAL

            DDRAFT

              LEVEL OF DRAFT

             ,   6Q A — Signed by AA or OAA
                Da — Signed by Office Director
                Q C — Review 4 Comment

            REFERENCE (other documents):
             OSWER Directive 9012.10-a "Revision of CERCLA Civil'
             Judicial Settlement Authorities Under Delegation
             14-13-B and 14-14-E
SWER       OSWER       OSWER
  DIRECTIVE    DIRECTIVE    Dl

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***** r-v OSWER Directive initiation Rec
i . Directive Numcer
3UeSt 9012. 10-b
2. Originator information
Name of Contact Person Mail Code Office
Llovd Guerci OS-510 OWPE
Teiepnone Cooe
382-4810
3. Title
Redelegation of Civil Judicial Settlement Authorities under Delegation
14-13-B and 14-14-E
i
i
4. Summary of Directive (inciuce onel statement of purpose) •
Redelegatibns consultation and concurrence en judicial settlements and deminimis ',
settlements to Director, Office of Waste Programs from AA-OSWER
5. Keyworcs
Judicial Settlement; Consent Decree; DeMinimis
6a. Does This Directive Superseoe Previous Directive^)?
X No Yes

D. Does IT Supplement Previous Directrveisc?
No Y Yes
^••^tfBH ^tf^M^M T^ *
Authorities Under Delegations 14-T3-B
7. Draft Level
^ A - Signed by AA€AA 8 - Signed by Office Director C - F

What directive (number, title)
What directive (number, title) 9012. 10 a
sion of CERCLA Civil Judicial
or Review & Comment 0 - In Development

8. Document to be distributed to States by Headquarters?


Yes
X

No
    This Request Meets OSWER Directives System Format Standards.
    9. Signature of Lead Office Directives Coordinator
Date
    10. Name ana Title of Approving Official
Date
       /A-^^x^
                                                     9
                                                    /
    EPA Form 1315-17 (Rev. 5-87) Previous editions are obsolete.
 OSWER        OSWER            OSWER            0

/E    DIRECTIVE        DIRECTIVE       DIRECTIVE

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            UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                       WASHINGTON, D.C. 20460
                                                     OSWER Directive
                                                     901-2vlO-b
                                                         C7FiCE CF
                                                SCLIO WASTE AND EMERGENCY RESPONSE
MEMORANDUM

SUBJECT:  Redelegation  of Civil  Judicial Settlement  Authorities
          Under  Delegation 14-13-B  and  14-14-E  (OSWER  Directive
          9012.. lOa)
FROM:     J. Winston Porter
          Assistant Administrator

TO:       Bruce M. Diamond,  Director
          Office of Waste  Programs  Enforcement

     On  September  14 and  21,  1987  the  Administrator  signed  new
and  revised delegations of  authority regarding, activities  under
CERCLA as amended by the Superfund  Amendments  and  Reauthorization
Act  (SARA) .  Supplemental  delegations for Delegations 14-13-B and
14-14-E  (civil  judicial  settlements & de  minimis  settlements
respectively)  were  put into effect on June 17, 1988  under  OSWER
Directive   9012. lOa.    The  purpose  of  this  memorandum  is  to
redelegate  to  the  Director  of the Office  of  Waste  Programs
Enforcement or his designee  selected authorities concerning  civil
judicial settlements and de  minimis settlements.

     I want to emphasize the  importance  of  continued cooperative
consultation  between the  offices undertaking these  authorities.
Consultation  between  OWPE  and  OECM  prior  to  civil  judicial
settlements and de minimis settlements will  contribute to careful
review of consent decrees.

     These  revised  delegations  designate   responsibilities  to
exercise concurrence or to  be consulted.  The authority to non-
concur  on  specific settlements is  retained at  the  Assistant
Administrator level.  You  may  authorize  a designee to act on your
behalf with regard to -concurrence or consultation.

     The redelegations  contained in this document supersede  any
and all previous redelegations.

Attachment

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                                                   OSWER Directive
                                                   9012.10-b
     The Comprehensive Environmental Response. Compensation.

                    And Liability Act fCERCIA)


R-14-13-B.  Concurrence .in Settlement of Civil Judicial Actions

1.   Authority.,    To  exercise  bhe  Agency's  concurrence  or  be
     consulted  in  the  settlement  of civil  judicial enforcement
     actions  under  the  Comprehensive  Environmental  Response,
     Compensation,  and  Liability Act (CERCLA) as amended, and to
     request  the  Attorney  General  to  amend  a consent decree
     issued under CERCLA.

