3EPA United State* Environmental Protection Agency Off ice of Solid Watte and Emergency Response Agency DIRECTIVE NUMBER: 9S32.4 TITLE: PROCEUDRES FOR DOCUMENTING COSTS FOR CERCLA SECTION 107 ACTIONS APPROVAL DATE: JANUARY 30, 1985 EFFECTIVE DATE: JANUARY 30, 1985 ORIGINATING OFFICE: QWPE S FINAL D DRAFT STATUS: REFERENCE (other documents): OSWER OSWER OSWER VE DIRECTIVE DIRECTIVE Dl ------- 6-EPA United States Environmental Protection Agency Washington, DC 20460 OSWER Directive Initiation Reauest Originator Information N-3MS£T»&as Lead Office G OERR G OSW Q OUST OWPE Q AA-OSWER Mail Code WH-527 Interim Directive Number 9832.4 Telephone-Number Approved for Review Signature of Office Director- / Date Title Procedures for Documenting Costs for CERCLA Section 107 Actions Summary of Directive Ittis procedural manual sets forth the procedures for documenting costs for CERCLA §107 cost recovery actions. These procedures require the close cooperation and coordination among Headquarters and Regional program, legal, and financial offices. The procedures manual should be used in conjunction with the Case Development Handbook. . Key Words: procedures, costs, CERCLA, §107, legal, financial office Type of Directive (Manual. Policy Directive. Announcement, etc ) ProceduralManual * Status Q Draft EJ Final Does this Directive Supersede Previous Directive^)? | ] Yes |_J No Does It Supplement Previous Directivels)' If "Yes" to Either Question. What Directive (number, title! LJ New LJ Revision Q Yes U r Review Plan LJ AA-OSWER O OUST D OERR D OWPE D OSW D Regions D OECM D OGC G OPPE Other (Specify) This Request Meets OSWER Directives System Format Signature of Lead Offiee Directives Officer Signature of OSWER Directives Officer Date i"- 3t) - V^> Date ------- X«=- "i UNITED STATES ENVIRONMENTAL PROTECTION / * WASHINGTON. D.C. 20460' SOLID WASTE AND EVERGENO RES°ONS; OSWER # 9832.4 JAK1 3 0 1985 MEMORANDUM SUBJECT: Procedures for Documenting Costs for CERCLA S107 Actions FROM: Gene A. Lucero, Di rector (o\kJL t\> L,[tfJwO Office of Waste Programs Enforcement TO: Directors, Air & Waste Management Divisions, Regions I - X Regional Counsel, Regions I - X Director, Administrative Services Divisions, Regions I, IX Assistant Regional Administrators for Policy Management, Regions II, III, IV, VII, and VIII Director, Policy and Management Division, Region V Director, Management Division, Region X This memorandum sets forth the procedures for documenting costs for CERCLA §107 cost recovery actions. These procedures require the close cooperation and coordination among Headquarters and Regional program, legal, and financial offices. The attached procedures should be used in conjunction with the Case Development Handbook. The Procedures Manual addresses the following topics: 0 Categories of Expenditures c Inventory of Site Related Costs 0 Regional and Headquarters Documentation Process e Privacy Act/Confidential Business Information 0 Bankruptcy Procedures Additional guidance is being developed for several other . - issues associated with cost recovery which are not addressed in the attached Procedures Manual. These issues include: providing cost documentation of state and other Federal agencies' Superfund expenditures, streamlined documentation procedures for the issuance of demand letters, application of interest and procedures for small cases. ------- -2- OSWER f 9832.4 It is the Agency's intention that some type of action is taken to recover expenses for every site where Fund monies have been expended. The Agency plans to have all cases dealt with in a timely and efficient manner. Guidance is being prepared that will provide criteria for more streamlined settlement arrangements for small cost recovery cases. The Agency recognizes that the attached Procedures Manual does not necessarily represent the best and final system for cost recovery documentation. Over the coming months, with the initiatives outlined above, the Agency will be working to provide a more efficient cost recovery process. Any suggestions for improvement to the cost recovery process will be appreciated, Over the next several months, seminars will be held in each Regional office on the Procedures Manual and other issues associated with cost recovery. If you have any questions regarding the manual, please contact Janet Farella, 382-2016. cc: William Hedeman, OERR Dave Buente, DOJ Fred Stiehl, OECM Dave O'Connor, PCMD Gordon Takeshita, FMD Peter Cook, OWPE Jack Stanton, OWPE ------- OSWER # 9832.4 PROCEDURES FOR DOCUMENTING COSTS FOR CERCLA S 10(tetftfcT>QK&-? A INTRODUCTION The Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA) authorizes the Federal Government to seek reimbursement from liable parties of "all costs of removal or remedial action incurred by the United States government." One of the Agency's goals in the Superfund program is to maximize, through CERCLA §107 actions, reimbursement of .the Trust Fund. In August 1983, the Office of Enforcement and Compliance Monitoring, together with the Office of Waste Programs Enforcement, issued a guidance document entitled "Cost Recovery Actions under CERCLA." That document, hereafter referred to as the Cost Recovery Guidance, discusses general policy issues relating to cost recovery actions under $107(a)(4)(A) of CERCLA. The guidance describes the United States burden of proof for cost recovery actions to consist of three elements: 1 . Proof of a release or threat of a release of a hazardous substance. 2. Proof of the liability of the responsible parties. 3. Proof of expenditures. The Cost Recovery Guidance provided assistance for the compilation of documentation to support the first two elements ------- OSWER # 9832.4 0 Describes Headquarters and Regional responsibilities for documenting costs. 0 Sets forth procedures for assuring protection of.information under the Privacy Act and confidential business information considerations . 0 Describes the process for determining the proper amount of interest on Trust Fund expenditures. c Describes arrangements for the collection of payments into the Trust Fund. The following procedures are to be used by case development teams, in cooperation with the Office of Waste Programs Enforcement and Financial Management offices, when initiating and prosecuting a CEPCLA ?107(a)(4)(A) cost recovery action. Conformance with these procedures will assure timely and complete documentation of costs for 5107 actions. -3- ------- OSWER f 9832.4 I. CATEGORIES OF EXPENDITURES Although the list of possible individual cost categories under Superfund is a large one, expenditures can be divided into four broad categories: EPA In House Expenditures Contracts Other Federal Agencies (Interagency agreements) States (Cooperative Agreements) The following section will briefly outline how these four categories of cost are accounted for by FMD. EPA In-House Expenditures This category includes all EPA employees whose salaries (either fully or in part) are paid out of the Superfund account. Employee time may be charged generically to the program^ or specifically to a site. Site-specific payroll charges are included in the site specific SPUR reports. .This category also includes all EPA travel charged to the Superfund account. Like payroll, travel may be charged to non-site-specific or site-specific accounts. Also included in this category of cost are supplies, I/The Financial Management Division (FMD) is implementing an indirect cost allocation system that will allocate appropriate Agency and program support costs for sites. This system will be run centrally by the Financial Reports and Analysis Branch of FMD and will not be reflected in the FMS or SPUR reports. Amounts to be claimed for cost recovery purposes should be available during FY 85. -4- ------- OSWER f 9832.4 equipment, training or other miscellaneous charges made by EPA offices which may be charged site-specifically in certain circum- stances. All costs charged to site-specific accounts are identified as direct costs in the site-specific SPUR reports. Contracts2 This category includes all contracts which are obligated against the Superfund appropriation. Contracts can be subdivided into three groups: 1 . Program Support Contracts These contracts, as the name suggests, provide generic, non- site-specific program management support. Development of program activity tracking systems is an example of the type of work tasked under a program support contract. These contracts are tracked in FMS under non-site-specific accounts. 2. Site Specific Contracts This category includes On Scene Coordinator Emergency Removal Contracts, the Emergency Response Cleanup Services Contracts, the Remedial portion of the REMEDIAL ACTION/FIELD INVESTIGATION TEAM (REM/FIT) contracts and the REMEDIAL ACTION II contract. Work under these contracts is tasked and invoiced site- specifically and the contract costs are recorded site-specifically in the FMS. ^/Please see Appendix C for a more detailed description of Superfund contracts. -5- ------- 3. Direct Site/Non-Site-Specific Contracts OSWER # 9832.4 This category includes Superfund contracts which provide direct site response work but are not accounted for site specifically in the FMS. This category includes the following contracts: Technical Assistance Team (TAT) Contract, Technical Enforcement Support (TES) Contract, FIT portion of the REM/FIT, Contract Lab Program (CLP) Contracts, Environmental Monitoring and Systems Laboratory (EMSL) Contract, National Enforcement Investigation Center (NEIC) Contract and the Environmental Emergency Response Unit (EERU) Contract. These contracts are invoiced monthly for all work performed under the contract during that month. The contractors do maintain records of site-specific work performed under these contracts. For cost recovery actions, the contractors will be requested (by OWPE through the appropriate contract project officer) to supply site-specific cost summaries and documentation. In general, all three types of contracts are processed and paid in the following manner. Invoices from the contractor are reviewed and approved by the project officer. Invoices are then forwarded to the Financial Management Office in Research Triangle Park, NC., which processes the payment of all Superfund contracts. This office prepares a Treasury Schedule which authorizes payment and indicates the contractor, contract number and amount of payment for a particular invoice. -6- ------- OSWER * 9832.4 Other Federal Agencies Under interagency agreements (IAG), other federal agencies perform various activities and services in support of the Superfund program. There are two mechanisms available for IAG funding: reimbursement and transfer allocations. Through lAGs, other federal agencies may provide either general program support or site-specific activities. With reimbursement accounts, other federal agencies will perform certain services for the Superfund program (general program "or site-specific) and request reimbursement for the services after they are performed. Money is obligated for these lAGs before work is performed but disbursed after the work is completed. Site- specific reimbursable lAGs are accounted for site-specifically in the FMS. Reimbursable lAGs are processed through the Financial Management Office in Cincinnati, OH. Vouchers for reimbursement are approved by the project officer and forwarded to Cincinnati for processing. The Cincinnati office directs the U. S. Treasury to transfer the approved vouchered amounts from the Superfund account into the other agency's account. Under transfer allocations, Superfund money is transfered to another agency before services are rendered. Transfer allocations, either generic or site-specific, are not accounted for in the FMS. However, under transfer allocations, the receiving Federal agency provides a monthly accounting to OERR and FMD of expenditures to date. These monthly reports serve as the -7- ------- OSWER I 9832.4 basis for cost documentation of site-specific transfer allocations. Further guidance on the back-up documentation to be supplied by other Federal agencies will be provided in the near future. States This category includes monies spent through Superfund State Cooperative Agreements. Generally cooperative agreements are entered into between EPA and a state for site-specific activity (e.g. removal action, RI/FS, remedial construction and design). In April 1984, the Regions were delegated the authority to enter into cooperative agreements with states. Under a cooperative agreement, the agreed upon amount of money is set aside for drawdown by the state under a letter of credit. The state must then report its record of expenditures to EPA when a drawdown on the account is made. The Regional Financial Management Offices maintain a record of the drawdown of the accounts. Further guidance on the procedures to be used with regard to cost recovery of cooperative agreement monies will be provided in the near future. -8- ------- II . CASE SELECTION AND PRIORITIES QSWER # 9Q32 4 The Cost Recovery Guidance addresses the process o'f initial selection of a case for cost recovery action. In an effort to maximize return to the Fund and to promote efficient use of its resources, the Agency has set as its priority for new referrals those cases where: 1. Costs incurred exceed 5200,000 and, 2. Site response action (either removal or remedial action) is completed, or, in the case of remedial actions, the Trust Fund's involvement has been completed. Particular cases for referral are identified in the Superfund Comprehensive Accomplishments Plan (SCAP). Because of the complex and agency-wide nature of cost documentation collection, EPA Headquarters (i .e. OWPE) plays a major role. OWPE will rely on the SCAP for $107(a){A) case priorities for cost documentation collection. Since document collection and packaging is a time consuming process, the Regions must allow for at least six weeks between an initial request for documents and their receipt. If Regional cost recovery case priorities change after the submission of the SCAP to Headquarters, the Region must submit changes to OWPE in writing . Complete collection of cost documents for those cases involved in priority changes cannot be guaranteed if the change request is received after the third week of the quarter in which the Region is planning to refer the case. -9- ------- As indicated in the bankruptcy section beloSPhlwev'ir4, OWPE will make every effort to ensure that ost documentation for purposes of submitting a proof of claim is gathered on a timely basis. Generally, before a cost recovery case is referred to Headquarters or DO J, and certainly before a case is filed, demand letters are sent to the responsible parties. At the present