£EPA
United States
Environmental Protection
Agency
Office of Emergency and
Remedial Response
Washington. DC 20460
Publication 9360.3-06
PB92-963409
April 1992
Superfund
Superfund Removal
Procedures - Removal
Enforcement
Guidance for On-Scene
Coordinators
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Publication 9360.3-06
April 1992
SUPERFUND REMOVAL PROCEDURES
REMOVAL ENFORCEMENT GUIDANCE
FOR ON-SCENE COORDINATORS
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, DC 20460
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NOTICE
The procedures set out in this document are intended solely for the guidance of Government person-
nel. They are not intended, nor can they be relied upon to create any rights enforceable by any party
in litigation with the United States. EPA officials may decide to follow the guidance provided in this
document, or to act at variance with the guidance, based on an analysis of site circumstances. The
Agency also reserves the right to change this guidance at any time without public notice.
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This document is part of a ten-volume series of guidance documents collectively titled the Superfund
Removal Procedures. These stand-alone volumes update and replace OSWER Directive 9360.0-3B,
the single-volume Superfund Removal Procedures manual, issued in February 1988.
Each volume in the series is dedicated to a particular aspect of the removal process and includes a
volume-specific Table of Contents, Reference List, and Key Words Index. The series comprises the
following nine procedural volumes:
The Removal Response Decision: Site Discovery to Response Decision
Action Memorandum Guidance
Response Management: Removal Start-up to Close-out
Removal Enforcement Guidance for On-Scene Coordinators
Public Participation Guidance for On-Scene Coordinators: Community Relations
and the Administrative Record
Removal Response Reporting: POLREPs and OSC Reports
Special Circumstances
Guidance on the Consideration of ARARs During Removal Actions
State Participation.
In addition, the series includes an Overview volume, containing a comprehensive Table of Contents,
List of Exhibits, Key Words Index, List of Acronyms, and Glossary, for use as a quick reference.
This document summarizes the relevant guidance and statutory authorities for conducting enforce-
ment activities during removal actions. "Appendix A. References" provides a comprehensive list
of supporting guidance documents that may be consulted for additional information on relevant
topics. Bracketed numbers [#] appear throughout the text to indicate specific references in Appendix
A which lists additional guidance on particular topics. Consult the reference documents for a more
detailed explanation of removal or enforcement policies and procedures. In addition, appropriate
sections of statutes and regulations are also cited throughout the text, with a full citation of each
statute and regulation appearing in Appendix A. Appendix B contains the Key Words Index.
m
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The Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) gives the President authority to negotiate settlements, issue orders to persons
including Potentially Responsible Parties (PRPs), or sue PRPs to repay cleanup costs when
the Trust Fund established under CERCLA has been used to finance removal or remedial
actions. The President has delegated this authority in large part to the Environmental
Protection Agency (EPA). The steps EPA takes to reach settlement or compel responsible
parties to perform cleanups or pay for them are parts of the Superfund enforcement process.
On-Scene Coordinators (OSCs) conduct or contribute to many steps in removal enforce-
ment.
ENFORCEMENT
Enforcement implements the Congressional intent of CERCLA: "The Polluter Pays."
IV
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CONTENTS
Introduction 1
Overview 1
Enforcement Authorities 2
Enforcement Roles and Resources 7
OSCs 7
Regional Technical Enforcement Staff and Program Management 9
Office of Regional Counsel 9
Public Participation Staff 9
Contract Resources 10
Criminal Investigations 10
Removal Enforcement Procedures 11
PRP Searches 11
PRP Notification 15
State Notification 16
Negotiations, Settlements, and Orders 16
Oversight of Enforcement-Lead Removal Actions 18
Documentation 18
Public Participation 24
Cost Recovery 27
Appendix A. References 29
Appendix B. Key Words Index 31
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EXHIBITS
Exhibit
Number
1 Overview of Removal Enforcement Activities and
Their Relationship to Removal Actions 3
2 Enforcement Roles and Responsibilities 8
3 Enforcement Checklist 12
4 PRP Search Activities 13
5 Checklist of Criteria to Issue UAO 17
6 Cost Recovery Process 27
VI
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INTRODUCTION
Overview
One of the primary objectives of CERCLA and EPA policy with regard to enforcement is that
parties causing or contributing to a release of hazardous substances should take responsibility
for cleanup. Broadly speaking, under CERCLA section 107, potentially responsible parties
(PRPs) comprise:
• Certain past and present owners and/or operators of a facility where there is
or has been a release or threatened release of hazardous substances
• Persons who arranged for disposal or treatment of hazardous substances at a
facility from which there is a release or threat of a release
• Persons who accept or accepted hazardous substances for transport to
disposal or treatment facilities and selected the site from which there is an
actual or threatened release.
OSCs and Regional technical enforcement staff! routinely join forces to identify and compel
PRPs to perform removal actions or pay for a government cleanup. The goal of this guidance
is to describe the roles and responsibilities for conducting enforcement and to describe the
procedures to take during enforcement actions. Further information on removal enforcement
procedures may be found in the Enforcement Project Management Handbook [16].
EPA philosophy increasingly emphasizes enforcement in an effort to use limited program
resources effectively to ensure that the responsible party conducts or funds response
activities. Most recently, the Management Review of the Superfund Program (the "90-Day
Study") and its subsequent implementation plan articulated a clear and straightforward
direction for the Superfund program. A key element of this strategy is the "enforcement-first"
approach. The goal of this approach is to compel PRPs to conduct response actions and
cleanups in lieu of government-financed response actions. This approach mobilizes private
party resources to conduct cleanup from the start, rather than using the Fund and recovering
costs through litigation later. As one method of obtaining more PRP cleanups, EPA wiU
increase the use of enforcement and settlement authorities.
Although "enforcement first" is an underlying principal of the removal process, the urgent
nature of certain removal actions may require response initiation by the Agency before
1 For consistency, this guidance refers to Regional technical enforcement staff; individual Regions, however,
may use other Region-specific terms.
1
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ENFORCEMENT AUTHORITIES
undertaking extensive enforcement activities. For example, prior to the initiation of cleanup,
emergencies typically allow time for only limited enforcement action, such as an oral demand
for cleanup. In these circumstances, the National Oil and Hazardous Substances Pollution
Contingency Plan (NCP) gives the OSC authority to balance enforcement priorities with
those of environmental protection, allowing the OSC to choose the latter as a means of
achieving EPA's primary goal of protecting public health and the environment.
