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
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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
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"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.
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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
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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
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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.
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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.
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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.
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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.
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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
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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.
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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.
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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.
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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
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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)
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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«.
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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.
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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,
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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.
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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.
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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
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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)
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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.
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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,
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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.
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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
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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
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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
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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.
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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.
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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.
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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.
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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
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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
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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.
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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.
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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.
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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,
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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
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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 .
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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
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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.
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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.
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APPENDIX A
FLOW CHART OF COST DOCUMENTATION PROCESS
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«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
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OSWER I 9832.4
APPENDIX B
SITE-SPECIFIC SPUR CHARGES
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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
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APPENDIX C OSWER I 9832.4
DESCRIPTION OF SUPERFUND CONTRACTS
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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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
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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
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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
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-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
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-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
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-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
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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
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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.
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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
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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
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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
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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
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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
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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
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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.
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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,
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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:
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OSWER # 9832.4
APPENDIX H
»
MODEL CONFIDENTIAL BUSINESS INFORMATION LETTER
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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;
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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.
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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,
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OSWER * 9832.4
APPENDIX I
EXAMPLE MOTION FOR PROTECTIVE ORDER
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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.
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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,
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OSWER # 9832.4
- 3 -
(Name]
United States Attorney
By:
[Name]
Assistant U.S. Attorney
[Address]
ATTORNEY FOR PLAINTIFF
By:
[Name]
[Address]
ATTORNEY FOR DEFENDANT
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OSWER # 9832.4
APPENDIX J
DELEGATION OF AUTHORITY FOR DEMAND LETTERS
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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
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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
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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.
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