time the same cost documentation procedures are to be used for the issuance of demand letters as for case referrals. In the interest of maximizing the timely recovery of funds, the Agency intends to establish a more streamlined process for documenting costs for the issuance of demand letters. Demand letters should be considered for every response action where there is at least one viable responsible party and should be sent as soon as practicable after the completion of the response action. The Agency intends to issue more detailed guidance on the demand letter process and model demand letters in the near future. Another category of cases requiring cost documentation is those sites where negotiations are projected or underway and cost recovery provisions are included under a consent decree or consent administrative order. These sites are to be identified on a quarterly basis and indicated under the negotiations or administrative enforcement section of the SCAP. Cost document collection procedures are identical for new referrals and cases under negotiation. -10- ------- OSWER I 9832.4 III. INVENTORY OF SITE PELATED COSTS Since site response activity under CEPCLA can be very complex and require the assistance of various EPA offices, contractors, states and other federal aaencies, some method of organizing site activities and expenditures must be utilized. Therefore, the Reaions, which have primary responsibility for directing site activity, should establish a file that records all work as it is reauested and conducted. The first step in documenting site expenditures is to take an inventory of all activities that have occurred both at the site and in support of site activity. These site related expenditures may have been incurred by at least the-followinc: 1. EPA Headausrters personnel: Office of Emeraency and Remedial Response (OERR) Office of VJaste Programs Enforcement (OVTPE) Office of Enforcement and Compliance Monitorinq (OF.CH) Office of General Counsel (OGC) Emergency Response Team (ERT) National Enforcement Investiaation Center (NEIC) Environmental" Monitoring Systems Laboratory (EMSL) Environmental Photographic Interpretation Center (EPIC) 2. EPA Regional Offices: Air and Waste Management Divisions Emergency Response Divisions Office of Regional Counsel -11- ------- tiK f 9832.4 Regional Laboratories Office of Public Affairs, Congressional/Intergovernmental liaison 3. Contractors: REMEDIAL/FIELD INVESTIGATION TEAM Contract (RF.M/FIT) REMEDIAL CONTRACT (RF.M II) TECHNICAL ASSISTANCE TEAM CONTRACT (TAT) EMERGENCY REMOVAL CLEANUP SERVICES CONTRACT (ERCS) ON SCENE COORDINATOR CONTRACT (OSC) CONTRACT LABOPATOPY PROGRAM CONTRACT (CLP) TECHNICAL ENFORCEMENT SUPPORT CONTRACT (TES I and II) ENVIRONMENTAL EMERGENCY RESPONSE TEAM CONTRACT NATIONAL ENFORCEMENT INVESTIGATION CENTER CONTRACTS OVERFLIGHT CONTRACT with LEMSCO OTHER' MISCELLANEOUS CONTRACTS 4. States: Cooperative Agreements 5. Inter-Agency Agreements with other Federal Agencies: Corps of Engineers (COE) Coast Guard (USCG) Department of Justice (DOJ) Department of the Interior (DOI) Federal Emergency Management Agency (FEMA) National Oceanic and Atmospheric Aqency (NOAA) Health and Human Services (HHS) Occupational Health and Safety Administration (OSHA) -12- ------- OSWER f 9832.4 It should be noted that site related expenditures may be incurred by. the Criminal Enforcement nivision of OECM as .well as the criminal investiaators associated with NEIC. The costs incurred by these personnel should not be included in costs th< Agency is seeking to recover and all reference to these individuals and their offices should be removed fron the SPUR and other documentation. If any Questions arise on this issue please contact Carroll Kills of NFIC, FTS-234-215«. -13- ------- IV. COST DOCUMENTATION PROCESS OSWER * 9832.4 The case development team's first task in §107 cost documentation is to fill out a Cost Recovery Checklist (See Appendix D). To assure successful documentation, it is imperative that the checklist be accurate and complete. The checklist serves as the basis for all cost document collection. Incomplete checklists will not be processed and will be returned to the Repion for completion. For new S107 case referrals, the checklist should be completed and sent to OWPF a How inn at least six weeks for document collection. The checklist should also be delivered to the appropriate Peoional office with responsibility for compilina Regional costs and documents. This will helo ensure that all cost documentation will be completed on a tinely basis. This timing assumes that demand letters will be sent simultaneously with the.referral to Headquarters. Cost documentation should be complete before issuing a demand letter^ or referring the case to Headquarters. If the Regions wish to receive the cost documents earlier, for demand letter purposes, they must submit the completed checklists earlier. Completed checklists should be sent to: Office of Waste Programs Enforcement VJH-527 U.S. EPA 401 M. Street Washington, D.C. 20460 VThe authority to issue demand letters on cases before referral to the Department of Justice was delegated to the Regional ~ Administractors in March 19B4. Please see Appendix J for a copy of * the delegation memorandum.- Once a case is referred, demand letters are to be sent by the noj attorneys. -14- ------- OSWER f 9832.4 Documentation Collection Responsibilities Successful documentation of costs for §107 cases will require the close cooperation and coordination of Superfund legal, program, enforcement, and financial offices both in the Regions and in Headquarters and with Justice Department attorneys Each of these offices will have certain responsibilities in the collection and packaging of cost documentation. 1. Recional Responsibilities A Regional member of the case development team should be selected to coordinate the Regional and Headauarters cost documentation. That tean member must work with the Regional Finan_c_ial Management Office to successfully complete Regional cost documentation responsibilities. The case development team member will be responsible for completing the checklist and collecting, packaging and summarizing* the following categories of costs: a. State Cooperative Agreement; Documentation: SPUR Copy of Cooperative Agreement Copy of letter of credit and record of drawdown. 4/See Appendix E for copy of a sample summary, -15- ------- OSWER # 9832.4 Summary of Cooperative Agreement: Includes date of agreement, brief description of work, name of state, total amount of agreement, and if not completed at time of documentation, amount spent to date. Note: Additional backup documentation will be required from the states. Guidance on the appropriate documentation and the method for obtainino it will be issued at a later date. b. Regional Payroll; This includes site-specific payroll charges by any Regional employee5, including Regional Lab employees. Documentation: SPUR Employee Timesheets and Timecards Rumma_ry of__ Pay roll; Includes employee name, title, number of hours charqed to site, The regions must review the timesheets against the timecards and the. SPUR, note and notify FMD to correct any inaccuracies. The timesheets are the original record of site-specific payroll charges and should he considered as the basis for payroll documentation. 5/Criminal investigators performing site-specific work may charge their payroll against the Superfund site-specific account. Employee information and amounts charged to the site should be deleted from the cost recovery documentation. -16- ------- OSWER * 9832.4 c. Regional Travel; This includes site specific travel charges by any reqional employee, Documentation: SPUR Employee travel authorization, paid travel vouchers and any corresponding treasury schedules. ^Summary of Travel: Includes employee name, title, dates of travel, dollars charaed per trip. The Regions must review the travel documentation against the SPUR, and notify F"-^ to correct any inaccuracies. The approved and pairi travel vouchers serve as the basis for travel documentation d. Other Regional Direct Costs; This includes s_i_te-specific supplies or services which may be purchased by a Peqion under its individual allowance. These charges may appear on the SPUR. Documentation: SPHR Purchase Orders Summary:" Includes description of other direct site expenditures, dates of expenditures and amounts. -17- ------- OSWER f 9832.4 ?.. Financial Management Division Responsibilities Upon receipt of a completed checklist, OWPE will reauest FMD to provide documentation for site-specific charges included in the Financial Management System (except for the Regional documentation listed above). Documentation collected by FMD will be submitted to OKPE. The FKD documentation covers the following categories of costs: a. P.ite-gpecif ic Contracts; This includes OSC contracts, EPCS contracts, REM portion of the REM/FIT Contracts, REM II Contract Documentation: SPUR Copies of paid invoices Copies of Contract Status Notifications Copies of corresponding treasury schedules FKD must' reconcile the paid invoices against the SPUR .and note and correct any inaccuracies. b. Inter-Agency'Agreements (IAG); Includes site-specific reimburseable and transfer allocations as reauested by' OWPE Documentations SPUR Copy of the IAG Copy of vouchers and schedule of withdrawals Copy of monthly status report for transfer allocations. Note: Additional backup documentation may be required from other federal agencies. Guidance on documents reauired and procedures -Ifi- ------- OSWER # 9832.4 for collection is currently under development. c. Contract Laboratory Proqrar Contract (CLP); This- include? all standard analytical services provided by the CLP. It does not include the Contract Lab Manaqenent Contract (see next section). Docunentation: After receipt of a site-specific invoice list from OWPE, 'FJJ£ will supply the contract lab invoices and corresponding Treasure Schedules ans contract status notifications. d. Other Sunerfur.d Contracts; This includes site-specific work contracted under Superfund that is not invoiced site-specifically. Documentation: On a Quarterly basis, FMD will supply to OV;PF, an update of copies of the invoices, contract status notifications and treasury schedules for the following contracts: TAT (Current contractor: Roy F. Weston Contract No. 68-01-6669) FIT portion of REM/FIT (Current Contractors: NUS, CH2MHill: FIT Subcontractors E * E Contract Nos. 68-01-6699, 68-01-6692) TFS I (Current Contractor: GCA Contract No. 6R-01-6769) TES II (Current Contractor: PRC Contract No. 6P-01-7037) -19- ------- OSWER ft 9832.4 CLP Management (Current Contractor: VIAR Contract No. 6R-01-6702) EEPU Contract .. - - -'.-' (Current Contractor: IT Corp. Contract No. 68-03-30fi9) FMSL Contract (Current Contractor: LEMSCO Contract No. 68-03-3049) HE 1C CONTRACT (Current Contractor: TECH LAv' Contract No. 68-01-6R3R) e. Headquarters Payroll; This includes site-specific payroll charges by any headquarters employee (OWPE, OERR, OECM, ERT, etc.) Documentation: SPUR Timecards f. Headquarters Travel; This includes site specific travel charges by any Headquarters employee. Documentation: SPUR Copies of travel authorizations Copies of paid travel vouchers and any corresponding Treasury Schedules. FMD must review the travel documentation against the and note and correct any inaccuraciese The approved travel vouchers serve as the basis for travel documentation. -20- ------- OSWER # 9832.4 3. OWPE Responsibilities OWPF plays the major role in requesting case cost documentation, tracking receipt of documents, and packaging and summarizing of cost documents. OV:PF will he responsible for the following cost documentation: a. FIT Contract Costs; Includes site-specific costs incurred under the Field Investigation Team contracts, which are part of the PEM/FIT contracts. Documentation: ov:pr will reguest the FIT contractors to provide a summary of site-specific costs incurred under the contract. The summary will include: total costs, break out of costs by labor, travel, subcontractors, and materials, TDD numbers and associated hours, dates of work and brief summary of work performed. OV7PE will provide copies of TDDs, 'invoices, contract status notifications and corresponding Treasury Schedules for dates of work. , b. TAT Contract Costs; Includes all site-specific cost incurred under the Technical Assistance Team contracts. Documentation: OWPE will request the TAT contractors to provide a summary of site-specific costs incurred under the contract. Summary will include total costs, -21- ------- OSWER I 9832.4 break out of costs by labor, travel, subcontractors, equipment, TDD numbers and associated hours, dates of work and brief summary of work. OWPE will provide copies of TDDs, invoices, contract status notifications and correspondina Treasury Schedules for dates of work. c. Remedia] Contract Costs: Includes all work done under the REM portion of the REM/FIT contracts and the REM II Contract. Documentation: Although most of the work tasked under these contracts are recorded site-specifically in FVS, there is some site-specific work which is not. This work includes: RAMPS, community relations work, enforcement support and laboratory work. OVJPE will request the RFM contractors to supply a summary of all direct site response work tasked under the contract. Documentation: Summary will include total costs, breakout of costs by labor, travel, sub- contractors and equipment, work assignment , numbers and associated hours, dates of work and brief summary of work. OWPE will provide copies of paid invoices, contract status notifications and corresponding Treasury Schedules. -22- ------- OSWER f 9832.4 d. Contract Lab Program Costs; This includes all site- specific costs incurred under the CLP; both special analytical services and standard lab analyses. Docunentation: The operation of the sample management office is contracted to VIA*, Inc. OV.'