Generally, a complete PRP search and subsequent enforcement activities are conducted at
sites, even if a Fund-financed removal action must commence prior to PRP identification and
notification. Time-critical removal actions, where up to six months can elapse before the
initiation of on-site activities, or non-time-critical removal actions, which permit a planning
period of more than six months, offer time for more thorough enforcement efforts prior to the
start of on-site activity [16].
Beyond the immediacy of the need to respond to a release, OSCs, in close coordination with
the Office of Regional Counsel (ORC), need to evaluate the following factors in determining
how vigorously to pursue enforcement to compel performance by PRPs:
• Evidence indicates that PRPs are liable and that they have the financial
capability to conduct the removal action.
• The OSC can define the removal action with enough specificity — such as by
treatment technology, or defining the goals or specifying activities required
by the action - so as to instruct PRPs as to what is expected.
• The PRPs command the technical competence to respond or have the
resources to hire a contractor who does.
The OSC should re-evaluate the above criteria throughout the removal action, in the event
that enforcement circumstances change. Exhibit 1 presents an overview of the removal
enforcement process from start to finish and outlines the OSC's role in this process.
Enforcement Authorities
Generally speaking, EPA has been delegated the authority under CERCLA section 104(a) to
remove or arrange for the removal of any hazardous substance, pollutant, or contaminant if
it is deemed necessary to protect the public health or welfare or the environment. Fund-lead
removal actions are limited by section 104(c) to actions not exceeding either $2 million in cost
or 12 months in duration, unless an exemption to these limits has been granted. Section
104(b) of CERCLA authorizes studies and investigations to determine the existence, source,
and extent of the release or threatened release, while section 104(e) provides a means of
gathering information on PRP liability, site history, and the identity of additional PRPs.
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ENFORCEMENT AUTHORITIES
EXHIBIT 1 . OVERVIEW OF REMOVAL ENFORCEMENT ACTIVITIES AND
THEIR RELATIONSHIP TO REMOVAL ACTIONS*
Site Discovery
I
Assess Removal Action Options/
Preliminary PRP Search
±
Begin Administrative
Record Rle
i
Oral/Written General
Notification of Known PRPs
I
Follow up on Early Search
Activities and Notice
Develop Action Memorandum
with Enforcement Addendum
Yes
/Viable\
No
Notify the Stale
Issue Notice (Possibly
with Draft AOC)
y
1
\PRPs/
Non-Compliance __
J
\
Obtain Approval for
Use of Fund
I
Initiate Fund-
Financed Removal Action
Make Administrative Record
Available to Public/
Public Comment Period
I
Make Administrative Record
Available to Public/
Public Comment Period
Written Response to
Significant Comments
i
Written Response to
Significant Comments
Review Potential
for Cost Recovery
* This general overview of removal enforcement may not apply in all situations, especially emergencies.
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ENFORCEMENT AUTHORITIES
CERCLA section 122 authorizes EPA to negotiate a settlement with PRPs through an Admin-
istrative Order on Consent (AOC) under section 106. Section 106 also authorizes EPA to
compel PRP response through issuance of a Unilateral Administrative Order (UAO), and to
enforce the terms of an Administrative Order and compel non-complying PRPs or non-PRPs
(e.g., adjacent landowners) to respond through judicial action [9,15]. Administrative Orders
describe actions to be taken at a site and should be placed in the administrative record file.
Administrative Order on Consent - A legally enforceable agreement signed by EPA and
PRPs whereby PRPs agree to perform or pay the cost of site cleanup, and may forfeit the
right to make a claim against the Fund. AOCs do not have to be approved by a judge, but
are enforceable in court.
Unilateral Administrative Order - A legally enforceable order issued by EPA to compel
PRPs to perform a response action. It is EPA policy to proceed with a UAO if PRPs fail
to respond appropriately to the notification and negotiation process, provided that neces-
sary criteria are met [15].
Section 107 of CERCLA outlines the basic liability provisions of the statute. It imposes strict
liability upon the classes of PRPs identified on page 1, and it has been interpreted by the
courts to impose joint and several liability upon all PRPs involved at a site where harm is not
divisible. CERCLA section 107 also authorizes EPA to seek reimbursement from PRPs
for all response costs incurred by the Agency not inconsistent with the NCP, including interest
[6, 8]. Additionally, section 107 authorizes EPA to seek treble damages as a result of PRPs
failing without sufficient cause to comply with a CERCLA section 106 order.
Strict Liability - A "no fault" standard of liability, as opposed to a lesser standard of
negligence. PRPs are liable even if the problems caused by the release were unforeseeable,
the PRPs acted in good faith, or state-of-the-art waste management practices were in use
at the time of disposal. Only limited defenses are available under section 107(b).
Joint and Several Liability - In situations where more than one PRP is involved, it may
be difficult to determine each PRP's contribution to the release, i.e., the harm is "indivis-
ible." The doctrine of joint and several liability allows EPA to sue one or more PRPs, or
all of them together. If the suit is successful, each PRP is liable for the entire conduct or
cost of site cleanup; each PRP bears the burden of seeking reimbursement from other PRPs,
if appropriate.
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ENFORCEMENT AUTHORITIES
Treble damages - CERCLA section 107(c)(3) authorizes EPA to obtain punitive damages
of three times the amount of any costs incurred by the Fund as a result of PRPs
failing without sufficient cause to take proper action under a CERCLA section 106 order.
Treble damages can be sought in cost recovery cases where an administrative order has been
issued previously.
CERCLA section 122(a) authorizes EPA to enter into agreements with PRPs to perform
response actions. Section 122(e) provides special notice procedures, including a 60-120 day
moratorium on EPAaction to facilitate negotiations, which can be used to negotiate non-time-
critical removal actions.
The NCP sets out, among other things, a division of responsibility among the various levels
of government, the appropriate role of private parties, and procedures for undertaking re-
sponse actions. Section 300.160 of the NCP also provides requirements for response action
documentation to support enforcement and cost recovery actions. The NCP applies to all
response actions taken pursuant to the authorities of CERCLA or the Clean Water Act (CWA)
as amended by the Oil Pollution Act of 1990 section 311, and is applicable to releases or
threatened releases of hazardous substances into the environment, releases or threatened
releases of pollutants or contaminants that may present an imminent and substantial danger
to public health or welfare, and releases or threatened releases of oil onto the navigable waters
of the U.S. or its adjoining shorelines.
