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.
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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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