^E will request VIAR to provide a listinq and summary of all samples and analytical services for a site. The summary will include total CL"° .costs and break out between special analytical services and standard services. The listina of samples will include contract name and number, sample number., invoice number and cost per sample. VIAR will provide, for special analytical services,- copies of the paid invoices. OWPE will provide copies, requested from FMD, of the standard services invoices and VIAR paid invoices, contract status notifications and Treasury Schedules. e. TFS Contract Costs; This includes all site-specific costs incurred under the TES contracts. Documentation: OWP? will request the contractor to provide a summary of site-specific work conducted under the contract. Summary will -23- ------- OSWER f 9832.4 include total costs, break out of costs by labor, travel, subcontractors, eauipment, work assignment numbers and associated hours, dates of work and brief description of work performed. OWPE will provide copies of the work assipnnents, paid contract invoices, contract status notifications and Treasury Schedules. f. EERU Contract: This includes all site-specific work provided under EERtis contract. Documentation: OV7PF will request FRT to provide a summary of site-specific work provided under the contract. The summary will include total site costs, dates of work, brief description of work, break out of costs by labor, travel and subcontractors. OV7PE will provide copies of paid invoices, contract status notifications and Treasury Schedules. p. NEIC Costs; This includes site-specific work done throuah NEIC, both NEIC employees and contractors Documentation: OWPE will request NEIC to provide site-specific employee timesheets and travel documentation and a cost summary which is to include cost break out by employee payroll and travel, contractor -24- ------- costs, contractor and conQQ-SBt* brief summary of work and dates -of work. If contractor was used, OWPF will supply copy of paid invoices, contract status notifications and corresponding Treasury Schedules for period of work. h. Overflichts; Includes site-specific aerial photography and related work done through E^SL and EPIC. Documentation: OWPE will request EMSL and EPIC to provide summary of site specific aerial photographic * costs which is to include break out bv labor and materials, contractor costs, contract number and dates of work. If contractor was used, OW^E will supply copies of paid invoices and corresponding Treasury Schedules for period of work. i. Headquarters Payroll; This includes site-specific payroll charges by any Headquarters employee including OV7PE, OECM, EPT, and OF1RR. Documentation: SPUR from FMD Employee Tiroesheets (OWPE will request other headquarters offices to supply their employees' timesheets). Summary of HO Payroll: Includes Employee name, title, number of hours charged, total payroll dollars per employee -25- ------- OSWER # 9832.4 OWPF must review the timesheets aqainst the SPUR note and have corrected any inaccuracies. The timesheets are the oriainal record of site-specific payroll charges and should be considered the basis for payroll documentation. j. Headquarters Travel: Includes site-specific travel charnes by any HO employee. Documentation: To be supplied by FMP. Summary: Includes employee name, title, dates of travel dollars charged per trip. -26- ------- OSWER f 9832.4 4. POJ Responsibilities This includes all site-specific litigation support costs incurred by the Department of Justice under Superfund interaqency agreements. Documentation: The DOJ representative on the Case Development Team is responsible for collecting and summarizing DOJ litigation support costs. Documentation should include employee timesheets, travel authorizations and vouchers. A copy of the summary for POJ costs should be sent to OWPE. -27- ------- OSWER f 9832.4 PREPARATION ANP USE OF THE COST PACKAGE OV7PE will prepare a standard summary for each of the categories of costs for which it is responsible. After collection and preparation of the cost summary, OWDF will send the cost documents and copy of the summary to the Regional cost recovery case coordinator. The regional coordinator is responsible for adding the regional cost documents and summaries to the package. The regional coordinator is to send a copy of the regional summaries to OW?E. The case development team should review the cost package and make sure it is complete and accurate. The actual cost documents are to he retained in the regional offices. The custodian of the case file will be the lead regional counsel assigned to the case. After receipt of the cost documents, the case development team can complete the referral package and refer the case to OECM. The actual cost documents do not need to be sent with the referral package; the completed cost summary will be sufficient for case referral. The documents are to be retained in the Regional offices to facilitate discovery or production of documents reouests and reduce possible loss of documents through multiple shipments between headauarters., DOJ and the Regions. -28- ------- OSWER * 9832.4 V. THE PRIVACY ACT, NON DISCLOSURE OF IRRELEVANT INFORMATION AND CONFIDENTIAL BUSINESS INFORMATION (CBI) ISSUES 1. Privacy Act Discovery requests and proof of the prima facie case during CERCLA Section 107 cost recovery actions may require the Agency to produce to responsible parties certain documents involving EPA payroll and travel costs. That documentation may contain information that is covered under the Privacy Act (5 U.S.C. S522a (1974)) and should not be released until the documents are reviewed and such information is deleted. The issue typically arises in documents that couple an employee's name with his social security number, employee home telephone number or address, or where the documents are receipts containing credit card numbers or copies of personal bank checks. The Regional offices are responsible for the review of EPA Regional payroll and travel documents for Privacy Act considerations. OWPE will be responsible for reviewing all Headquarters employee payroll and travel documents. If any information covered under the Privacy Act is found, it is to be redacted. Appendix F contains a list of the items covered by the Privacy Act that should be redacted on each type of cost documentation that may be used during a cost recovery case. Additional inquiries regarding Privacy Act considerations should be directed to Rose Arnold (OGC) at 382-5460. -29- ------- OSWER f 9832.4 2. Non-Disclosure of Irrelevant Information In addition to Privacy Act considerations, any references to work performed on other CERCLA sites or RCRA facilities should be redacted. This type of information may appear on timesheets, timecards, or travel authorizations/vouchers. This will prevent responsible parties from obtaining information about other sites where investigations or other EPA activities are underway. 3. Confidential Business Information Documents needed to support contractor costs may contain information, such as contractor overhead rates, which is subject to confidential business information (CBI) considerations. This is primarily an issue for the FIT, TAT and REM contracts, and it will arise during the discovery phase of litigation when defendants file a request for the production of documents. The regulations governing confidentiality of business information are contained in 40. C.F.R. §52 .201-2 .215 . In general, those regulations state that CBI is entitled to be withheld from disclosure. However, $2.209(d) allows CBI to be disclosed "in a manner and to the extent ordered to be disclosed by a Federal court" so long as EPA provides "as much advance notice as possible to each affected business of the type of information to be disclosed and to whom it is disclosed. . ." It is important to know that EPA roust respond to defendants' discovery requests on a timely basis. Ordinarily this is within thirty days of the request under the Federal Rules of Civil -30- ------- OSWER I 9832.4 Procedure. Thus, expeditious handling of requests concerning CBI is essential. Procedurally, once a request for the production of documents is received that may require CBI to be disclosed, the lead EPA/DOJ attorney on the litigation team should immediately contact counsel for the party requesting the documents to determine if an agreement can be reached in which the documents are released under the terms of a stipulation and protective order (See example stipulation and protective order in Appendix G). If an agreement can be reached within the time for response guaranteeing that the documents will only be disclosed to certain persons or parties for certain limited purposes (and those persons or parties agree to sign a confidentiality agreement), the case development team must then identify all contractors that may have CBI in the cost documentation files. Within. seven days of receipt of the discovery request, the lead EPA attorney should send each contractor both a letter explaining the situation (See model letter in Appendix H) and a copy of the stipulation and protective order previously agreed to by the parties. The letter should set a date by which the documents will be produced (i .e., the discovery response date) and invite the contractor to make comments on the content of the protective -31- ------- OSWER * 9832.4 order to the author within seven days of receipt.6 Once mutually satisfactory revisions are included or the date passes for comment, the proposed stipulation and protective order should be submitted for signature to the party requesting the information and, subsequently, by motion to the court requesting entry of the Order. See example motion in Appendix I Once the Order is entered and counsel for the party requesting the information has executed a confidentiality agreement, the .information may be produced. If the party requesting the information does not agree to production under the terms of a protective order, the United States has two options. The case litigation team may decide to redact all CBI and produce the materials requested or it may decline to produce the CBI-containing documents altogether unless under the terms of a protective order. The decision whether to redact and produce, or simply decline to produce, will be made on a case by case basis and will depend on the strength of the CBI claim made by the °/It should be noted that the Office of General Counsel nas been requested to notify the major Superfund contractors that certain types of documents containing CBI will be released in the context of cost recovery litigation or settlement negotiations. That notification will indicate that the United states will attempt to protect the documents from distribution and will include a copy of the model protective order contained in Appendix G. The Agency expects to receive general approval of the model protective order's terms from each of the major contractors in the near future, thereby speeding case-specific release of the contractors' documents. -32- ------- OSWER # 9832.4 person requesting confidentiality, on the number of documents that are involved, the resources required to review and' redact all CBI and the team's assessment of the possible consequences of the available options. In particular, the litigation team should consider whether the defendants would likely accept redacted material and the amount of resources that would be required to oppose any motions to compel discovery in the event all the material is withheld. For further information on the procedures to be followed in addressing the issue of confidential business information, contact David Van Slyke in the Office of Enforcement and Compliance Monitoring at (FTS) 382-3082. -33- ------- OSWER I 9832.4 VI . APPLICATION OF INTEREST The Agency has determined that the United States should seek interest on monies expended from the Trust Fund for, among other things, site investigations, studies, cleanup and enforcement. Cost recovery actions should seek interest from the date of a demand of a sum certain at the rate being earned by the Fund for comparable time periods.7 Applying interest from the date of a demand is an incentive for responsible parties to undertake cleanup themselves and will also discourage responsible parties from engaging in protracted negotiations and litigation. OWPE and OECM are presently working with the Financial Management Division to provide site-specific total monthly expenditures for all costs for interest calculation. Futher guidance will be provided by DOJ and OECM on the exact method and procedures of interest calculation that is to be used for cost recovery actions. 7/In a Memorandum Opinion in United States v. NEPACCO, No. 80- 5066-CV-S-4 (W.D. Mo. Jan. 31, 1984) and the follow-up Order for Final Judgment (April 16, 1984), the Court allowed pre- judgment interest at the rate of 9% simple interest calculated from the date the amended complaint (adding CERCLA counts to a RCRA $7003 case) was filed. The 9% interest rate was set "in accordance with Missouri's post judgment interest statute." January 31 Memorandum Opinion at 44. However, neither the opinion nor the Government's pre or post-trial briefs indicated whether the State statute was the applicable law, or if the Court merely used the Missouri Statute as a guideline in the absence of Federal law on the issue. -34- ------- -« ff 9b32.4 VII. BANKRUPTCY PROCEDURES In determining how to proceed against bankrupt parties in cost recovery cases, the Regions should follow a four step procedure . First, the Region, in consultation with the DOJ case attorney, should determine what type of bankruptcy action the responsible party has filed for. Under a Chapter 7 bankruptcy, or "liquidation bankruptcy", the debtor is granted a discharge of all debts and must liquidate all assets. Under a Chapter 11 bankruptcy, or "reorganization bankruptcy", however, there is not a liquidation of assets . Instead the debtor is required to develop a reorganization plan and payment schedule whereby portions of the debts are paid to the different classes of creditors. The Agency's claims under cost recovery are more likely to be satisfied in a Chapter 11 bankruptcy. Second, the Region must determine when to proceed against a bankrupt party. In making this determination, the Region should balance the likelihood of recovering assets from the estate of the insolvent party against the extent of Agency resources required to prosecute bankrupt parties. The Regions should also evaluate the possible deterrence effects that a lawsuit will have upon other entities that nay file, or are seeking to file, frivolous or fraudulent bankruptcy claims. Third, the Region should refer the bankruptcy claim to the Department of Justice for filing. Prompt referral of bankruptcy cases is necessary to preserve the Agency's claims as a creditor, -35- ------- OSWER I 9832.4 Ordinarily the type of claim made by the United States in a CERCLA action will be quite unlike a secured lien and will therefore require the filing of a proof of claim indicating the nature of the government's claim (See Bankruptcy Form 10). Unless an'extension is moved for and granted, Chapter 7 bankruptcy claims must be filed 90 days from the first meeting of the creditors. Bankruptcy Rule 3002(c). The deadline for Chapter 11 bankruptcy claims is set by the Court. Bankruptcy Rule 3003(c). Often it must be filed before the Court approves the debtor's reorganization