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ENFORCEMENT ROLES AND RESOURCES
Roles and resources for conducting enforcement activities vary from Region to Region. Two
basic structures, however, currently predominate in Regional enforcement organizations:
• A section of OSCs conducts Fund-financed removal actions, but not enforcement
work. A separate section of enforcement project managers conducts both removal
and remedial enforcement work.
• OSCs conduct both removal and enforcement work, with other Regional staff
providing concurrence on enforcement-related decisions.
Whatever the Regional enforcement structure, close coordination between the OSC, ORC, and
other enforcement staff is a critical component of every removal action to ensure appropri-
ate use of resources in identifying and compelling PRPs to respond. Exhibit 2 presents a sum-
mary of the roles and responsibilities of OSCs and other Regional staff available to support
OSCs [16].
OSCs
The OSC's role in enforcement activities during removal actions can be broadly defined as
follows:
• Initiating and supporting PRP search, notification, and negotiation activities
• Providing a work plan or a scope of work for Administrative Orders detailing
the proposed response
• Documenting or assembling documentation on all aspects of the removal
action including decision and cost recovery documentation, and establishing
the site file and administrative record file, within the time required by the NCP
• Approving the release of information regarding EPA and PRP negotiations
• Overseeing the PRP response
• Assuring PRP compliance with an AO.
The participation of OSCs is vital to all phases of the enforcement process, although the
extent of OSC involvement may vary.
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ROLES AND RESOURCES
EXHIBIT 2. ENFORCEMENT ROLES AND RESPONSIBILITIES [16]
ON-SCENE
COORDINATOR *
• Initiates and supports PRP search, notification, and
negotiation activities
• Provides a scope of work for Administrative Orders
. Drafts Administrative Order
• Documents and assembles documentation on all
aspects of the removal action including decision and
cost recovery documentation
• Reviews and approves PRP plans/proposal for
cleanup and oversees PRP response
REGIONAL TECHNICAL
ENFORCEMENT STAFF
Supports enforcement activity
REGIONAL COUNSEL
• Supports PRP search
* Reviews or assists drafting of orders and participates in
negotiations and settlements
• Reviews site documents
PUBLIC PARTICIPATION
STAFF
Coordinates and monitors contractor support for
community relations aspects of enforcement-lead
removal action (e.g., public meetings)
Assists with preparation of Community Relations
Plan
Organizes site file and administrative record file
Develops press releases
Provides agency spokesperson
REGIONAL
ADMINISTRATOR or
APPROPRIATE DESIGNEE
Issues Administrative Orders
Approves Action Memorandum
CONTRACTOR SUPPORT
Provides technical support for all aspects of
enforcement activities
* These activities may be conducted by a Remedial Project Manager when a removal action is performed at
a site where remedial activity has been initiated.
** Regional technical enforcement staff are generally organized into separate units specializing in certain
enforcement tasks or in a comprehensive section that manages all enforcement activities.
8
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ROLES AND RESOURCES
Regional Technical Enforcement Staff
All Regions have enforcement staff to undertake or assist with enforcement activities.
Regional technical enforcement staff consist of personnel with scientific, accounting, docu-
ment management, and legal expertise who work with OSCs to ensure that enforcement
responses meet both program objectives and legal requirements. Regional technical
enforcement staff are generally organized in one of two ways:
• As a comprehensive enforcement section that manages all enforcement
activities for both the removal and remedial programs
• As separate enforcement units specializing in certain tasks such as PRP
searches, civil investigations, and cost documentation. For example, some
Regions have PRP search units with civil investigators available to assist in
PRP searches and criminal investigations.
Enforcement staff and the OSC need to coordinate closely to ensure that enforcement issues
have been thoroughly investigated, documented, and resolved.
Office of Regional Counsel
ORC is composed of attorneys for each Region who provide counsel and litigation support
for both the removal and remedial programs. ORC attorneys are involved particularly in
negotiations and settlements, drafting administrative orders, and reviewing site documents
for sufficiency of enforcement information.
OSCs should involve ORC in removal enforcement as soon as possible. This involvement
is important because the ORC can assist in developing enforceable Administrative Orders
and EPA's cost-recovery case. ORC also may be able to assist in the identification of PRPs
and facilitate the removal enforcement process. If a removal action is to be conducted at a
site with a remedial action already underway, the OSC should consult the ORC before
beginning a PRP search in order to avoid duplication of effort.
Public Participation Staff
Among the Regional personnel available to assist OSCs with the enforcement aspects of
public participation planning and implementation are the Community Relations Coor-
dinator, the Administrative Record Coordinator, and Regional Public Affairs staff. The
Community Relations Coordinator serves as the OSC's primary resource for coordinating
and monitoring contractor support for the community relations aspects of an enforcement-
lead removal action, and may direct the preparation of community relations plans, assist with
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ROLES AND RESOURCES
community interviews, and maintain the information repository [14]. The Administrative
Record Coordinator organizes information for the administrative record and may provide or
identify materials from which to compile the administrative record and the information
repository [10]. Public Affairs personnel provide support for the OSC in media-related
activities such as developing press releases or acting as an Agency spokesperson.
Contract Resources
Contractor support is available to the OSC or Regional technical enforcement staff to assist
in PRP searches, and the issuance and compilation of enforcement documentation:
• The Technical Enforcement Support (TES) contracts provide technical assis-
tance to EPA Headquarters and Regional offices in the enforcement of CERCLA
for all enforcement-related activities, except PRP oversight.
• Technical Assistance Team (TAT) contracts provide initial PRP search work,
tide searches, and monitoring of PRP-conducted on-site investigations.
• The Alternative Remedial Contracting Strategy (ARCS) contracts provide
technical assistance to Regional offices for all enforcement oversight activi-
ties.
These contractors ensure smooth operation of enforcement activities through coordination
with Federal, State, and local authorities.
Criminal Investigations
OSCs or other enforcement personnel must notify the appropriate Regional Office of
Criminal Investigations or the National Enforcement Investigations Center (NEIC) immedi-
ately when they suspect criminal activity [2]. The NEIC may initiate a criminal investigation,
working with the OSC and ORC.
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REMOVAL ENFORCEMENT PROCEDURES
Enforcement activities described in this section include:
• PRP searches
• PRP notification and information exchange
• State notification
• Negotiations, settlements, and orders
• Oversight of enforcement-lead removal actions
• Documentation
• Public participation.
Exhibit 3 provides a checklist to assist OSCs and other Regional enforcement staff, such as civil
investigators and cost recovery staff, in ensuring that all appropriate enforcement activities have been
addressed at each removal site [16]. Cost recovery efforts are discussed in the following section (see
p. 26).
