UNITED STATES ENVIRONMENTAL PROTECTION AGENCY


                              MAR - I I99C



                                              OSWER Dtr«ctiv« 9835.12
MEMORANDUM
 SUBJECT:   Releasing Information to Potentially Responsible
           Parties at CERCLA Sites
 FROM:      Bruce M. Diamond, Director   ^
           office of Waste Programs Enforcement
           Glenn L. Unterberger
           Associate Enforcement Counsel for Waste

TO:        Waste Management Division Director, Regions I - X
           Regional Counsel, Regions Z - X

     The  release of information in appropriate circumstances to
potentially responsible parties (PRPs) at CERCLA site* advances
the goal  of facilitating settlements.  For PRPs to coalesce into
a negotiating group and to participate in settlement negotiations
with the  Agency, they must have information about the site and
other PRPs.   This information can help PRPs allocate costs and
responsibilities among themselves and increase the pool of PRPs
participating in settlements.  This can help achieve Agency goals
of expediting cleanups, encouraging PRPs to undertake or finance
cleanups,  and avoiding unnecessary litigation.

Background

     The  initial Agency policy developed on releasing information
to PRPs addressed both the exchange of documents with PRPs and
the provision of aggregate waste-in information to PRPs.  First,
the policy called for a mutual exchange of information — EPA
would provide certain information to any PRP that reciprocated by
providing all site-related information to EPA.  Second, PRPs at
CERCLA site* would receive the names and addresses of all other
PRPs at th* site, and if available, information regarding the
volum* am* nature of substances contributed by each PRP ("waste-
in lists")  and a ranking by volume of the substances at the site
("volumetric rankings").  To the extent this information is
available,  it is to be released as early as reasonably possible.
The Agency first stated this policy in the "Interim CERCLA
Settlement Policy," 50 FR 5034, December 5, 1984, OSWER Dir.
9835.0.  The 1986 amendments to CERCLA essentially mandated, in
section 122(•)(!) of CERCLA, application of this policy when
special notice procedures are invoiced.  Zn 1988, the Agency

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                                        OSWER Directive 9835.12

 restated and provided further guidance on the policy in the
 "Interim Guidance on Notice Letters, Negotiations and Information
 Exchange,* 53 FR 5298, February 23, 1988, OSWER Oir. 9834.10.
 [On January  26, 1984, the Agency issued guidance concerning
 specifically "Releasing Identities of Potentially Responsible
 Parties in Response to FOIA Requests," OSWER Dir. 9834.0.]

 Discussion

     The Agency's experience in negotiating settlements with PRPs
 in CERCLA cases and viewing PRP efforts to organize has shown
 that the focus on waste-in lists and volumetric rankings in its
 PRP information-release policy is not always appropriate.  For
 example, in  many cases there is not enough information available
 early to develop the lists or rankings.  In addition, for PRPs to
 coalesce into a negotiating group and to limit the reticence of
 some PRPs to join the group based upon the fact that they have
 not reviewed underlying documentation, it may b« helpful to
 release to PRPs the information upon which the Agency concludes
 that a person is a PRP (or upon which the Agency based, or could
 base, a waste-in list or volumetric ranking).  Because of PRPs1
 potential joint and several liability, this liability information
 can encourage PRPs to cooperate with other PRPs and not "sit it
 out."  With  this information available to PRPs as a group, PRPs
 can encourage other PRPs to cooperate.  It also can be used as
 the basis for PRPs to allocate responsibilities among themselves
 using their  own allocation schemes.

     There are examples where providing liability information to
 PRPs has been critical to achieving settlement.  The types of
 information  given to PRPs in these cases have ranged from simply
 identifying  documents upon which a waste-In list or volumetric
 ranking was, or will be, based to providing copies of manifests
 or disposal  site log-books.