plan. In emergency situations, telephone referral to DOJ with EPA Headquarters concurrence may be appropriate. After DOJ approval, a proof of claim should be filed with the Bankruptcy Court which states the amount of the debt and the basis for the claim. The Region should be prepared at the time of filing of a proof of claim in Bankruptcy Court to prove that the estate is liable under $107 of CERCLA. Therefore, the referral to the Department of Justice should include all the information necessary for a cost recovery action. OWPE will try to expedite requests for documents in those late-discovered bankruptcy cases that require immediate filing of a proof of claim. The Regions must, however, clearly articulate the urgency of the situation to OWPE and request that Headquarters reorganize the cost documentation collection priorities for that Region. Fourth, EPA and the Department of Justice must determine which theories of recovery are appropriate, and whether to -36- ------- OSWER # 9832.4 proceed in District Court or Bankruptcy Court. The theories of recovery may include: claims as administrative expenses of the estate; recovery under S506(c) of the Bankruptcy code; equitable leins; and common law restitution. The considerations of whether to initiate proceedings in District Court or Bankruptcy Court include: the extent of assets in the estate; the applicability of the automatic stay provisions in the Bankruptcy Act; the extent of previous litigation; and the facts of the case. For more discussion on enforcement theories available to the Agency to pursue insolvent parties, and for more specific guidance regarding procedures in bankruptcy cases, refer to "Guidance Regarding CERCLA Enforcement Against Bankrupt Parties" issued on May 24, 1984, by Courtney M. Price, Assistant Administrator for the Office of Enforcment and Compliance Monitoring . -37- ------- OSWER f 9832.4 VIII. UPDATING OF COSTS The actual litigation of CERCLA 5107 cases may be a very lengthy process. Negotiations may take place before a case is filed. Once a case is filed, negotiations may continue and the litigation process itself may be conducted over a period of many months or several years. Often site work may be ongoing while the case is in litigation. And certainly litigation costs are being incurred by EPA, DOJ, and often, contractors. During the course of negotiations or litigation, the case development team may need to update costs for a particular case. For completed removal actions, with no other site activity. in progress, an update of costs is a relatively easy exercise. The case development team can update Regional payroll and travel and OWPE can update headquarters payroll and travel. DOJ, upon request from the assigned DOJ or U.S. attorney, can update its litigation support costs. There are, however, cases where the government is pursuing a 5107 action but costs are still being incurred for on-site activity (e .g., §106 cases that also have a 5107 count and remedial action has not yet been completed) . Updating costs for these types of cases may actually be the equivalent of documenting a new $107 case. The case development team must allow for at least three weeks from a request for a cost update and its receipt. The Region must balance the need for a cost update against the needs of the other cases in the Region which require documentation -38- ------- OSWER f 9832.4 The collection of cost documentation is not a process which can be "turned off" once it has been initiated. Therefore, it is important that the case development team use discretion and good judgment when requesting a cost update. Cost updates may be requested by submitting a written request to the Cost Recovery Group, OWPE. The memorandum is to specify why and when an update is needed and the categories of costs which need updating. The case development team must give OWPE as much lead time as possible to accommodate update requests. OWPE will collect the requested information and prepare a summary of updated costs. The summary and documents . will be forwarded to the case development team in the Region. -39- ------- OSWER # 9832.4 IX. ACTUAL PAYMENT INTO THE TRUST FUND To accelerate the receipt and investment of monies recovered from responsible parties under CERCLA, the Department of the Treasury has provided a separate lockbox for Superfund. Checks for cost recoveries, penalties and fines should be made payable to the EPA Hazardous Substance Response Trust Fund and sent to the following address: EPA Superfund P.O. Box 371003M Pittsburgh, PA 15251 Checks should be accompanied by transmittal letters that state the name of the responsible party and the site for which payment is being rendered. The remittance address and instructions should be included in all settlement documents (consent decrees, administrative order, or settlement agreements) and demand letters. The Regional Counsel representative on the case development team is responsible for sending a copy of the signed consent/ settlement document (as soon as it is available) to the following address: US EPA Financial Management Division, PM-226 Financial Reports and Analysis Branch 401 M Street, S.W. Washington, D.C. Attnt Ivery M. Jacobs, Rm 3623M These documents are necessary to establish an accounts receivable to assure that funds are ultimately received and to assure that funds that-are received are credited to the appropriate account and reported to the Hazardous Substance Response Trust Fund for investing. -40- ------- OSWER f 9832.4 APPENDIX A FLOW CHART OF COST DOCUMENTATION PROCESS ------- «ER f 9832.4 DEFINITIONS OF ACRONYMS USED IN FLOW CHART OSWER I 9832.4 IAG: INTER-AGENCY AGREEMENT HEM: REMEDIAL CONTRACT PIT: FIELD INVESTIGATION TEAM CONTRACT TAT: TECHNICAL ASSISTANCE TEAM CONTRACT TES: TECHNICAL ENFORCEMENT SUPPORT CONTRACT CLP: CONTRACT LABORATORY PROGRAM NEIC: NATIONAL ENFORCEMENT INVESTIGATIONS CENTER , ERT: EMERGENCY RESPONSE TEAM EMSL: ENVIRONMENTAL MONITORING AND SYSTEMS LABORATORY ------- OSWER I 9832.4 APPENDIX B SITE-SPECIFIC SPUR CHARGES ------- OSWER I 9832.4 SOFTWARE PACKAGE FOR UNIQUE REPORTS (SPUR) ^ !^W. l«, ! MM^_«M«__HM.^.,^.MW_ ^ Through the use of SPUR, the Financial Management System (FMS) can produce reports which summarize specific Superfund charges of individual sites. However, because some expenditures that benefit specific sites are not charged to site specific accounts, the FMS does not identify all direct site response costs. The following is a list of the site specific cost categories which are included in a SPUR: SITE-SPECIFIC EPA PAYROLL SITE-SPECIFIC TRAVEL OSC EMERGENCY REMOVAL CONTRACTS ERCS CONTRACTS MAJOR REMEDIAL SITE-SPECIFIC WORK ASSIGNMENTS: REMEDIAL INVESTIGATION/FEASIBILITY STUDY (RI/FS) REMEDIAL DESIGN REMEDIAL CONSTRUCTION REIMBURSEABLE SITE-SPECIFIC IAGS STATE SITE-SPECIFIC COOPERATIVE AGREEMENTS ------- APPENDIX C OSWER I 9832.4 DESCRIPTION OF SUPERFUND CONTRACTS ------- OSWER f 9832.4 TECHNICAL ASSISTANCE TEAM CONTRACT (TAT) ^^^ ^a^ BIII i . i i .1 .!!. * SCOPE; This contract is designed to assist EPA in responding to all reported environmental emergencies, including oil spills (under 5311 of the Clean Water Act) chemical spills and uncontrolled hazardous waste disposal sites. Response includes damage assessment field studies, monitoring cleanup operations, and coordinating with local governments. Other functions such as conducting spill prevention compliance checks are also performed. Under this nationwide contract, teams (TAT) are provided to EPA headquarters, all ten EPA regions, and both of the Environmental Response Teams (ERT). 'The TAT contract does not perform any actual cleanups. Original Contractor: Ecology & Environment, Inc. (E&E) Contract Number: 68-01-5158 Dates of Contract: February 1979 to October 1982 EPA Project Officer: Jack Jojokian Current Contractor: Roy F. Weston, Inc. Contract Number: 68-01-6669 Date of Contract: October 1982 to September 30, 1986 EPA Project Officer: Jack Jojokian EPA Contract Officer: Paige E. Peck ------- OSWER f 9832.4 ON SCENE COORDINATOR EMERGENCY REMOVAL CONTRACTS SCOPEt These contracts are designed for emergency or immediate removal situations initiated by the On Scene Coordinator. These contracts are entered into on an individual basis as an emergency situation arises. Contract is usually initiated with a letter to proceed. All work under these contracts is site specific. Emergency Removal Cleanup Service Contracts (ERCS) SCOPE; These contract are designed to respond to environmental emergencies with resources necessary to contain, cleanup, remove and dispose of hazardous materials. There are four ERCS Zone contractors. ERC Zone I (Regions I, II, and III); Contractor: 0. H. Materials Co. Contract No.: 68-01-6893 Dates of Contract: February 1, 1984 to Janueary 31, 1987 EPA Project Officer: James Jowett EPA Contract Officer: Patrick Flynn ERC Zone II (Region IV); Contractor: Hazardous Waste Technology Services Contract No.: 68-01-6859 Dates of Contract: December 1, 1983 to November 30, 1986 EPA Project Officer: James Jowett EPA Contract Officer: Thomas F. Sullivan ------- OSWER # 9832.4 ERC Zone III (Region V); Contractor: PEDCo Environmental, Inc. .Contract No.: 68-01-6894 Dates of Contract: February 1, 1984 to January 31, 1987 EPA Project Officer: James Jowett EPA Contract Officer: Dorothy Britton ERC Zone IV (Regions VI, VIJ, VIII > IX, X); Contractor: Environmental ..Emergency Services Contract No. 68-01-6860 Dates of Contract: December 1, 1983 to November 30, 1986 EPA Project Officer: James Jowett EPA Contract Officer: Thomas .F. Sullivan ------- OSWER f 9832.4 REMEDIAL ACTION CONTRACTS (REM) SCOPE; The Remedial Action contracts primary focus is to investigate and provide long term corrective action for NPL sites. Tasks under the REM contracts include the following: Remdedial Action Master Plans (RAMPS) Remedial Investigations/Feasibility Studies (RI/FS) Initial Remedial Measures (IRM) Enforcement and technical oversight projects Community Relations Plans Remedial Design and Construction The contractors are tasked through work assignments, which are generally site-specific. However, some work assignments a're written to cover a number, of site for a particular task such as RAMPS and community relations plans. The Superfund program originally had three REM contractors: Camp, Dresser, McKee (CDK) Contract No. 68-03-1612 Dates of Contract: June 1981 to March 1983 Roy F. Weston Contract No. 68-03-1613 Dates of Contract: June 1981 to October 1982 Black & Veatch Contract No. 68-03-1614 Dates of Contract: June 1981 to October 1982 In October 1982, the original REM contracts were replaced with two zone REM/FIT Contracts. These are three year contracts. REM lone I (Region I - IV): Contractor: NUS Corp. Contract No. 68-01-6699 Dates of Contract: October 1, 1982 to September 1986 EPA Project Officer: William Kaschak EPA Contract Officer: Ronald L. Kovach ------- OSWER I 9832.4 REM Zone II (Region V - X); Contractor: CI^MHill Southeast, Inc. Contract No.: 68-01-6692 Dates of Contract: October 1, 1982 to September 30, 1986 EPA Project Officer: Nancy Willis EPA Contract Officer: Dorothy Tyler In June 1984 an additional nationwide REM contract was awarded under which the contractor is to perform remedial response activities at uncontrolled hazardous waste sites and prepare A&E design specifications of the selected remedies. REM II (Nationwide); Contractor: Camp, Dresser & McKee; Inc. Contract No.: 68-01-6939 Dates of Contract: June 1, 1984 to May 30, 1988 EPA Project Officer: William Kaschak EPA Contract Officer: William R. Topping ------- OSWER f 9832.4 FIELD INVESTIGATION TEAM (FIT) CONTRACT SCOPE; The Field Investigation Team (FIT) Contracts establish an investigation team in each EPA Region, comprised of multi- disciplinary professional and para-professional personnel who are capable of providing a breadth of technical activities. Specifically, the FIT contracts constitute the primary capability of EPA for investigating hazardous waste sites. Current FIT operations are part of the REM/FIT 2one Contracts. OPERATIONS; Tasks conducted by the FIT contracts are initiated in the Regions by designated Regional Project Officers (RPO's) using a work order process called Technical Directive Documents (TDDs). Major functions include the following: 0 Preliminary Assessments and Site Inspections (PA/SI) to determine the hazard potential at waste sites. 0 Conduct Hazard Ranking System Scoring for sites considered for inclusion on the National Priorities List (NPL). 0 General enforcement support for case development, particularly field oriented technical activities (e.g., sampling). 0 Remedial Investigations (RI) for enforcement lead sites. Hydrological, geophysical and general field investigatory work which may be part of or separate from any of the above activities. * Provides subcontracting support for activ .ties such as well drilling, obtaining specialized technical expertise, and related support services. 0 Dioxin strategy implementation support. 