PRP Searches
Agency policy requires that known, viable PRPs conduct removal actions wherever possible
[16,17]. PRP searches should begin as soon as a removal action appears likely. ORC should
be consulted before a removal action is commenced or PRP search work is undertaken
because ORC may have valuable information concerning the PRP's identity. The urgent
nature of emergency and time-critical removal actions, however, often necessitates initiation
of a Fund-financed response prior to an extensive PRP search. Even if a Fund-financed
removal action must begin before PRP identification and notification, a complete PRP search
shouldbe conducted at sites. Complete and accurate PRP searches support later negotiations,
settlements, and cost recovery.
PRP searches vary in size and scope depending on the amount of time between discovery and
execution of the Action Memo, the urgency of the situation, and the amount to be spent for
the removal action. Exhibit 4 summarizes PRP search activities for emergency, time-critical,
and non-time-critical removal actions. Regardless of the urgency of the situation, efforts to
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ENFORCEMENT PROCEDURES
EXHIBIT 3. ENFORCEMENT CHECKLIST [16,17]
The following checklist has been developed to assist OSCs in conducting and coordinating enforcement
procedures between other enforcement personnel and contract support. OSCs should determine that the
following activities are conducted at all removal sites when appropriate:
PRP Search, Identification, and Notification
Document or photograph visual evidence linking PRPs to a site, including drum labels, shipping
records, and vehicle registration
Conduct oral inquiries with PRPs and other observers (e.g., public officials, reporters) at the site
Notify NEIC if criminal activity is suspected
Issue CERCLA section 104(e) information requests*
Prepare a baseline PRP search report
Initiate a title search*
Conduct off-site interviews*
Review relevant site records*
Prepare interim final PRP search report*
Notify PRPs orally of potential CERCLA liability (with written confirmation)
Notify PRPs in writing of liability*
Issue special notice letters*
Preparation for Negotiation
Establish the administrative record
Notify State prior to negotiations or issuance of an Administrative Order
Prepare negotiation strategy*
Draft Action Memo with enforcement addendum
Prepare draft Administrative Order on Consent (AOC)
Negotiate AOC or issue Unilateral Administrative Order (UAO)
Removal Action
Track daily costs and project future costs for Fund-lead removal actions
Make the administrative record publicly available within sixty days after the initiation of on-site
activities (emergencies and time-critical actions) or when the Engineering Evaluation/Cost
Analysis (EE/CA) is made available for public comment (non-time-critical actions)
Attend or coordinate oversight meetings including initial, status, and completion meetings, as
well as site inspections
Oversee PRP compliance with the orders
Cost Recovery
Issue demand for payment of past and future costs plus interest
Document decision not to pursue cost recovery (if applicable)
Refer cost recovery cases to Department of Justice within twelve months of completing the
removal action
Complete Interim Final PRP Search Report
* This activity should be conducted if time permits.
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ENFORCEMENT PROCEDURES
EXHIBIT 4. PRP SEARCH ACTIVITIES* [1 6]
(0
0)
*••
[>
^5
o
<
Follow-up search
conducted later.
Preliminary search:
• Gather visual evidence
from site
• Conduct on-site
interviews
• Consult municipal
officials
• Review readily
available site records
Emergency
• Use TAT for preliminary
activities
• Issue CERCLA section
104(e) information
requests
• Document additional
evidence linking PRP to
site (e.g., photos)
• Conduct a title search
(coordinate with civil
investigator)
• Conduct off-site
interviews
• Review relevant site
records
• Gather visual evidence
from site
• Conduct on-site
interviews
• Consult municipal
officials
• Review readily available
site records
Time-Critical
• Prepare interim final
PRP search report
• Issue CERCLA section
104(e) information
requests regarding
generators and
transporters
• Prepare baseline PRP
search report
• Document additional
evidence linking PRP to
site (e.g., photos)
• Conduct a title search
(coordinate with civil
investigator)
• Conduct off-site
interviews
• Review relevant site
records
• Gather visual evidence
from site
• Conduct on-site
interviews
• Consult municipal
officials
• Review readily available
site records
Non-Time-Critical
Urgency of the Situation
*NOTE: Example for descriptive purposes only; some steps may follow removal actions.
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ENFORCEMENT PROCEDURES
locate PRPs should continue throughout the removal action to support cost recovery and the
possibility of PRP involvement in any continuing or future response actions.
Emergency Actions
In emergency situations, where the release or threatened release requires that on-site clean-
up activities begin within hours of the lead agency's determination to conduct a removal
action, and immediate protection of public health, welfare, and the environment is the first
priority, OSCs follow streamlined PRP search procedures. For example, in certain emer-
gency situations such as train or truck wrecks, the PRPs are readily identifiable and are willing
to handle the response. In these cases, a PRP search may not need to be conducted. In other
emergency situations, the OSC may need to take expeditious actions to abate the immediate
threat before conducting a PRP search. However, in many emergency situations, a prelimi-
nary PRP search can be completed before taking actions to abate the immediate threat. A
preliminary PRP search under emergency conditions should include making oral inquiries,
reviewing site records, and searching for visual evidence to link PRPs to a site. Oral inquiries
may include conversations with municipal officials, site owners and operators, and site
personnel. A file examination consists of a review of on-site records pertinent to PRP
identification, including bills of lading and other readily available owner/operator docu-
ments. Visual documentation includes drum labels and other obvious evidence to link PRPs
to a site. OSCs should work with enforcement personnel to collect and document potential
evidence.
Time-Critical Actions
In time-critical situations, where a period of up to six months is available before cleanup
activities must begin, OSCs can expand upon the preliminary PRP search activities discussed
above for emergency situations. Enforcement staff initiate title searches, off-site inter-
views, and CERCLA section 104(e) information requests to obtain information on the site's
history, identification of additional PRPs, and financial information used for determining
whether or not to issue an Administrative Order [11].
Non-Time-Critical Actions
In non-time-critical situations, where a period of six months or more is available before clean-
up activities must begin, OSCs and Regional enforcement staff can conduct the same
preliminary PRP search activities described above. This search results in a PRP baseline
report. In addition, Regional technical enforcement personnel conduct a comprehensive PRP
search, including the identification of generators and transporters. Enforcement personnel
also decide what specialized tasks will be performed, such as an assessment of PRP financial
capability to pay for a removal action. Early involvement of ORC in the PRP search and
financial assessment can help OSCs and enforcement staff organize search efforts and
can result in a better product from a contractor or civil investigator (if involved). As for all
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ENFORCEMENT PROCEDURES
removal actions, OSCs or enforcement staff may request the assistance of NEIC or contractor
support. This expanded process results in an interim final PRP search report.