       To make the Information release process efficient and
effective,  information release should be included in PRP search
and negotiation planning.  In addition, it is strongly
recommended  that information collected by the Agency be
analyzed for its potential release periodically during collection
and not latex when time constraints may be greater.  This early
 focus on releasing Information may encourage) improvements in our
information gathering and investigation practices and result In
the earlier and greater release of information to facilitate PRP
organization and enhance prospects for settlement.

     Considering the resource demands upon the Agency in
organizing,  reviewing and controlling releases of Information,
facilitating release does not necessarily mean that we initiate

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                                        OSWER Directive 9835.12

 the release* of information1, although in many cases initiating
 release may in the long run  save resources and promote PHP
 organization.  Whether we initiate release or respond to
 requests,  it may be valuable, through discussion* with PRPs (or
 other requesters),  to  identify more specifically what the actual
 PRP information needs  are in a particular case.  Such discussions
 can also involve developing  a release process that reduces
 resource demands and ensures widespread dissemination of the
 information.

 Policy

      Information about PRP liability at a CERCLA site should
 normally be available  to all PRPs  (and other members of the
 public)  unless there are countervailing legal, policy, or
 strategy reasons not to make such information available.  In the
 case of confidential business information, the Agency must
 withhold information from PRPs.  For'other information, such as
 that subject to the deliberative process, attorney-client or
 attorney work-product  privileges or that falling within the law
 enforcement records exemption under the Freedom of Information
 Act,  release may be appropriate after the documents have been
 screened by legal counsel to determine whether the documents are>
 privileged and the implications of waiving any such privilege.
 Decisions to release or withhold information that will facilitate;
 settlement,  whether or not upon request, should be made case-by-
 case and should ensure that  such information is not unnecessarily
 withheld.7

      The "Interim CERCIA Settlement Policy" states that the
 release of  information to PRPs will generally be conditioned on a
 reciprocal  release of  information by PRPs.  The Agency does not,
 however,  believe that  reciprocal release should be the uniform
 policy.   Such a policy might unnecessarily restrict the release
 of  information where,  for example, liability information
 possessed by  the Agency might encourage a non-responding PRP to
     1    Note that if Regions use the special notice procedures
of CERCIA section 122 (e) (1),  the Region must release, to the extent
available, the names and addresses of other PRPs, a waste-in list
and a volumetric ranking.

     2    For axaaple, early  results  from PRP  searches about  a
limited number of  PRPs may,  in some cases, have little  effect on
encouraging PRPs to coalesce as a group and not outweigh litigation
risks associated  with releasing  the information.   On the  other
hand, release of the information in certain cases might help create
a core group to deal with some immediate problems at  a site,  thus
changing the balance in favor  of release.

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                                        OSWER Directive 9835.12

cooperate with other PRPs and thereby prcaote group settlement
with the Agency.  Thus, a blanket policy for reciprocity night
limit desirable flexibility, and the release of some information
to non-responding PRPs may be appropriate in certain
circumstances.  Given considerations such as these, the release
of information to PRPs is to be decided case-by-case.

     This change froa the "Interim Settlement Policy" is not
meant to imply that there may not be sound reasons for
withholding liability information from PRPs under some
circumstances.  The change is meant only to help ensure that the
appropriate action is taken in each case and that decisions are
made on a case-by-case basis at the Regional level, while
reflecting a general bias in favor of information release.  In
addition, this change in no way affects the Agency's use of its
other information gathering authorities.  See, "Guidance on Use
and Enforcement of CERCIA Information Requests and Administrative
Subpoenas," August 25, 1988, OSWER Oir. 9834.4A, and "Final Model
Litigation Report for CERCLA Section 104 (e) Enforcement
Initiative," (Office of Enforcement and Compliance
Monitoring/Office of Solid Waste and Emergency Response, January
31, 1990).

     For more information on this policy, contact Ride Colbert,
OWPE, at FTS 382-4015 or Douglas Dixon, OECH-Waste, at FTS 475-
8212.

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