0 Provide technical experts for compliance monitoring and oversight functions. * Help to develop technical manuals, policies and standard operating procedures. ------- OSWER i 9832.4 FIT Contract; Original Contractor: Ecology and Environment, Inc. (E&E) Contract No.: 68-01-6056 Dates of Contract: February 1980 to December 1982 EPA Project Officer: Scott Fredericks Current Contractors; REM/FIT Zone I (Regions I - IV); Contractor: NUS Corporation Contract No.: 68-01-6699 Date of Contract: October 1, 1982 to September 30, 1986 EPA Deputy Project Officer: Scott Fredericks EPA Contract Officer: Ronald L. Kovach REM/FIT Zone II (Regions V - X); Contractor: C^MHill (Ecology and Environment is FIT subcontractor) Contract No.: 68-01-6692 Dates of Contract: October 1, 1982 to September 30, 1986 Tx^A^vtc- t-i, EPA Deputy Project Officer: Scott Parrioh EPA Contract Officer: Dorothy Tyler ------- OSWER f 9832.4 CONTRACT LABORATORY PROGRAM (CLP) "^««»^^M^M_^^^__ ^ SCOPE; The Contract Laboratory Program (CLP) was established to provide laboratory sample analyses for the Superfund program. The,CLP can provide routine and special analytical services for inorganic, organic and dioxin samples. The CLP is managed by VIAR, Inc. Approximately 40 different laboratories are used under the CLP. Each of the laboratories used under the program will have one or more contracts with the Agency. Site samples are taken by the Regional offices and tagged with a sample number. The Sample Managment Office (SMO), which is managed by VIAR, will tell the Region which laboratory the samples should be sent to. The individual laboratories do not know what sites the samples have been taken from. VIAR tracks all sample numbers and invoices. Sample Management Office (SMO) Contract; Contractor: VIAR and Company Contract No.: 68-01-6702 Dates of Contract: October 1, 1982 to September 30, 1985 EPA Project Officer: Stan Kovell EPA Contract Officer: Marian Bernd ------- C6WER f 9832.4 TECHNICAL ENFORCMENT SUPPORT CONTRACT (TES I & II) . SCOPE; The Technical Enforcement Support (TES) Contract was awarded in Juns 1983 to support enforcement actions under CERCLA. The TES contract can provide the following services: Responsible Party Searches Title Searches Financial Asessments of Responsible Parties Records Compilation Health/Endangerment Assesments Technical Review of Documents Expert Witnesses The TES contract is tasked through work assignments which are generally site-specific. TES I Contractor: GCA Corp. Contract No.: 68-01-6769 Dates of Contract: June 10, 1983 to June 9, 1986 EPA Project Officer: Elwood Martin EPA Contract Officer: Marian Bernd TES II Contractor: Planning Research Corp. (PRO Contract No.: 68-01-7037 Dates of Contract: September 1984 to September 1986 EPA Project Officer: Elwood Martin EPA Contract Officer: Marian Bernd ------- f 9832.4 ENVIRONMENTAL EMERGENCY RESPONSE UNIT (EERU) CONTRACT SCOPE: EERU is divided into two groups: Operations and Research OPERATIONS; Through the Environmental Response Team (ERT), EERU provides technical support and assistance to On-Scene Coordinators and other emergency response personnel on environmental issues dealing with the cleanup of emergency spills and uncontrolled hazardous waste sites. Site support services of the contract include such activities as sampling, use of specialized monitoring equipment, conducting extent-of-contamination surveys and procurement of specialized subcontractors for well drilling, analytical support, etc. Other services include the conduct of training exercises including demonstrations of equipment and "hands on" training under simulated but realistic field conditions. RESEARCH; Through the Oil and Hazardous Material Spills Branch (OHMSB), EERU provides shakedowns and field demonstrations of prototype equipment during spills and at cleanups of uncontrolled hazardous waste sites. Evaluation and improvement of government owned or commercially available cleanup devices and systems is the primary objective of this side of the contract. Original Contractor: Mason & Hanger-Silas Mason Co., Inc. Contract No.: 68-03-2647 Dates of Contract: January 23, 1978 to June 28, 1981 EPA Project Officer: J. Stephen Dorrler (ERT) and Ira Wilder (R&D) Current Contractor: IT Corporation Contract No.: 68-03-3069 Dates of Contract: June 29, 1981 to June 28, 1985 EPA Project Officers: J. Stephen Dorrler (ERT) and Ira Wilder (R&D) EPA Contract Officer: ------- OSWER ft 9832.4 ENVIRONMENTAL RESPONSE TEAM (ERT) * The Environmental Response Team is located at the EPA facility in Edison, New Jersey, and also retains a three-member staff at EPA's A. W. Breidenbach Environmental Research Center in Cincinnati, Ohio. The ERT's major functions are to: * Maintain an around-the-clock activation system. * Upon request, dispatch Team members to environmental emergencies to assist Regional and program offices. 0 Provide critical consultation in water and air quality criteria, toxicology, interpretation and evaluation of analytical data, and engineering and scientific studies. o Develop and conduct site-specific safety programs * Provide specialized equipment to meet specific requirements such as monitoring, analytical support, waste treatment, containment and control. 0 Provide technical experts for a Public Affairs Assistance Team (PAAT). e Supervise the work of contractors. 0 Help to develop training manuals, policies, and standard operating procedures. 0 Assist the Office of Research and Development in developing new technology for use at environmental emergencies and uncontrolled hazardous waste sites. 0 Train Federal, State and local government officials and industry representatives in the latest technology for environmental emergencies at hazardous waste sites. ------- OSWER f 9832.4 ENVIRONMENTAL MONITORING AND SYSTEMS LABORATORY CONTRACT SCOPE: The Environmental Monitoring and Systems Laboratory (EHSL) manages a contract which provides upon request aerial photography, photographic interpretation and topographic mapping of hazardous waste sites. Requests are generally site specific and may be from the regional offices or headquarters. Zone I (Regions I - IV) Contractor; Bionetics Contract No.: Dates of Contract: EPA Project Officer: Tom Osberg EPA Contract Officer: Pong Lem Zone II (Regions V - X) Contractor: Lockheed Inc. (LEMSCO) Contract No. 68-03-3049 EPA Project Officer: Clay Lake EPA Contract Officer: Pong Len ------- f 9832.4 NATIONAL ENFOCREMENT INVESTIGATIONS CENTER (NEIC) CONTRACT SCOPE: The National Enforcement Investigations Center (NEIC) provides various types ofenforcement support activities for CERCLA cases. Activities include site investigations, sample collection, sample screening for hazardous characteristics and sample preparation for analyses and compositional lab analysis. Sample screening and preparation is done under contract with Fred C. Hart (this contract is oart of the National Contract Lab Program). NEIC also provides for security of sensitive samples for enforcement purposes and chain of custody procedures. NEIC provides evidence audits through the Contract Evidence Audit Team (CEAT). The current CEAT contractor is Tech Law, Inc. Evidence audits provide inventories of case documents and preparation of documents for use as evidence. Evidence audits also provide sample profiles and summaries of analytical data. Contract Evidence Audit Team Original Contractor: INTERA Contract No.: 68-01-6215 Dates of Contract: September 1980 to September 1983 EPA Project Officer: Rob Laidlaw EPA Contract Officer: Pat Murphy Current Contractor: TECH LAW, Inc. Contract No. 68-01-6838 Dates of Contract: October 1983 to EPA Project Officer: Rob Laidlaw EPA Contract Officer: Pat Murphy ------- OSWER f 9832.4 APPENDIX D COST RECOVERY CHECKLIST ------- ft QQtf A COST RECOVERY DOCUMENTATION CHECKLIST 1. SITE NAME: _ CITY/COUNTY _ STATE_ SITE ACCOUNT NUMBER: _ NPL _ YES _ NO (OTHER NAMES USED FOR THIS SITE: _ _ __ ) 2. STATUS: CHECK ONE: __ TRIAL DATE (DATE: _____ ) IN DISCOVERY (DEADLINE: ) FILED REFERRED TO DOJ REFERRED TO HEADQUARTERS IN PREPARATION IN REGION STATUTE OF LIMITATIONS PROJECTED/ON GOING NEGOTIATIONS DEMAND LETTER TO BE SENT 3. NAME AND TELEPHONE NUMBER OF OSC/REGIONAL CONTACT: 4. NAME AND TELEPHONE NUMBER OF REGIONAL COUNSEL CONTACT: 5.WHICH,'IF ANY, OF THE FOLLOWING FIT CONTRACTORS WERE USED? E&E (CONTRACT No. 68-01-6056) DATES OF WORK NUS (CONTRACT No. 68-OL-6699 DATES OF WORK E&E (FIT SUBCONTRACTOR TO CH2MHILL, CONTRACT No. 68-01-6692) (ZONE II) DATES OF WORK 6. WHICH IF ANY OF THE FOLLOWING TAT CONTRACTORS WERE USED? B&E (CONTRACT Ko. 68-01-5158) DATES OF WORK _ ROY F. WESTON (CONTRACT No. 68-01-6669) ' DATES OF WORK 7. WAS WORK DONE THROUGH THE CONTRACT LAB PROGRAM (VIAR)? YES NO IP YES, PLEASE PROVIDE ANY SPECIAL ANALYTICAL SERVICES (SAS) CASE NUMBERS: __ ------- COST RECOVERY DOCUMENTATION CHECKLIST, PAGE 2 QSWER # 9832.4 WAS LAB WORK OTHER THAN THROUGH VIAR USED? YES NO IF YES, PLEASE GIVE LAB NAME AND CONTRACT NUMBER: 8. WHICH IF ANY OF THE FOLLOWING REM CONTRACTORS WERE USED? (DESCRIBE TASKS WITH THE FOLLOWING: RAMP, IRM, RI/FS, DESIGN CONSTRUCTION, COMMUNITY RELATIONS, ENFORCEMENT, OR OTHER) BLACK & VEATCH (CONTRACT No. 68-03-1614) DATES OF WORK TASK CAMP DRESSER & MCKEE (CDM) (CONTRACT No. 68-03-1612) DATES OF WORK TASK ROY F. WESTON (CONTRACT No. 68-03-1613) DATES OF WORK TASK NUS (ZONE I, CONTRACT No. 68-01-6699) DATES OF WORK TASK CH2MHILL (ZONE II, CONTRACT No. 68-01-6692) DATES OF WORK TASK CAMP DRESSER MCKEE (REM II CONTRACT No. 68-01-6939 )_ DATES OF WORK TASK 9. PLEASE PROVIDE THE FOLLOWING INFOPMATION ABOUT CONTRACTORS LET BY AN OSC OR EMERGENCY REMOVAL CLEANUP (ERCS) CONTRACT: CONTRACTOR: CONTRACT NO. DELIVERY ORDER No.. DATES OF WO'RK: 10. WERE ANY OVERFLIGHTS DONE? YES NO DATES OF OVERFLIGHTS: 11. WAS ANY WORK DONE BY NEIC? YES NO DATES OF WORK TASK ------- COST RECOVERY DOCUMENTATION CHECKLIST, PAGE 3 OSWER t 9832.4 WAS AN EVIDENCE AUDIT OR OTHER WORK DONE THROUGH NEIC CONTRACT WITH TECH LAW (INTERA)? YES NO DATES OF WORK 12. WAS WORK DONE BY THE EERU CONTRACT WITH IT CORP? YES NO (CONTRACT NO. 68-03-3069) DATES OF WORK: WAS WORK DONE BY EMERGENCY RESPONSE TEAM (EDISON LAB) YES NO DATES OF WORK: 13. WAS ANY' WORK. DONE UNDER THE TES I CONTRACT? YES NO CONTRACT No. 68-01-6769 (PRIME CONTRACTOR: GCA) DATES OF WORK: TASKS PERFORMED: WAS ANY WORK DONE UNDER THE TFS II CONTRACT? YES NO CONTRACT No. 68-01-7037 (PRIME CONTRACTOR: PRO DATES OF WORK: TASKS PERFORMED: 14. WAS ANY WORK DONE UNDER THE LIFE SYSTEMS CONTRACT? YES NO CONTRACT No. 68-03-3136 DATES OF WORK ANY OTHER CONTRACTOR USED: NAME: CONTRACT NO. DATES OF WORK: 15. PLEASE PROVIDE THE FOLLOWING INFORMATION ABOUT OTHER TDERAL AGENCIES THAT WORKED ON THE SITE: AGENCY IAG » DATES OF WORK CONTACT PERSON/TELEPHONE HHS m COE OSCG . FEMA DOJ DOI ------- COST RECOVERY DOCUMENTATION CHECKLIST, PAGE 4 OSWER # 9832.4 NOAA USGS BRIEF DESCRIPTION OF WORK: 16. WAS THERE A STATE COOPERATIVE AGREEMENT OR CONTRACT? YES NO STATE: COOPERATIVE AGREEMENT f CONTRACT NO. 17. WERE ANY OTHER CONTRACTORS (e.g., R&D CONTRACTS) USED? IF SO, PLEASE PROVIDE THE FOLLOWING: CONTRACTOR: CONTRACT No. DATES OF WORK: BRIEF DESCRIPTION OF WORK: 18. WERE ANY REGIONAL COUNSEL APPROPRIATIONS FOR LEGAL EXPENSES USED? YES NO 19. PLEASE LIST THE REGIONAL OFFICES WHICH HAVE BEEN INVOLVED IN THE CASE: 20. ANY OTHER PERTINENT INFORMATION NOT PROVIDED ABOVE: ------- OSWER f 9832.4 APPENDIX E SAMPLE CASE COST SUMMARY ------- OSWER f 9832.4 NARRATIVE SUMMARY/STATEMENT OF FACTS COSTS FOR 1. The United States Environmental Protection Agency has incurred costs of . . at least 3188,424.64 for Headquarters and Regional payroll. 2. The United States Environmental Protection Agency has incurred costs of at least 551,890.44 for Headquarters and Regional travel. 3. The United States Environmental Protection Agency has incurred costs of at least 5109,953.36 for remedial contract expenditures. This total represents the anount spent under the 4. The United States Environmental Protection Agency has incurred costs of at least 515,131.26 for renedial contract exoenditur**;. This total represents the anount spend under the 5. The United States Environmental Protection Agency has incurred costs of at least $420,794.22 for renedial contract expenditures. This total represents tne a-x>unt spent under the 6. The United States Environmental Protection Agency has incurred costs of at least 5212,813.16 for field investigation tean contract expenditures. This total represents the amount spent under the 7. The United States Environmental Protection Agency has incurred costs of at least 547,560.11 for technical assistance team contract expenditures. This total represents the amount spent under the Ecology and Environment contract. 8. The United States Environmental Protection Agency has incurred costs of at least 511,938.51 for On-Site Coordinator (OSC) Let contract costs. The emeroencv resoonse action has performed under contract by 9. The United States Environmental Protection Agency has incurred costs of at least $10,980.00 for aerial photograph and analysis support. This total represents the amount spent under the EKSL contract. 10. The United States Environmental Protection Agency has incurred costs of at least 5996,546.98 for Interagency Agreements (IAG) with the Department of Justice and the U.S. Coast Guard. ------- "2- OSWER $ 9832 4 11. The United States Environmental Protection Agency has incurred costs of _ at least $190,661.62 for investigative contract costs under contract by the National Enforcement Investigative Center (NEIC).. 12. The United States Environmental Protection Agency has incurred costs of _ .at least $10,438.00 for expert witness support under contract with the 13. The United States Environmental Protection Agency has incurred costs of at least $342,552.41 for National Lab contract expenditures. This total represents the costs of generating laboratory analysis of samples collected. 14. The United Si.ates Envirornental Protection Agency has incurred costs of at least $196,113.00 for miscellaneous contract costs under contract by ------- OSWER | 9832.4 COST SUMMARY EPA. EXPENDITURES EPA PAYROLL ------------------ 188,424.64 EPA TRAVEL ------------------------- 51,890.44 REM CONTRACT --- 106,171.67 REM CONTRACT ---- 1,081.15 REM CONTRACT - 2,700.54 REM CDNTRACT -- 15,131.26 REM/FIT CONTRACT - - 420,794.22 FIT CDNTRACT ------ ' - 212,813.16 TAT CONTRACT -------- : - 47,560.11 OSC LET CDNTRACT ---------- 11,938.51 OVERFLIGHTS EMSL ----------------- : -- 10,980.00 INTERAGENCY AGREEMENTS' Department of Justice -------------------- 110,046.98 U.S. Coast Guard ----------------- 886,500.00 NEIC CDNTRACT -------------------- 190,661.62 ------------------- 10,438.00 NATICKAL LAB CDNTRACT ------------- 342,552.41 ------------- ------- 196,153.00 TOTAL EPA EXPENDITURES S 2,805,837.71 ------- OSWER 9832.4 COST SUMMARY EPA PAYROLL BiPtD?EE NAME HEADQUARTERS Barclay, Michael Burack, Mitchell Barnes, Wanda Cibulski, Robert Clerens, Rob Conti, Susan Delvin, Dennis, J. Dick, Mary D. Elkus, Barbara Garrahan, Kevin Gilbert, John M. Grundler, Christopher Farnsworth, Douglas Keplinger, Helen Klaas, Julie A. Kosakowski, Michael Lafornara, Joseph Livolsi, Joseph Mittelman, Abraham Murphy, Jack Schwartz, Jerry VJneeler, John Wright, John . NUMBER OF HOURS 63.0 1,017.25 3.0 25.0 22.0 1.0 441.0 5.0 3.0 609.0 8.0 130.0 3.0 2.0 3.0 8.0 8.0 30.0 12.0 198.0 20.5 51.0 4.5 AMOUNT 1,149.12 16,030.27 22.79 474.71 440.22 10.39 6,163.34 91.20 63.78 11,590.60 199.65 1,987.18 70.47 31.76 41.18 193.05 206.89 205.80 262.95 3,881.17 390.74 815.41 61.14 TOTAL EPA HEADQUARTERS PAYROLL DOCUMEOTATIONi FMD SPUR Report, dated June 9, 1984 Copies of Applicable Timecards $44,383.81 EMPLOYEE NAME REGION Adams, Janes Allison, Birdie Ashkanazy, Patricia Banaszek, Kenneth Bartelt, Richard Bolger, Kevin Carter, Barbara 43.0 5.0 14.0 18.0 17.0 119.5 3.0 964.08 41.08 118.51 267.28 416.95 1,732.09 26.52 ------- OSWER # 9832.4 EPA PAYROLL EMPLOYEF NAME REGION NUMBER OF HOURS AMOUNT . Castle, Charles 1.0 19.71 Constaatelos, Basil 8.0 231.53 Dikinis, Jonas 33.0 570.52 Elam, Michael 2.0 30.55 Elly, Charles 31.0 729.94 Field, Roger 30.5 683.01 Flynne, Yvonne 135.0 2,477.02 Frye, Gilbert 90.0 1,777.22 Cade, Mary 134.5 2,806.8? Gardner, Caryn 37.0 314.22 Grimes, Roger 23.5 488.45 Hall, Robert 7.0 125.32 Hsia, Rei 15.0 234.36 Jirka, Andrea 41.2 746.97 Jones, Wanda 4.0 32.27 Joseph, Chacko 145.0 2,496;53 Kim, Sukwha 134.0 2,726.04 Kim, Thonas 78.0 984.70 King, Ernest 80.0 1,414.78 Knoy, Janes 68.0 942.41 Kucharz, Carolyn 17.0 200.67 Kuehl, Marcia 6.0 96.35 Kulna, Gregory 8.0 123.76 Rush, Beverly 2,899.0 50,592.31 Kyte, Lawrence 2,181.0 39,718.02 Langer, Mary 1.0 11.41 May, Dorothy 5.5 67.42 Morgan, Dorothy 30.0 199.63 Morris, John 37.0 669.38 Parikh, Pankaj 99.6 1,141.07 Paruchuri, Baixi 36.0 567.57 Phillips, Marsha 60.0 660.49 Radcliffe, Michelle 747.8 5,204.35 Randall, Sheila 19.7 151.02 Regan, Gerald 1.0 25.06 Rekar, Pare la 640.2 10,902.58 Ross, Curtis 1.0 28.70 Rutter, Anthony 27.0 472.07 Sargent, William 17.3 125.57 Schaefer, Robert 25.5 782.59 Schmidt, Larry 182.0 2,566.00 Schulteis, Jane .5 9.59 Sedvick, Helen 247.5 2,060.80 Street, Kerry 42.0 646.60 ------- OSWER # 9832.4 EPA PAYROLL EMPLOYEE KAME REGION WMBER OF HOURS AMOUNT* ThaXkar, Jayinthal 73.0 1,066.81 TysoTwMary 27.0 472.07 Ullrich, David 10.2 312.91 Vanderlaan, Gregory 47.0 917.59 Vteslowski, Dennis 18.0 250.02 Witcher, Stephanie 4.0 34.93 Womack, Belinda 52.0 331.24 Wong, Gene 8.0 94.66 Young, Marvin 7.0 138.64 TOTAL REGIONAL PAYROLL t 5144,040.83 DOCUMENTATION: EPA Region V Personnel Cost Surmary as of August 18, 1984 TOTAL ETA PAYROLL (HEADQUARTERS AND REGION) $188,424.64 ------- OSWER ft 9832.4 CDST SUMMARY EPA TRAVEL JXPLOYEE NAME HEADQUARTERS Barclay* Michael Biros, Francis, J, Burack, Mitchell Cibulski, Robert Grundler, Christopher Devlin, Dennis J. Garrahan, Kevin Luccro, Gene Murphy, Jack TRAVEL NUMBER 970381 970391 838151 911448 747780 974948 974935 974925 575312 764972 754295 993411 839112 9656B4 969061 961987 827895 778420 730521 829636 829637 830288 911401 838332 911443 970316 829653 829626 983121 983119 830226 VOUCHER AMOUNT 296.21 294.20 445.95 543.95 511.60 373.71 208.00 44.00 675.67 363.50 545.09 320.85 282.45 489.05 289.69 350.94 291.75 322.68 274.38 410.69 407.55 222.25 559.