PRP Notification
Following identification of PRPs, Regional enforcement staff, in consultation with OSCs,
initiate actions to obtain PRP response. When possible, the Regional program office should
issue notice letters to identified PRPs concerning their potential liability and inform them of
the intended response action prior to the initiation of a removal action [ 12]. Regional enforce-
ment staff, in coordination with OSCs, develop notice letters, which are subsequently issued
by the Regional Administrator or his designee. Three types of removal notice letters exist
[12,16]:
• Notice of Potential Liability and EPA Conduct of Removal Action which is
a notice of potential liability for a removal action that EPA has undertaken or
intends to undertake as well as the opportunity for PRPs to conduct work
(this may be given orally followed by written confirmation in emergencies)
• Notice of Potential Liability and Offer to Negotiate for Removal Action which
is a special notice under CERCLA section 122(e), that formal negotiations
will be held and that a formal moratorium on a removal action exists2
• Notice of Potential Liability for Removal Action which is an explanation
under CERCLA section 122(a)ofwhy special notice procedures underCERCLA
section 122(e) were not followed.
Model removal notice letters are available in Office of Solid Waste and Emergency Response
(OSWER) Directive 9834.10-lb [13].
Emergency Actions
For emergency removal actions, OSCs may notify PRPs orally by telephone or in person.
The Regional office then confirms the oral notification and any requests for response by
sending the PRP a general notice letter which should be reviewed by ORC when time permits.
While a written notice letter usually precedes an Administrative Order, this is not always
possible in emergencies.
Emergency and time-critical removal actions do not follow special notice procedures due to the urgency of these
situations. Under CERCLA section 122(e)(5), removal actions may be carried out during the moratorium when
a significant threat to public health or the environment exists during the moratorium [12].
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ENFORCEMENT PROCEDURES
Time-Critical Actions
For time-critical removal actions, OSCs follow the same notification procedures for obtain-
ing PRP response as in emergency actions. However, Regional enforcement personnel
should issue notice letters before the start of the removal action. Enforcement staff and the
OSC should also always review preliminary PRP search activities to ensure that identified
PRPs have been notified.
Non-Time-Critical Actions
For non-time-critical removal actions, special notice letters may be issued to invoke formal
negotiations and a 60-120 day moratorium on EPA response actions. First, OSCs and en-
forcement staff review the interim final PRP search report and decide if additional resources
should be expended either to identify more PRPs or to further establish the liability of
identified PRPs. The PRP search review and follow-up activities should include the use of
section 104(e) information requests [11]. Prior to the issuance of special notice letters or the
beginning of negotiations, ORC and other enforcement staff should be consulted. OSCs and
Regional enforcement staff then should issue the special notice letters and schedule negotia-
tions as soon as possible to secure an enforcement-lead removal action within the established
time frame.
State Notification
For a removal action, States should always be notified prior to negotiations for, or issuance
of, an Administrative Order. The appropriate State department or agency should be notified
by letter, except in an emergency when preliminary notification may be made by telephone.
All telephone notifications must be followed by written confirmation.
Negotiations, Settlements, and Orders
Where viable PRPs have been identified and site conditions allow, OSCs, in consultation with
Regional enforcement staff and ORC, plan and conduct negotiations and develop AOCs [12].
Prior to conducting negotiations, OSCs, with appropriate support from Regional enforce-
ment staff and ORC, should:
• Draft and issue notice letters specifying the work to be done and establishing
a time frame to negotiate an AOC
• Draft and obtain a copy of the Action Memo/Enforcement (see p. 21) for use
in negotiating an AOC; although a completed copy is not required, the Action
Memo serves as a useful leverage tool
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ENFORCEMENT PROCEDURES
• Draft and send a proposed AOC to the PRPs with the notice letter or shortly
thereafter.
Preparing the above documents prior to negotiations ensures that EPA will enter negotiations
with a well-defined plan for PRP or, if necessary, Agency response.
While conducting negotiations, OSCs and Regional enforcement staff meet with PRPs;
negotiate the language of the AOC including general overall schedule and technical concepts
in the workplan; and complete either an AOC that the PRPs agree to and sign, or issue a UAO.
While the preferred outcome of negotiations is an AOC, EPA has the authority under section
106 to issue a UAO to compel non-complying PRPs or non-PRPs (e.g., adjacent landowners)
to conduct or comply with the removal action [9,15,16]. In some emergency or time-critical
removal actions, sufficient time to negotiate consent agreements with PRPs is not available;
therefore, OS Cs and Regional enforcement staff may find it necessary to bypass negotiations
for an AOC and immediately issue a UAO.
For simple removal actions, the AOC may include a work plan as an attachment. For more
complex removal actions, the AOC often details the scope of work and requires the PRP to
draft adetailed workplan as afirstdeliverable. All AOCs should contain provisions requiring
reimbursement of the government's past costs and oversight costs.
EXHIBIT 5. CHECKLIST OF CRITERIA TO ISSUE UAO
The following checklist has been developed to assist OSCs in determining if a UAO may be issued.
OSCs should determine that the following activities are conducted prior to issuing a UAO.
Appropriate parties have been identified
Evidence exists of release or threatened release of a hazardous substance
Evidence exists that the release or threatened release is from a facility
Evidence exists of an imminent and substantial endangerment to the public health or welfare or
the environment
Notice has been given to the affected State
Removal action is consistent with applicable law, CERCLA and the NCP.
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ENFORCEMENT PROCEDURES
If viable, recalcitrant PRPs do not respond to their notice letters and do not sign an AOC,
OSCs and Regional enforcement staff develop and issue a UAO. Exhibit 5 provides a
checklist to assist OSCs in ensuring that all criteria have been satisfied to issue a UAO.
The provisions of a UAO are similar to an AOC, except that more detailed findings of fact
may be stated. Also, UAOs usually contain a provision requiring that PRPs provide notice
of intent to comply within a specified period and typically do not contain past costs, stipulated
penalties, or dispute resolution clauses. OWPE is developing a directive containing a model
UAO and a model AOC to assist OSCs in preparing these documents.
Oversight of Enforcement-Lead Removal Actions
Administrative Orders detail the activities PRPs must undertake or the cleanup goals they
must achieve along with the completion date for the entire removal action [16]. OSCs,
through the oversight process, monitor and determine compliance with the AOC or UAO.