2.   TO WHOM DELEGATED.

     The  following authorities  are delegated to  the Director,
     Office of Waste Programs Enforcement.

     A.   Consultation  Requirement Prior to  Signing Settlements
          Under the Following Conditions

     1.   §106 RD/RA settlements where response costs are between
          $30  and  $60  million  (Concurrence  is required if the
          terms outlined  in B.4.  below exist.   This corresponds
          to D.3 of Directive No. 9012.lOa).

     2.   §107 settlements where total claims  are between $30 and
          $60  million  (Concurrence  is  required  if   the  terms
          outlined in  B.4.  below  exist.   This corresponds to D.3
          of Directive No. 9012.10-a).

     3.   Settlements which compromise  greater than 25%  and less
          than 50% of  the total past and future costs, and mixed
          funding  settlements which  require greater than 25% and
          less  than  50%  contribution  by  the U.S.,  where such
          compromise or contribution exceeds  $2.0 million (except
          where  concurrence is required  by  B.4.  below.   This
          corresponds to D.3 of Directive No.  9012.lOa.)

     B.   Concurrence Requirements, in Judicial Actions

     1.   First settlement  involving §103 Reportable Quantities.
          (Additional cas.es are fully delegated to  the  Regions)
     2.
§106 RD/RA  settlements  where response costs exceed $60
million.
     3.   §107  settlements  where total  past  and  future costs
          exceed $60 million.

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                        _2_               OSWER Directive
                                          9012.10-b
4.   Settlements which  compromise greater "than 50%  of  the
     total  past  and  future  costs,   and   mixed  funding
     settlements which  require a  50%  or greater  than $2.0
     million contribution by the U.S.  Total past and future
     costs  are  to  be included  in  the  calculation  of  th-e
    .contribution by the U.S.

5.   Multi-Regional or  nationally-managed cases,  including
     bankruptcies.

6.   Settlements   based   upon  extraordinary  circumstances
     which  purport to grant  convenants  not  to  sue without
     limitations as to future liability  (§122(f)(6)(B)).

7.   Precedent  setting  cases  (e.g.,  certain municipalities
     as  generators,  dioxin,  substantial  deviations  from
     Agency policy).

8.   Settlements involving  §122(f)(2)  special covenants not
     to sue.

Limitations

     The  Assistant  Administrator   for  Solid  Waste  and
     Emergency  Response retains  the  authority to non-concur
     in all settlements.

Redeleaation Authority

     These  authorities  may be redelegated  to the  Director,
     CERCLA Enforcement Divison.

Additional References

     a.   Sections  103, 106, 107 and 122 of CERCLA

     b.   'All applicable Agency guidance and  directives.

     c.   Authority to recover costs is  delegated  in 14-14-
          D,  "Cost  Recovery  Non-Judicial   Agreements  and
          Administrative  Consent  Orders."    Authority  to
          enter  into De  Minimis  settlements  under .CERCLA
          section  122(g) is delegated in Delegation 14-14-E,
          "De Minimis Settlements".

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                                -3-             OSWER Directive
                                                9012.10-b
   The Comprehensive Environmental Response. Compensation, And
                     Liability Act  fCERCLA)
R-14-14-E^     De Minimis Settlments

1.   AUTHORITY

          Pursuant to the Comprehensive  Environmental Response,
          Compensation, and  Liability Act  as  amended  (CERCLA), to
          enter  into or exercise Agency  concurrence in de minimis
          settlements under  Section 122(g)

2.   To Whom Delegated

          Director, Office of Waste Program.Enforcement

3.   Limitations

     a.   After  the first cases under §122(g)(1)(a) and  §122(g)
          (1)(B), the authority is delegated  to  the Regional
          Administrators.  Consultation  with  the Director of
          Office of Waste Programs Enforcement is required on
          these  settlements.

     b..   The Assistant Administrator for  Solid  Waste and
          Emergency Response retains  the authority to non-concur
         .on all §122(g)(l)(a) and §122(g)(1)(b)  settlements.
                                    i
4.   REDELEGATION AUTHORITY

          This authority may be redelegated to the Division
          Director level.

5.   ADDITIONAL  REFERENCES

     a.   Sections 106, 107  and 122 of CERCLA

     b.   All applicable agency guidance and  directives.

     c.   Authority to recover costs  other than  de minimis
          settlements is delegated in 14-14-D, Cost Recovery Non-
          Judicial Agreements and Administrative Consent Orders,"
          and in 14-13-B "Concurrence in Settlement of Civil
          Judicial Actions."

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