-3 215.45 461.69 213.00 398.50 689.50 281.93 298.74 251.91 TREASURY NUMBER AND DATE 93709 73759 93796 93212 93275 93892 93728 93507 93086 93386 93087 64548 06262 64361 64363 64666 92648 92387 92303 93247 93247 93359 93125 93449 93167 93502 93253 93126 93694 93698 93482 6/7/83 6/20/83 6/29/83 12/14/82 1/4/83 7/29/83 . 6/10/83 4/4/83 11/3/82 2/25/83 11/4/82 1/10/84 4/27/83 11/25/83 12/6/83 4/5/82 8/25/82 5/7/82 4/8/82 12/21/82 12/21/82 2/2/83 11/19/82 3/16/83 12/16/62 4/S/83 12/23/82 11/22/82 6/2/83 6/6/83 3/28/83 ------- OSWER # 9832.4 EPA TRAVEL EMPLOYEE NAME HEADQUARTERS Schwartz, Jerry WoftU, Deborah TOTAL EPA HEADQUARTERS TRAVEL TRAVEL MttBER 97219? 754314 TOUCHER AMOUNT 315.25 294.50 TREASURY NUMBER AND DATE 64618 3/7/84 93219 12/16/82 511,944.33 DOCUMENTATION: FMD SPUR Report, dated June 30, 1984 Copies of Applicable Paid Travel Vouchers and Treasury Schedules EMPLOYEE NAME REGION Adans, Janes Bartelt, Richard Carlson, Marcia Castle, Charles Constantelos , Basil Dikinis, Jonas Elan, Michael Field, Roger :~ade, Mary Hartian, Robert 43344 23269 41084 41118 . 41192 30539 20294 20718 23077 22472 30524 30947 33299 23488 42161 32518 33907 40089 30294 30345 30538 33271 42299 325.90 125.25 127.51 317.00 411.75 440.77 307.65 235.00 88.70 180.00 219.26 304.40 152.63 137.00 .13.81 206.00 268.75 293.30 249.54 206.28 245.25 178.87 286.38 ------- -3- OSWER * 9832.4 EPA TSAVEX EMPLOYEE NAME REGION Knoy, .James Rush, Beverly TRAVEL NUMBER 41559 42098 22571 23171 23214 23348 23401 23493 23554 23653 30309 30573 30639 30818 30973 31024 31051 31194 31462 31548 31626 31709 31851 31985 32112 32262 32521 32631 32702 32730 32993 31597 33109 33200 33230 33451 33658 33678 33851 33890 34001 34054 34200 34226 34323 U3JCHER AMOUOT 270.07 119.76 304.60 168.90 242.90 149.40 403.63 174.40 421.92 284.80 175.50 160.70 309.29 266.10 182.92 210.44 54.23 273.00 149.62 193.30 230.50 200.10 215.31 375.15 254.30 840.08 303.91 290.45 264.90 275.36 333.55 184.00 337.25 181.50 214.00 389.92 327.72 387.25 184.80 384.05 383.53 321.38 195.75 275.23 393.50 ------- -4- OSWER # 9832.4 EMPLOYEE NAME ESGION VOUCHER VOUCHER AMOUNT Rush, Beverly Kyte, Lawrence 34418 34505 34597 40100 40162 40239 40352 40538 40651 40707 40928 41014 41015 41066 41218 41261 41408 41524 41681 42246 42270 42453 42755 42938 44014 44461 44835 12376 20236 20427 20927 22071 22578 22741 22990 23055 23229 23303 23308 23526 23546 23680 23830 23858 30053 30347 390.97 395.93 182.10 445.54 350.38 522.49 350.34 279.15 227.00 353.98 361.43 50.16 291.98 222.29 362.05 353.52 292.61 292.93 273.73 241.48 239.99 371.98 270.68 240.38 143.98 195.70 155.72 207.30 141.75 215.95 262.39 196.00 349.65 329.00 117.96 212.10 232.40 323.43 167.50 349.88 523.68 604.81 247.32 468.25 705.38 156.15 ------- -5- OSWER # 9832.4 EMPLOYEE NAME REGION Kyte, Lawrence - Ostrodka, Steve Payne, David Radcliffe, Michelle Rekar, Pamela * Schaefer, Robert Sedwick, Helen Vanderlaan, Gregory TOTAL EPA REGIONAL TRAVEL DOCUMENTATION: Regional Travel VCUCHEP NUMBER 30551 30637 30760 30806 30966 32511 33908 34569 40087 42527 - 42953 43675 44412 44876 44015 44438 23433 22073 22740 23246 23307 23525 30636 30838 22574 23247 23430 22475 22749 23215 30308 30525 32150 34558 42756 Sunmary as of VOUCHER W10UNT 177.88 216.70 304.16 224.35 216.75 190.84 215.30 251.38 278.40 347.09 .314.51 89.53 304.47 21.38 132.00 369.30 336.84 208.30 308.62 354.21 155.75 286.10 184.30 185.90 194.06 336.74 194.50 152.85 335.10 258.50 181.50 248.21 223.96 402.90 269.50 $39,946.11 August 6, 1984 TOTAL EPA TRAVEL $51,890.44 ------- OSWER # 9832.4 COST SUKMARY REM CONTRACT CONTRACTOR: CONTRACT NO: PROJECT OFFICER: Nancy Willis DATES OF WORK: July 1983 - April 1984 SUMMARY OF WORK: Remedial Enforcement Support; Renedial Investigation/ Feasibility Study TOTAL CONTRACTOR COST: $106,171.67 DOCUMENTATION: FMD SPUR Report Dated June 3,0, 1984; Copies of Applicable Paid Invoices and Treasury Schedules Voucher Nunber 11 12 13 14" 15 16 17 18 19 Voucher fnount CV.Cf£12.93 $632,019.55 $810,491.19 $959,748.51 $736,708.51 $2,267,864.09 $2,675,862.08 $2,562,929.21 $2,748,326.71 Voucher Date 9/9/83 10/12/83 11/14/83 12/15/83 1/13/84 2/14/84 3/13/84 4/12/84 5/14/84 Treasury Schedule Nun!->er and Date 7014 - 7055 - 7096 - 7170 - 7180 - 7228 - 7266 - 7318 - 7373 - 10/14/83 11/14/83 12/9/93 2/3/84 2/16/84 3/16/84 4/10/84 5/8/84 6/12/84 ------- OSWER * 9832.4 COST REK CONTRACT CONTRACT NUMBER: PROJECT OFFICER: Nancy Willis CATES OF WORK: July 1983 - April 1984 SUhMARY OF WORK: Comunity Relations Plan TOTAL CONTRACTOR CDST: 51,081.15 DOCUMENTATION: Copies of Paid Invoices and Treasury Schedules Voucher Voucher Voucher Treasury Schedule Number Amount Date Number and Date 19 52,748,326.71 5/14/84 7373-6/12/84 ------- ODST SUf # 9832.4 KM CONTRACT CONTRACTOR: CONTRACT JJO: PROJECT OFFICERj Nancy Willis DATES OF WORK: January 1983 - September 1983 SWIAKf OF WORK: Reredial Action Master Plan (RAM?) TOTAL CONTRACTOR COST: $2,700.54 DOCUMENTATION': Copies of Applicable Paid Invoices and Treasury Schedules Voucher Nunber 5 6 7 8 9 10-5 11-5 12-5 Voucher Amount 51,390,834.00 $1,400,297.64 $514,696.70 $536,483.25 $595,664.64 $779,789.39 $740,612.93 $632,0.l.y.55 Voucher Date 3/15/83 4/15/63 5/17/83 6/15/83 7/13/83 8/9/83 9/9/E3 10/12/83 . Treasury Schedule Nunber and Date 7427 7495 7529 7571 7623 7696 7014 7055 - 4/13/83 - 5/18/83 - 6/14/83 - 7/19/83 - 8/10/83 - 9/21/83 - 10/14/83 - 11/14/83 ------- OSWER f 9832.4 COST SUMMARY REM CONTRACT CONTRACTOR: CONTRACT NO: DATES OP WORK: August 82 - June 83 SUMMARY OF WORK: Renedial Action Master Plans (RAMPs) TOTAL CONTRACTOR CDST: . $15,131.26 INVOICE NUMBER 14 15 16 17 18 19 20 21 22 23 24 25 INVOICE AMOUNT 155,012.29 132,742.75 227,133.43 179,183.70 209,948.96 61,990.76 47,932.58 27,299.91 9,603.64 9,866.31 52,814.88 716.66 INVOICE TATE 9/9/82 10/4/82 11/8/82 12/6/82 1/17/83 2/4/83 3/7/83 4/8/83 5/10/83 6/7/83 7/18/83 8/8/83 TREASURY NUMBER 27193 27400 27593 27884 271228 01357 01462 01657 01709 227562 07652 07689 TREASURY DATE 10/29/82 11/30/82 12/17/82 1/19/83 2/28/83 4/1/83 4/21/83 6/6/83 6/20/83 7/19/83 8/26/83 9/16/83 DOCUMENTATION: Copies of Applicable Paid Vouchers and Treasury Schedules ------- OSWER # 9832.4 COST SUMMARY FIT CONTRACT CONTRACTOR: CONTRACT NO: DATES OF WORK: January 6, 1983 - August 1, 1983 SUMMARY OF WORK: Provide assistance and oversight in conjunction with and during privately financed clean-up at site. TOTAL CONTRACTOR COST: 8420,794.22 DOCUMENTATION: Contractor Cost Surmary Copies of Applicable Paid Invoices and Treasury Schedules ------- OSWER # 9832.4 REX OOKIRACT VOUCHER NO. 4 5 - 7 7 7 8 8 8 9 9 9 10 10 11 11 VOUCHER DATE 2/15/83 3/15/83 4/15/83 4/15/83 5/6/83 5/17/83 7/7/83 5/12/83 7/27/83 6/15/83 7/13/83 7/13/84 7/13/83 8/9/83 9/9/83 9/9/83 9/9/83 VOUCHER AMOUNT* 1,103,951.00 1,397,056.00 1,400,297.04 215,325.09 100,301.00 514,696.70 326,921.28 41,799.08 301,457.06 536,483.25 1,896,609.69' 329,523.15 595r664.64 320,452.68 806,210.55 510,833.30 744,198.52 VOUOiERS TREASURY NO* AND DATE 7353 7427 7495 7495 7515 7529 7605 7522 7641 7571 7623 7623 7623 7666 7696 7012 7014 3/15/83 4/13/83 5/18/83 5/18/83 6/6/83 6/14/83 8/4/83 6/8/83 8/22/83 7/19/83 8/10/83 8/10/83 8/10/83 9/8/83 9/21/83 1/13/83 10/14/83 *NOTE: Vouchers are not paid site specific; they are paid lump sun to individual contractors for work performed during a certain period of time, ------- COST SOTtttW " OSWER # 9832.4 FIT CONTRACT CONTRACTOR: CONTRACT NO: DATES OF WORK: May 30, 198D - December 10, 1982 SUTWARX OF WORK: Provide assistance to Region in obtaining a complete scope of work for clean up; perrom work originally scheduled for subcontractor; determine ccnplete cost, estimate for clean up; identification of generators responsible for and the nature and quantity of chemiccal wastes now at the site; organize, collate'and summarize data; give analytical breakdown of FIT report on generators utilizing the site; prepare a generator cost estimate for removal and disposal of waste at the site; compare records which were found at the ite with those furnished by the generators; review site files to verify quantities of material shipped by various generators; review ground waste study proposals for the site; determine the extent of soil contamination and location of buried materials by utilizing geophysical and soil boring techniques; assist in preparation of information being sent to generators as part of the enforcement action for the site; perform winterization of the surface water treatnent system. TOTAL CONTRACTOR COST: $212,813.16 DOCUMENTATION: Contractor Cost Surmary Copies of Applicable Paid Invoices and Treasury Schedules ------- OSWER * 9832.4 FIT CONTRACT - VOUCHER NO. 9 m . 10 11 12 13 14 15 16 17 22 21 20 19 18 23 25 27 26 28 30 38 37 36 34 33 32 42 41 40 39 44 43 46 45 49 48 47 51 SO 54 53 52 VOUCHER DATE 6/11/80 6/24/80 7/8/80 7/22/80 7/22/80 8/6/80 8/20/80 9/5/80 9/18/80 10/28/80 10/21/80 10/21/80 10/14/80 10/3/80 10/18/80 11/26/80 12/22/80 12/9/80 1/5/81 2/2/81 3/30/81 3/18/81 3/18/81 3/2/81 3/2/81 3/2/81 4/27/81 4/27/81 4/27/81 4/7/81 5/27/81 5/11/81 6/22/81 6/8/81 7/30/81 7/20/81 7/9/81 8/21/81 8/5/81 .9/29/81 9/16/81 9/1/81 VOUCHER AMOUNT* 394,503.00 348,863.00 488,487.00 562,609.00 87,000.00 484,609.00 469,252.00 502,28 3 .'30 310,443.00 473,821.30 10,620.00 562,291.00 342,026.00 340,403.00 122,488.00 391,925.00 280,322.00 390,741.00 "322,216.00 493,213.00 524,213.00 439,330.00 3,051.00 151,849.00 437,891.10 15,813.0*0 366,725.00 454,122.00 303,773.90 147,035.00 395,757.00 477,270.00 379,437.00 467,851.00 164,308e00 464,497,00 438,686.00 410,397.00 421,354.00 364,636.00 359,953.00 377,975.00 VOUCHERS TREASURY -NO. 7273 7287 7299 7316 7316 7336' 7347 7359 7379 7031 7018 7018 7018 7008 7044 7055 7083 7066 7083 7136 7207 7207 7207 7158 7158 7158 7266 7266 7266 7220 7300 7278 7344 7323 7416 7418 7403 7443 7423 7076 7034 7021 AND DATE 6/16/80 6/25/80 7/11/80 7/24/80 7/24/80 8/13/80 8/25/80 9/8/30 9/23/80 11/04/80 10/23/80 10/23/80 10/23/80 10/7/80 11/18/80 12/2/80 1/9/81 12/15/80 1/9/81 2/18/81 4/2/81 4/2/81 4/2/81 3/6/84 3/6/81 3/6/81 5/6/81 5/6/81 5/6/81 4/9/81 6/1/81 5/14/81 7/1/81 6/16/81 8/11/81 8/12/81 8/3/81 8/25/81 8/14/81 11//3/81 10/6/81 10/1/81 NOTE: Vouchers are not paid site specificjthey are paid lumpsum to an individual contractor for wort performed during that period of tune ------- OSWER # 9832.4 FIT OKISACT - -2- ) VCUOiERS ODNTINUED 58 57 56 55 59 60 62 61 65 64 63 67 66 71 70 69 68 75 74 73 72 76 77 80 79 84 81 82 83 85 86 91 90 88 89 94 92 97 95 98 99 10/27/81 10/27/81 10/14/81 10/5/81 11/11/81 11/23/81 12/21/81 12/8/81 1/19/82 1/12/82 1/11/82 2/16/82 2/3/82 3/30/82 3/16/82 3/9/82 3/3/B2 4/27/82 4/15/82 4/13/82 4/6/82 5/12/82 5/26/82 6/22/82 6/18/82 7/21/82 7/7/82 7/7/82 7/7/82 8/4/62 8/19/82 9/28/82 9/24/82 9/1/82 9/16/82 10/26/82 10/1/82 11/23/82 11/9/82 12/7/82 12/21/82 438,294.03 61,414.45 396,213.00 567,596.00 454,656.00 341,249.00 549,640.00 465,916.00 529,988.00 237,386.00 365,825.00 523,916.00 458,819.00 454',585.00 529,771.00 183,855.00 526,452.00 623,477.00 71,111.00 566,002.00 148,220.00 509,382.00 444,487.00 586,112.00 15,602.00 446,201.00 34,512.00 148,220.00 550,425.00 673,909.00 469,978.00 598,722.00 141,737.00 508,473.00 425,279.00 472,725.00 148,220.00 467,486.00 722,473.00 373,919.00 640,037.00 7076 7076 7076 7076 7131 7182 7204 7182 7262 7254 7325 7290 7290 7457 7338 7336 7320 7445 7426 7414 7387 7467 7515 7553 7553 7624 7586 7586 7586 7651 7682 7051 7051 7700 7042 7139 7051 7212 7188 7222 7250 11/3/81 11/3/81 11/3/81 11/3/81 12/8/81 1/13/82 2/3/82 1/13/82 3/4/82 3/2/82 3/11/82 3/17/82 3/17/82 6/2/82 4/13/82 4/9/82 4/2/82 5/19/82 5/14/82 5/11/82 5/3/82 6/9/82 6/24/82 7/14/82 7/14/82 8/18/82 8/2/82 8/2/82 8/2/82 9/1/82 9/15/82 10/21/82 10/21/82 9/21/82 10/15/82 11/22/82 10/21/82 12/28/82 12/15/82 1/7/83 1/17/83 ------- OSWER # 9832.4 ODST TAT CONTRACT » CONTRACTOR: CONTRACT NO: DATES OP WORK: April 1980 to September 1982 SUMMARY OF WORK: Assist in obtaining liquid samples; identify containers by label; maintain logs; identify dangerous materials; evaluate direction of ground water flow; sample bulk storage tanks; assist OSC in labeling, . packaging and shipping ground water samples; asdsist OSC in resupplying carbon filter on site and return equipment to EDO; accompany various conpany representatives on site to insure compliance with site safety plans; determine type and size of treatment system that will treat run off fron site; assist in monitoring the installation of the waste water treatment system on site; prepare a complete listing of generators; dates wastes were received on site, location of wastes and types of wastes, TOTAL CONTRACTOR COST: $47,560.11 DOCUfCNTATION: Contractor Cost Sunmary Copies of Applicable Paid Invoices and Treasury Schedules ------- 10/22/84 oswer ft 9832.4 TAT CONTRACT - VOUCHER NO. 26 25 28- 27 29 29 31 33 32 34 35 36 36 37 40 41- 42 43 45 44 46 48 47 49 50 52 53 54 55 56 51 58 57 61 64 63 62 66 65 67 68 9 71 70 VOUCHER DATE 5/30/BO 5/14/80 6/24/80 6/11/80 6/24/80 7/8/80 7/8/80 8/20/80 8/6/80 , 8/25/80 9/5/80 9/18/80 10/14/80 10/3/80 10/21/80 10/28/80 11/11/80 11/26/80 12/9/80 12/2/80 12/22/80 1/19/81 1/5/81 2/2/81 2/17/81 3/2/81 3/2/81 3/18/81 3/30/81 3/27/81 3/2/81 4/27/81 4/13/81 5/26/81 6/22/81 6/8/81 6/8/81 7/20/81 7/9/81 8/5/81 8/19/81 8/21/84 9/16/81 9/1/81 ) VOUO1ERS VOJOffiR AMOUNT* TREASURY NO. AND BATE 108,763.00 159,552.00 133,815.00 164,264.00 36,669.00 131,115.00 262,222.00 132,805.00 214,630.00 32,036.00 117,569.00 110,278.00 128,723.00 99,817.00 10,936.70 166,475.00 166,852.00 142,456.00 104,291.00 66,871.00 112,166.00 123,652.00 98,717.00 165,630.00 149,245.00 171,381.00 69,964.00 118,873.00 150,155.00 2,454.00 7,704.00 116,745.00 131,541.00 115,910.00 124,746.00 125,268.00 S2.372.00 105,331.00 130,857.00 132,947.00 58,903.00 146,415.00 141,406.00 104,401.00 7258 7237 7311 7276 7311 7299 7342 7359. 