OSCs remain on the site, contact on-site personnel daily, or visit the site periodically to
monitor compliance. Contractors may assist OSCs in overseeing field activities and review-
ing work plans, data, and reports. If the enforcement-lead removal action is not conducted
appropriately or in a timely manner, in accordance with the AOC or UAO, OS Cs and Regional
enforcement personnel may seek penalties, initiate a CERCLA section 106 judicial action,
or perform the removal action. In either case, oversight activities should include, but are not
limited to:
• An initial meeting of the primary clean-up contract official, PRP-designated
coordinator, and OSC to review the work to be conducted and establish meth-
ods of contact and procedures, in the event of a deficiency in PRP perform-
ance
• Periodic status meetings with, or reports submitted to, the OSC to monitor
PRP progress
• Site inspections at critical points in the removal process.
In addition, a site completion meeting should be arranged to verify that all work was per-
formed as directed.
Documentation
Site File
OSCs are responsible for establishing and maintaining a site file for each removal action they
manage [4]. The site file is composed of all documentation related to a site, including
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ENFORCEMENT PROCEDURES
operational, legal, financial, public relations, and technical documents. Contractor support
and other Regional personnel may assist the OSC in maintaining the site file.
The site file contains several subsets of documentation, discussed below, that are important
for removal enforcement activities.
Administrative Record File
Section 113(k) of CERCLA requires the establishment of an administrative record3 consist-
ing of documents upon which the selection of a response action is based. The administrative
record, which is a subset of the site file, has two primary purposes:
• It is the basis for judicial review of any issues concerning the selection of a
response action. Because a proposed removal action must be supported by the
administrative record, the OSC should ensure the adequacy of the adminis-
trative record in the event the decision is challenged, such as in a subsequent
cost recovery case.
• It provides for public participation in Superfund decisions, including the
opportunity, as appropriate, for comment on the response action selection.
Because judicial review is limited to the administrative record for selection of the response,
the administrative record must be sufficient to document EPA's response decisions. This
means including in the administrative record file all documents relied upon by EPA in making
its decision, and all public comments relevant to the decision, whether or not they support the
Agency's response selection [10].
Enforcement-specific documents are included in the administrative record file if they contain
information relevant to the response selection or public participation in the response
selection, but do not pertain exclusively to PRP liability. Examples of appropriate documen-
tation that should be in the administrative record file as described in section 300.810 of the
NCP include:
• Factual information and data such as evidence of a release or threat of a
release, preliminary site evaluations, sampling plans, technical studies,
endangerment or risk assessments, and data submitted by the public
• Policy and guidance pertinent to the selection of the response
3 The administrative record is the completed compilation of documents on which the Agency based its selection
of a response action. The administrative record file refers to the ongoing collection of documents the Agency
anticipates will include those constituting the administrative record when the final selection of the response is
made [10].
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ENFORCEMENT PROCEDURES
• Public participation information such as public notices, public comments,
and responses to those comments
• Enforcement documents such as Administrative Orders
• The administrative record file index
• Documentation of State involvement
• Decision documents including original Action Memos, Action Memo/En-
forcement, and any subsequent Action Memos.
OSCs, in conjunction with their Regional Administrative Record Coordinators, are respon-
sible for establishing the record for a site. Generally, the Administrative Record
Coordinator is responsible for compiling and maintaining the record files, while the OSC, in
consultation with ORC, selects the documents to be included. OSCs should follow the same
procedures for establishing an administrative record for all removal actions, including
enforcement-lead actions. PRPs typically are required to maintain records to assist EPA in
any future enforcement activities and to assess compliance with Administrative Orders, but
cannot be responsible for decisions concerning which documents are included in the
administrative record.
Administrative records need to include a confidential portion when privileged information
is required to document Agency decisions, but must be withheld from the public. Confiden-
tial information includes these privileges:
Trade secrets, commercial, or financial information
Personal privacy
Investigatory files relating to law enforcement
State secrets
Confidential informant
Information exempted by other statutes.
In addition to enforcement-specific information, the site file and administrative record
contain other documents that are critical for the support of enforcement activities. These
documents are discussed further below.
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ENFORCEMENT PROCEDURES
Decision Documentation
Three kinds of removal action decision documents are important for effective enforcement
activities:
• Action Memos, including exemption requests (these belong in both the
administrative record and the site file)
• Documentation of decisions not to take complete enforcement action (this
belongs in the site file)
• Removal Action Cost Recovery Close-out Memo (this belongs in the site
file).
While all of the above documents include summaries of enforcement information and
provide justification for the relevant decision, the signing of the Action Memo authorizes
obligations from the Fund for implementing the selected response, and generally signifies the
completion of the response selection decisionmaking. Documents relevant to the response,
however, may be subsequently added to the administrative record file in certain situations as
described in section 300.825 of the NCP [10].
An Action Memo documents the approval of the selected removal response and is important
in the enforcement process. It is the decision document included in the administrative record
file for selection of the response, and provides an incentive for PRPs to settle if they believe
EPA will proceed with an action with or without their participation.
Enforcement information must be discussed in an addendum to all Action Memos, including
exemption requests. This information, generally, should not be placed in the administrative
record file:4
• Extent of search for, and identification of, PRPs
• Financial status of PRPs
• Issuance of notice letters (special or general)
Previous negotiations that have been held with the PRPs and the results of
those negotiations
• Additional enforcement history, strategy, discussion, and recommendations.
4 Exemption requests, ceiling increases, and requests for changes in the scope of work should refer to and attach
theoriginal ActionMemotoavoidduplicatingunchanged enforcement details. Anynewenforcementinformation,
however, must be included in each subsequent Action Memo.
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ENFORCEMENT PROCEDURES
All of the above information must be placed on a separate addendum to the Action Memo
and marked "Enforcement Sensitive."
In addition to the Action Memo required to initiate a removal action, subsequent Action
Memos are required to document a request for an exemption from the 12-month or $2
million statutory limitations on removal actions, project ceiling increases, or changes in the
scope of work. OSCs should ensure that all potential avenues of securing PRP cleanup or
funding for cleanup have been pursued before submitting a request for statutory exemption
to Headquarters. (In extreme emergencies, however, exemption requests can be submitted
directly to Headquarters, with PRP searches and other enforcement activities conducted as
time permits prior to initiating on-site action.)