7359 7359 7359 7379 7031 7021 7045 7045 7045 7063 7060 7072 7082 - 7128 7101 7144 7186 7191 7191 7707 7207 7253 7191 7293 7262 7336 7364 7364 7364 7418 7403 7423 7443 7443 7034 7022 6/4/80 5/15/80 7/21/80 6/18/80 7/21/80 7/11/80 8/21/80 9/8/30 9/8/80 9/8/80 9/8/80 9/23/80 11/04/80 10/24/80 11/18/80 11/18/80 11/18/80 12/12/80 7/12/81 12/24/80 1/13/81 2/81 2/23/81 3/2/81 3/19/81 3/23/81 3/23/81 4/2/81 4/2/81 4/1/81 4/23/81 5/22/81 5/5/81 6/24/81 7/14/81 7/14/84 7/14/81 8/12/81 8/3/81 9/14/81 9/25/81 9/25/81 10/6/81 10/1/81 NOTE: Vouchers are not paid site specific; they are paid luwp sum payments to an individual contractor for work performed during that period of time. ------- -2- OSWER # 9832.4 TAT - VOUCHERS CONTINUED 72 74 76 . 73 78 77 81 79 80 82 83 64 85 88 87 86 91 92 90 93 94 96 97 98 99 104 9/29/81 10/5/81 10/27/81 10/5/81 11/23/81 11/10/81 12/21/81 12/8/81 12/8/81 1/5/82 1/19/82 2/1/82 2/16/82 3/19/82 3/16/82 3/3/82 4/27/82 4/28/82 4/13/82 5/12/82 5/26/82 6/17/82 6/22/82 7/7/82 7/21/82 9/24/82 128,963.00 7076 344,422.00 7076 203,384.00 7076 22,108.00 7076 235,030.00 7182 257,030.00 7131 232,501.00 7204 60,773.00 7182 254,402.00 7182 169,172.00 7252 277,092.00 7231 289,555.00 7270 344,129.00 7290 64,230.00 7362 685,342.00 7338 274,258.00 7336 335,501.00 7442 255.00 7414 354,947.00 7414 283,331.00 7467 249,818.00 7506 200,146.00 7544 318,658.00 7553 271,767.00 7586 266.,989.00 7610 203,471.00 7062 11/3/81 11/3/81 11/3/81 11/3/81 1/13/82 2/2/82 2/3/82 1A3/82 1/13/82 2/11/82 2/15/82 3/8/82 3/17/82 4/20/82 4/13/82 4/9/82 5/19/82 5/14/82 5/11/82 6/9/82 6/25/82 7/12/82 7/14/82 8/2/82 8/13/82 10/22/82 ------- OSWER f 9832.4 CDST SUMMARY OSC LET CONTRACT CONTRACTOR: CONTRACT NO: DATES OF WORK: August 1982 SUMMARY OF WORK: Place aggregate in filter tanks; install back flush and inffluent lines, sunp punps; interconnecting pipking, install carbon and pea gravel nove tank; fabricate and install under drain, place pea gravel. INVOICE NUMBER 8252 8252 INVOICE TREASURY NUMBER AMOUOT AND DATE $11,999.26 less 5% = $11,399.30 7014 5% returned (final) = 53^.21 7197 10/14/82 2/28/82 TOTAL CONTRACTOR COST: S11,Q38.51 DOCUMENTATION: FMD SPUR Report,. dated .lune 30, 19R4 Copiesd of Applicable Paid Invoices and Treasury Schedules ------- OSWER * 9832.4 COST SUM1ARY OVERFLIGHTS CONTRACTOR: Bnvirormental Monitoring Syster\s Laboratory PROJECT NO: AMD 83039 SUttttK? OF WORK: Aerial photography and analysis support TOTAL CONTRACTOR COST: $10,980.00 COCU^NTATION: Contractor Cost Summary, dated 4/2/84 ------- OSWER ft 9832.4 ODST SWMARY INTERAGENCY AGREEMENTS AGENCY: Department of Justice IA3 NO: AD15F2A090 SUTWARY OF WORK: VOUCHED NUMBER 2R00517 2R00362 3R00103 3R00471 VOUCHER AMOUNT $ 241,739.82 383,571.65 439,786.81 102,594.87 191,586.60 n Litigation DATES OF SERVICE 1st Qtr. FY 82 2nd Qtr. FY 82 3rd Qtr. FY 82 4th Qtr. FY 82 4th Qtr. FY 82 Oct./Nov. 1982 IAG VOUCHER AMOUNT $ 1,861.48 465.37 11,066.81 69,663.70 10,945.41 16,044.21 TOTAL IAG COST: 5110,046.98 DOCUMENTATION: F*O SPUR Report, dated June 30, 1984 Copies of Applicable Vouchers of Withdrawal ------- OSWER #.9832.4 APPENDIX F INFORMATION COVERED BY THE PRIVACY ACT ------- OSWER * 9832.4 INFORMATION COVERFD BY THE PRIVACY ACT The following list identifies those types of personal information that must be redacted before cost documentation may be produced durinq discovery or at trial. It must be noted that this list is not all-inclusive. Because of the widely varying types of invoices, vouchers, forms and other documents that will be produced, there may be other types of information, not identified here, that are entitled to be withheld from disclosure. 0 Social Security Numbers 0 Credit card numbers 0 Type of credit card (as indicated on either the card irprint, on the pre-printed form, or hand written) c Home address e Home telephone number e All non-business calls (place and number called, time, amount, and bill total) on personal telephone bill e Drivers license number Comments'on travel voucher such as "Stayed with Relatives" 0 Annual and sick leave balances c Timecard or timesheet consents * Coded information on front of timecard In addition, as noted in the text, all information relating to sites other than the one for which the documentation is to be produced should be redacted. This typically invloves only timesheets, timecards and travel vouchers. ------- OSWER # 9832.4 APPENDIX G SAMPLE STIPULATION/PROTECTIVE ORDER ------- OSWER ft 9832.4 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF UNITES STATES OF AMERICA, Plaintiff, Defendants Civil Action No, STIPULATION AND PROTECTIVE ORDER Plaintiff United States of America and defendants have hereby stipulated that discovery in this case will necessarily involve production of confidential commercial and financial information. In view of this stipulation, the Court finds that good cause exists for issuance of a protective order. Upon consideration of the joint motion for such an order filed by these parties, and pursuant to Rule 26(c), Federal Rules of Civil Procedure, IT IS HEREBY ORDERED: ------- OSWER # 9832.4 - 2 - * 1. The United States may designate as "confidential material" all or any part of: (1) its answers to interrogatories; (ii) transcripts of depositions of its officers, directors, employees, agents, and representatives; (iii) documents produced by it; and (iv) any other discovery or disclosure made by it in this litigation. The United States of America will make that designation only after a bona fide determination that the material contains "confidential information." As used in this order, the term "confidential information" means proprietary technical or commercial information designated es such by a party producing such information, and constituting trade secrets, confidential know-how, proprietary information, and the like, which relates to a product or products or a commercial operation used or proposed to be used, or which relates to or contains financial, research or commercial information generated by said party. 2. The designation of confidential material shall be made in accordance with Paragraph 3 of this order, shall occur prior to, or contemporaneously with, the production or disclosure of that material or information, and shall be binding upon all parties subject to Paragraph 9 of this Stipulation and Protective Order. ------- OSWER # 9832.4 - 3 - 3. Any document, any written statement, and*any transcript, copy, excerpt, synopsis, summary or note pertaining to any such document or statement, or to any oral statement, which contains confidential information shall be stamped conspicuously with the word "CONFIDENTIAL" prior to production. A party producing CONFIDENTIAL" documents will segregate the documents as to which confidentiality is claimed, provide a list of said documents, or otherwise "flag" the documents so that other parties are notified of the claims. The designation and transmittal of confidential material shall be made by letter from the plaintiff properly indicating that those documents which are confidential are subject to this Protective Order." 4. Any party may object to matter marked "CONFIDENTIAL" by the United States and may apply to the Court for an order removing such confidentiality at any time following production of the document or thing in question, provided, however: (i) the party making such application shall comply with [applicable local rule, if any] in connection therewith; and (ii) nothing in this paragraph shall alter the burden of proof which otherwise would apply to a determination whether the particular claim of confidentiality is justified. Material or information claimed ------- OSWER # 9832.4 - 4 - to be confidential that is subject to a dispute as to whether it is in fact confidential material or information shall, until further order of the Court, be treated as confidential in accordance with the provisions of this Stipulation and Protective Order. 5. Material or information designated confidential under this Stipulation and Protective Order shall not be used or disclosed by any party for business or competitive purposes, or for any purpose whatsoever other than for the preparation for, and trial of, this action and any appeal therein. 6. Counsel for the party who obtains material or information designated confidential under this Stipulation and Protective Order from the United States of America, or counsel for any other party or any person or entity not a party, shall not disclose or permit disclosure of this material or information to any other person or entity, including without limitation any officer, director, employee, agent, or representative of the party who obtained disclosure, except in the following circumstances: a. Disclosure may be made to employees of counsel who have a direct functional responsibility for the preparation and trial of this action or any appeal therein. Any employee to whom disclosure is made shall be advised of, and become ------- OSWER ft 9832.4 - .5 - * subject to, the provisions of this Stipulation and Protective Order requiring that the material and information be held in confidence. A list of such employees must be furnished to counsel for the party asserting confidentiality five (5) business days before disclosure is made. Counsel for a party includes in-house counsel. Employees do not include persons, firms or corporations engaged by counsel on a contract basis, who shall be subject to the requirements of Paragraphs 6(b) and 6(c) of this Stipulation and Protective Order. b. Disclosure may be made to consultants or experts ("Expert(s)") employed by a party or counsel to a party to assist counsel in the preparation and trial of this litigation. Prior to disclosure to any Expert, the Expert must agree to be bound by the terms of this Stipulation and Protective Order by executing the Confidentiality Agreement annexed hereto as Exhibit A ("Agreement"), and he must be identified in writing to counsel for the party asserting confidentiality not less than ten (10) business clays before disclosure is made to the Expert. Identification 01 the expert shall include the expert's name, business address, telephone number and the name(s) of companies for which he is currently employed and by whom he nay have been employed for the period of one year prior to his disclosure. A copy of each executed Agreement shall be furnished not less than five (5) business days prior to disclosure to ------- OSWER # 9832.4 - 6 - » the Expert to counsel for the party claiming confidentiality under this Stipulation and Protective Order. If counsel for the party asserting confidentiality objects to disclosure to any Expert, then disclosure shall not then be made. Any dispute in connection with disclosure of material or information claimed to be confidential shall be presented to the Court for. determination. c. In connection with a-ny proceeding in this action, disclosure may be made to witnessess who are officers, directors, employee..;, agents, representatives, or Experts to the party who designated the material or information as confidential. With respect to any other person who is a witness or Expert witness, disclosure shall not be made unless and until that person agrees to be bound by the terms of this Stipulation and Protective Order by executing the Agreement described in subparagraoh (b) above, and that person is identified in writing to counsel for the party asserting confidentiality not less than ten (10) business days before disclosure is made to the witness or Expert ; ?. ness pri.or to the date set for the proceeding. Identification shall include that information outlined in Paragraph 6(b) of this Stipulation and Protective Order. If counsel for the party asserting confidentiality objects to disclosure to any person who is a witness or Expert witness, then disclosure ------- OSWER t 9832.4 - 7 - shall not be made. Any dispute in connection with disclosure of material or information claimed to be confidential shall be presented -:o the Court for determination. 7. Counsel for any party who obtains material or information designated confidential under this Stipulation and Protective Order from any other party, counsel to any other party, or any person or entity not a party shall keep that material or information within its exclusive possession and control and shall immediately place the material and information in a secure and segregated facility. Except as provided in Paragraph 6 above, no person shall have access to the foregoing facility. 8. Each party, counsel for each party, and any person, witness, Expert, or entity not a party to this action who obtains access to material or information designated confidential under this Stipulation and Protective Order shall not make copies, duplicates, extracts, summaries, or descriptions of the material or information or any portion thereof. 9. All depositions of persons with knowledge of cost documentation and EPA contractor costs in this action shall be held in the presence only of the deponent, officers of the Court, Including the reporter, representatives designated by the Plaintiff, and persons described in Paragraph 6, above* 10. To the extent that any answers to interrogatories, exhibits, transcripts of depositions, responses to requests for ------- OSWER # 9832.4 - 8 - admission, or any other papers filed or to be filed with the Court reveal, may reveal, tend to reveal, or may tend to reveal any information claimed to be confidential by any other party, counsel to any other party, or any person or entity not a party, such documents shall be filed in sealed envelopes or other appropriate sealed containers on which shall be endorsed the caption of this litigation, an indication of the nature of the contents of such sealed envelope or other container, the word "CONFIDENTIAL", and a statement substantially in the following form: "This envelope, containing documents which are filed in this case by , ("the producing party") is not to be opened and the contents are not to be displayed or revealed except by -order of the Court or consent of the producing party." In additional, course! for the party asserting confidentiality should be so informed no less than ten (10) business days before the date set for trial, motion, or other proceeding. Upon the request c.i the party or counsel for the party claiming confidentiality, the evidence shall be submitted in camera and shall be sealed, and any proceeding involving disclosure of the evidence shall be held in camera. 11. Nothwithstanding anything to the contrary, the plaintiff is free to exhibit material or information designated as confidential by that party to any person or entity not ------- OSWER # 9832.4 - 9 - subject to the protective procedures set forth in this Stipulation and Protective Order, and such exhibition shall not result in a waiver of the claimed confidentiality. 12. Upon final termination of this action, whether by judgment, settlement, or otherwise: a. Counsel of record for each party, person, and entity who obtained material or information claimed to be confidential shall assemble and return to the party, person, and entity or their counsel who disclosed the material or information and claimed confidentiality therefor, all materials in his or its possession or subject to his or its control that reveal, may reveal, tend to reveal, or may tend to reveal confidential materials or information, except that all such materials constituting the work product of counsel of record shall be immediately destroyed; and b. The Clerk of the Court shall maintain in perpetuity under seal all papers filed under seal with the Court, including, without limitation, transcripts of. deposition answers to interrogatories, responses to requests for admission, motion papers, memoranda of law, documents, and exhibits as to which material or information a claim of confidentiaity was made. ------- OSWER * 9832.4 CONFIDENTIALITY AGREEMENT The undersigned is currently working at which is located at _. During the past year the undersigned has been employed by the following companies located at the corresponding addresses: The undersigned hereby acknowledges that he (she) has read the foregoing Stipulation and Protective Order executed by the attorneys of record for the parties of the action presently pending in the U.S. District Court for the District of entitled United States v. | , understands the terms thereof, and agrees, upon threat of penalty of contempt, to be bound by such terms. The undersigned understands that documents which have been designated as confidential are likely to cause substantial harm to the applicable business1 competitive position if disclosed or handled in any manner other than that expressly directed by the Stipulation and Protective Order. Among other responsibilities, the undersigned shall keep the material within his/her exclusive possession, place the material in a secure and segregated facility, shall not make copies, duplicates, extracts, summaries, or descriptions of the material or information or any portion thereof, shall not disclose the information to persons other than those specifically authorized by the protective order, ------- OSWER # 9832.4 * and shall not use or disclose it for business or competitive purposes. The undersigned understands that the pledge of secrecy under this agreement continues after the lawsuit is over, and extends to confidential information disclosed in the future as well as to confidential information already disclosed to the undersigned. Furthermore, the undersigned understands that a breach of this Stipulation and Protective Order may constitute contempt of court and may result in damage to the competitive position of one or more private entities which may subject him (her) and/or his (her) employee to civil claims for damages by these entities. Date: Signed: ------- OSWER # 9832.4 APPENDIX H » MODEL CONFIDENTIAL BUSINESS INFORMATION LETTER ------- OSWER # 9832.4 Contractor Address City, State, Zip Code Re: Disclosure or Contractor Information in the case of U.S.. v. , CERCLA Section 107 Cost Recovery Action Dear Sir or Madam: As you know, the United States Government, through the Environmental Protection Agency, has contracted with your firm to undertake certain activities to assist in hazardous waste site cleanup under the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA). The United States has commenced the above-referenced action against liable parties seeking reimbursement of all expenses incurred and to be incurred by the government and its contractors for work done at the site. To prove the costs incurred in cleaning up the site, however, it is necessary to disclose certain documents during the course of litigating CERCLA cost recovery actions. In particular, all contractor documents in the possession of the U.S. EPA might be required to be disclosed, including, but not limited to: (1) Paid processed invoices; (2) Timesheets, timecards and other payroll expense information; ------- OSWER ft 9832.4 - 2 - * (3) Travel expense receipts; (4) Equipment expense receipts; (5) Summaries of hours, costs per hours, overhead costs and subcontractor costs; (6) Technical Directive Documents (TDDs) and TDD Acknowledgements of completion (TDD-AOCs). It is our understanding- that certain information contained in the documents noted above has been claimed as confidential by your company under 40 C.F.R. Part 2. The purpose of this letter is to give you an opportunity to comment on our plan to make these documents available to the defendants and the court, and to request your consent to that release. To protect the information, you have provided us, the United States proposes the following procedures. Once a request for production of documents is received that may require confidential business information to be disclosed, we will contact counsel for the party requesting the documents to determine if an agreement can be r-=;.-.ched in which the documents are released under the terms of a stipulation and protective , order. The stipulation and protective order will guarantee that the documents will only be disclosed to certain persons or parties for certain limited purposes and will require that those persons or parties agree to sign a confidentiality agreement A copy of the stipulation and protective order we propose to use is attached for your review. ------- OSWER ft 9832.4 -. 3 - * Once the order is entered and counsel for the party requesting the information has executed the appropriate confidentiality agreement.1;, the information will be produced. You will be notified when the documents are produced. In the event that the: requesting party declines to agree to production under the terms of a protective order, the United States will, either redact all confidential business information and produce the documents or decline to produce the documents altogether. In either case, the United States will be prepared to submit memoranda to the court opposing production unless under the terms of a protective order. The Agency recognizes your need to keep certain information confidential. We hope that this strategy will satisfy your concerns. Sincerely, ------- OSWER * 9832.4 APPENDIX I EXAMPLE MOTION FOR PROTECTIVE ORDER ------- OSWER # 9832.4 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF UNITES STATES OF AMERICA, Plaintiff, v. Civil Action No, Defendants JOINT MOTION OF PLAINTIFF, UNITED STATES OF AMERICA AND DEFENDANT FOR A PROTECTIVE ORDER Plaintiff United States of America ("the Government") and defendant hereby move the Court to enter a protective order in this case, pursuant to Rule 26(c), Federal Rules of Civil Procedure. A Stipulation and Protective Order is attached. Discovery in this cs&e will necessarily involve production by the United States of financial information prepared and submitted to it by its contractors. Those contractors would be irreparably damaged by routine disclosure of this confidential material and, accordingly, all parties urge the court to allow the United States to impose the safeguards embodied in the stipulation and proposed protective order. ------- 2 " QSWER f 9832.4 Administration of the provisions of the Stipulation and Protective Order will be handled primarily by the parties and » should involve little, if any, Court time. The proposed order contemplates an initial pood faith designation of conf Wentiaity by the United States. In the event that one or more defendants object to the claim of confidentiality of particular information, the Court will be asked to review the information in camera a'nd make a determination regarding production. If there is no objection, however, the Court need not be involved at all. The United States does not intend to indiscriminately mark every document confidential and will exercise its best judgment and put forth substantial efforts to minimize discovery disputes. A protective order such as that urged by this motion will enable the United States to respond fully to the Defendant's discovery recuests and, at the same time, ensure that confidential competitive and financial information will not be disseminated in a manner inconsistent with the EPA contractors' business interests or with the proper administration of justice. WHEREFORE, the Government and the Defendant's respectfully request the Court to sustain this motion and to enter the Stipulation and Protective order attached. Respectfully submitted, ------- OSWER # 9832.4 - 3 - (Name] United States Attorney By: [Name] Assistant U.S. Attorney [Address] ATTORNEY FOR PLAINTIFF By: [Name] [Address] ATTORNEY FOR DEFENDANT ------- OSWER # 9832.4 APPENDIX J DELEGATION OF AUTHORITY FOR DEMAND LETTERS ------- OSWER # 9832.4 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY WASHINGTON. O.C. 20460 MAR ,8 OLID WASTE AND EMERGENCY MECONSE SUBJECT: Del^g^ion of Authority to Issue^Dewand Letters PROM: MEMORANDUM Office of Waste Programs Enforcement TO: Regional Administrators, Regions I - X Directors, Air & Waste Management Division Regions III, IV, VI, VII, VIII, X Directors, Waste Management Division Regions I, V Director, Office of Emergency and Remedial Response Region II Director, Toxics and Waste Management Division Region IX Directors, Environmental Services Division Regions I - X Regional Counsel, Regions I - X Purpose This memorandum formally transfers the authority to issue demand letters for recovering costs of CERCLA response actions from the Director, Office of Waste Programs Enforcement to the Regional Administrators. Background Where CERCLA funds are expended the Agency will attempt to recover response costs from the party or parties who are liable under section 107 of CERCLA. The first formal step in recovering Trust Pund expenditures is th*e issuance of a demand letter from EPA to the responsible party or parties for payment of response costs. Up to now, the Regional Office has been responsible for preparing the demand letter and sending ;,t through the Office of Waste Programs Enforcement for signature and issuance by the Director. Now -that Headquarters has provided guidance and held workshops on cost recovery actions, the necessity of Headquarters' role in the issuance of demand letters has declined. Effective immediately, Regional Administrators have authority to issue demand letters in CERCLA 107 Cost Recovery cases. No ------- OSWER * 9832.4 -2- review or advance concurrence from EPA Headquarters will be necessary. Regional Administrators may further delegate authority for issuance of demand letters to the appropriate Regional Division Director. Demand letters may be issued after all appropriate documentation on and accurate summaries of removal costs are available (See Chapter 5 of Draft Cost Documentation Procedures Manual, September 1983) and generally should be issued before the Cost Recovery case is referred to EPA Headquarters. EPA Headquarters will not accept a Cost Recovery referral package that does not include a copy of the demand letter and response. Headquarters will make exceptions to this policy only for Cost Recovery cases that are referred to Headquarters prior to April 1, 1984 or cases for which the Region provides a statement with the referral package explaining why a demand letter was not issued. If the case is then referred to the Department of Justice for litigation, DOJ will ordinarily issue a demand letter befpre filing the case. Procedures for preparing and issuing demand letters are contained in the following EPA guidance documents: "Guidance on Pursuing Cost Recovery Actions under CERCLA" (August 1983, pp. 20-30) and "Cost Documentation for CERCLA 107 Efforts' (September 1983, p. 8). cc: William N. Hedeman, OERR Kirk P. Sniff, OECM Lisa K. Friedman, OGC Glenn Unterberger, .OLEP ------- MEMORANDUM SUBJECTi First Mailing of Directives System Backlog FROM i Sherry Fielding TO i Regional Direct i vest-Coordinators #£j|t i vest-Co Enclosed in the two packages is the first mailing of the backlog of documents for the OSWER Directives System. The 24 documents which are included in this mailing are all for either Superfund or RCRA enforcement. The numbers and titles are as follows: Package #1 9832.1 Cost Recovery fictions Under CERCLA 9835.1 Participation of PRPs in Development of RI/FS 9835.2 Guidance on Drafting Consent Decrees in Hazardous Waste Cases 9836. 0 Interim Guidance on Community Relations in Enforcement 9836.1 Community Relations Activities at Superfund Enforcement Sites 9837. O RCRA/CERCLA Case Management Handbook 9840.0 FY 1986 SCAP 9840. 1 FY 1986 SCAP Passback 9850. 1 Endangerment Assessment Handbook 9883.1 Issuance of A. 0. s for Immediate Removal Actions Package * £ 9831.1 CERCLA Funding of State Oversite of PRPs 983 1.1 -a Draft Addendum to 9831.1 9831.2 Reporting and Exchange of Information on State Enforcement Actions at NPL Sites 9831.3 EPA State Relationship in Enforcement Actions for Sites on the NPL 9831.4 Funding of State Enforcement Related Activities 9831.5 Authority to Use CERCLA to Provide Enforcement Funding Assistance to States 9832.0 Cost Recovery Referrals 9832.2 Coordination of EPA/State Actions in Cost Recovery 9833. O Guidance on Use and Issuance of A. O. s Under S. 1O& 9834. O Releasing Identities of PRPs in Response to FOIA Requests 9834. 1 Guidance on Issuance of Notice Letters 9834.2 Timely Issuance of RP Searches, Issuance of Notice Letters, and Releases of Information 9835. O Interim CERCLA Settlement Policy 9840.2 Final FY 86 SCAP Instruction If you have any questions, please give me a call at FTS 382-4483. ------- |