Action Memos must be prepared for both Fund-financed removal actions and removal
actions to be conducted by PRPs. An Action Memo for an enforcement-lead removal action
need not include estimated costs or authorization for funding, but in all other respects
it should look the same as a Fund-lead Action Memo. Because of the difference between
the two with regard to costs and funding, Regions may designate an enforcement-lead memo
as "Action Memo/Enforcement."
Regions may use a Fund-lead Action Memo they have already prepared as documentation
for an enforcement-lead case. Some Regions have found a Fund-lead Action Memo, with
estimated costs and authorization for funding, to be useful in negotiations to indicate EPA's
resolve to go ahead if the PRP does not act. As with Fund-lead removal actions, the timing
for preparing the Action Memo/Enforcement will depend on the urgency of the action. In
time-critical situations, it may be necessary for the PRP to initiate action prior to the
preparation of an Action Memo or an enforcement order.
Decisions not to take complete enforcement action also require documentation. Typical
situations include when a decision is made that known PRPs are not viable, or that notice
letters will not be issued to known PRPs prior to starting a removal action, or that an
administrative order will not be issued to known PRPs. OSCs should ensure that any other
significant enforcement decisions are appropriately documented.
Removal Action Cost Recovery Close-out Memos are required when, on the basis of
enforcement information, EPA decides not to pursue cost recovery action for Fund monies
used to finance a removal action [6], Documented decisions not to pursue cost recovery
are important for satisfying EPA's internal accountability for cost recovery on a site-by-site
basis [7]. In most Regions, Removal program personnel, in conjunction with ORC, prepare
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ENFORCEMENT PROCEDURES
Removal Action Cost Recovery Close-out Memos. These memos are confidential and are
not placed in the administrative record for response selection (if the memo is the only source
for important response selection information, a separate memo containing the response
selection information should be prepared and placed in the administrative record file).
Cost Recovery Documentation
Costs associated with the oversight of enforcement-lead removal actions and with Fund-lead
removal actions are fully recoverable (see pp. 26-27 for more information on the cost
recovery process). Because of the possibility of a cost recovery action or other case
involving the use of CERCLA (e.g., a challenge to the selection of a response action; a claim
for reimbursement under CERCLA section 106), OSCs must observe, document, and
preserve critical facts about the response and its costs. Cost documentation refers to the
specific set of procedures that OSCs use to maintain a record of all on-site activities and
associated costs [5]. The documentation process must ensure that physical evidence essential
for litigation is collected and preserved in a manner that will withstand judicial scrutiny, and
that the government has maintained sufficient evidence of total costs and substantiation of
the need to incur those costs.
The essential elements of a cost recovery action and the nature of the evidence required to
sustain cost recovery are:
• Evidence of a release or threatened release of a hazardous substance
• Evidence of the liability of the defendant(s) for the hazardous substance
release or threatened release under section 107(a) of CERCLA
• Substantiation that response actions for which CERCLA funds were
expended were not inconsistent with the NCP
• Proof of incurred costs and their payment
• Substantiation of the completion date of the removal action to demonstrate
that the statute of limitations was not exceeded (see p. 27).
Cost documentation should, therefore, be an ongoing activity throughout the removal process
to facilitate issuance of demand letters, timely referrals to the Department of Justice (DOT),
and reimbursement to the Fund. All AOCs should include a provision requiring reimburse-
ment of oversight costs and past costs. OSCs or Regional enforcement staff should also
demand oversight costs in UAOs prior to filing for cost recovery.
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ENFORCEMENT PROCEDURES
The method of cost documentation should be consistent from day to day at a specific
response action. The documentation method an OSC selects should ensure thorough
recordkeeping of the following seven categories of information:
• Chronology of events and decisions
• Site conditions
• Movement of personnel and equipment (e.g., site entry and exit)
• Contractor planned and authorized work compared to actual
accomplishments
• Contractor costs (e.g., commercial cleanup contracts)
• Oversight costs
• Other costs (e.g., National Contract Laboratory Program services, TAT,
Environmental Response Team, Regional laboratory services, Interagency
Agreements, direct Headquarters and Regional intramural obligations5/ site
access/acquisition) [18].
The specific cost items to be documented vary depending upon the purpose of the documen-
tation. Tracking response costs against the project ceiling and $2 million statutory limit
(without an exemption); for example, does not include costs associated with CERCLA
section 104(b) investigations, which are tracked in order to support cost recovery actions.
Public Participation
EPA's public participation activities in the Superfund program, as a whole, consist of all those
public outreach activities conducted throughout the planning and implementation of Superfund
responses. Sections 300.415 and 300.820 of the NCP specify two forms of public
participation for all removal actions:
• Community relations activities - designed to integrate the specific informa-
tion needs of the community into the design of the communications approach
or community relations plan for the site [14].
The term intramural obligations refers to CERCLA funds expended for costs internal to EPA, including direct
costs such as salaries, travel and per diem of on-site EPA personnel, supplies, direct equipment rental, and
maintenance, and indirect costs, including EPA Headquarters and Regional administrative and management
costs.
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ENFORCEMENT PROCEDURES
• Administrative record activities - designed to serve as the basis for the
response selection and as a vehicle for public participation in the selection of
a response action [10].
The application of these requirements is site-specific, and they have been designed to ensure
an appropriate level of public involvement without causing unnecessary delay. For instance,
the timing and type of community relations activities required for a removal action depend
on the duration of on-site activity, while the timing of administrative record requirements is,
in part, based on the length of the planning period available prior to the initiation of on-site
activities.
EPA is the lead agency for developing and implementing public participation activities at
enforcement-lead sites. As the Agency's lead technical representative and director of public
participation activities at a site, the OSC is responsible for conducting or delegating
responsibility for these activities. APRPmay assist in the implementation of these activities,
with EPA oversight, at the discretion of the Regional office. While the public participation
activities required for an enforcement-lead response do not differ from the activities required
for a Fund-lead response, the nature of an enforcement-lead response necessitates a sensitive
approach in communicating information to the public. In general, OSCs should coordinate
closely with ORC and other public participation staff when PRPs are active in the planning
and design of the removal action.
Negotiations
Negotiations between EPA and PRPs are generally conducted in confidential sessions [12].
Planning and communication efforts must be sensitive to the potential release of
information that may be detrimental to the settlement and/or litigation process. The OSC is
responsible for approving the release of any information regarding the negotiations to the site
community. The OSC should work with the Community Relations Coordinator to identify
what precautions should be taken while conducting community relations at the site, such as
restricting discussions with the press or public regarding pending litigation. If the site has
been referred to DOJ, is in litigation, or is the subject of negotiations, the OSC should obtain
ORC approval to release information about the status of litigation to the public.
Following the conclusion of negotiations, information concerning the requirements of the
AOC or UAO should be made available to the community in the administrative record.
Community relations staff should discuss the terms of the AOC and UAO with, and describe
the removal action to, citizens, local officials, and the media. If the PRP subsequently fails
to respond appropriately to an administrative order, any public statements or information
releases regarding the status of the actions at the site or prospective EPA actions must be
cleared by the OSC (and ORC if enforcement or cost recovery litigation is considered
possible).
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ENFORCEMENT PROCEDURES
Community Relations Implementation
As part of preparing for community interviews to develop the community relations plan
(CRP)6, community relations staff should discuss the site with other Regional staff in order
to identify what special precautions, if any, should be taken in the course of conducting the
interviews [14]. The interviews should not be considered part of the PRP investigation for
the site; if such information is volunteered, the information should be relayed to enforcement
staff for additional follow up. To incorporate the full range of views, lead agency staff may
consider interviewing PRPs in the community. The OSC, in conjunction with enforcement
personnel and the Community Relations Coordinator, decides which community members
will be interviewed.
The CRP should incorporate input from all Agency personnel directly affected by the
schedule and conduct of activities presented in the document. In an enforcement-lead action
where the PRP shows sufficient interest, commitment, and capability to warrant some level
of participation in implementing the CRP, the EPA and PRProles should be explicitly defined
in the CRP. If the PRP is involved in the conduct of community relations activities, the OSC
should let the community know the level of participation and responsibilities to be assumed
by the PRP under the direction of the OSC. The following activities are necessary
to finalize the CRP when PRPs are involved in community relations implementation:
• The ORC and PRP attorneys must review the accuracy of any legal informa-
tion contained in the CRP
• The OS C must make a copy of the final CRP available to all interested parties,
including the attorney for the PRP
• The OSC must apprise other response personnel of any situations or enforce-
ment activities that may affect the implementation of the CRP.
Administrative Record Activities
Publicly available documents concerning response selection must be made available to all
interested parties at the same time [14].
The text of all comments, criticisms, and new information submitted by the public, including
PRPs, during the public comment period must be included in the administrative record [10].
After the close of the public comment period, EPA must develop a written response to
significant comments that reflects the Agency's consideration of these comments for inclu-
sion in the record file.
A formal CRP is required for removal actions where on-site action is expected to extend beyond 120 days from
the initiation of on-site removal activity.
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COST RECOVERY
CERCLA contains a strict liability scheme. Further, Federal courts have found PRPs to be jointly
and severally liable when the harm is not divisible. CERCLA also authorizes EPA to seek
reimbursement from PRPs for all costs incurred by the Agency, not inconsistent with the NCP,
for response actions taken pursuant to CERCLA [6,8]. If the site involved a Fund-financed removal
action, then the PRPs are liable for all the response costs not inconsistent with the NCP. Prior to
referral of a cost recovery case to DOJ, OSCs help to document costs and draft demand letters to be
sent to PRPs. They may also be involved in negotiating with PRPs and compiling referral packages.
Exhibit 6 illustrates the cost recovery process.
As response activities are documented by the OSC, a demand for payment of all past response costs
is sent to the PRPs [1]. Demand letters are issued in all cases to the extent appropriate and
practicable where costs have been incurred under CERCLA and PRPs have been identified,
regardless of whether or not a decision has been made to pursue cost recovery. The written demand
letter triggers the accrual of pre-judgement interest on response costs sought, and is a prerequisite
for enforcement [16,17]. OSCs should consider issuing demand letters accompanied by CERCLA
section 104(e) information requests to gather additional evidence and identify additional PRPs for
cost recovery purposes.
EXHIBIT 6. COST RECOVERY PROCESS
ORCand
Enforcement Program
Staff determine
whether to pursue
cost recovery
Complete
Removal
Action
Issue Demand
Letters and
Information Requests
Complete
Action
Memo
Undertake
Removal
Action
Cost Recovery
Close-out
Memorandum
Reach Settlement or
Pursue Cost Recovery
Finalize Cost
Documentation
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COST RECOVERY
Following the issuance of demand letters, ORC gives the PRPs a period of time in which to initiate
negotiations concerning the Agency's claim. OSCs may be involved in PRP settlement negotiations.
If the PRPs do not settle, enforcement program staff and ORC decide whether or not to pursue cost
recovery. The statute of limitations for cost recovery is three years from the completion7 of the
removal action, unless a "consistency" exemption to the statutory limits under CERCLA section
104(c)(l)(C)has been approved (in these circumstances, the statute of limitations is six years
from the date of the exemption) [3]8. A decision not to pursue cost recovery must be documented
in a Removal Action Cost Recovery Close-out Memorandum prepared by Removal program
personnel in consultation with ORC (see p. 21)[7]. For those removal actions selected for referral
to DOJ, OSCs may be involved in developing the referral package. All removal actions involving
PRPs that may be liable for removal costs and where total response costs that exceed $200,000
should be referred to DOJ no later than 12 months after the completion of the removal action.
The completion of the removal action generally is defined as the day the scope of work identified in
the original or modified Action Memo is completed [3]. The Final Pollution Report submitted by the
OSC normally contains this information.
If remedial action is initiated within three years after the completion of the removal action, the reme-
dial action statute of limitations applies, section 113(g)(2)(B).
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APPENDIX A. REFERENCES9
Guidance
[1] "Draft Guidance on Use and Issuance of Written Demand for Recovery of Costs
Under CERCLA"10
[2] "Function and General Operating Procedures for the Criminal Enforcement Program,"
Memorandum from Courtney M. Price (January 7,1985)
[3] "Removal Completions and Statute of Limitations," Memorandum from Timothy Fields, Jr.
and Lloyd Guerci to Addressees (August 1,1989)11
[4] OSWER Dir. 9360.2-01, "Model Program for Removal Site File Management" (July 1988)
[5] OSWER Dir. 9832.0-1A, "Procedures for Documenting Costs for CERCLA Section 107
Actions" (January 30,1985)
[6] OSWER Dir. 9832.1, "Cost Recovery Actions under the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980" (August 26,1983)
[7] OSWER Dir. 9832.11, "Guidance on Documenting Decisions Not to Take Cost Recovery
Actions" (June 7,1988)
[8] OSWER Dir. 9832.13, "Superfund Cost Recovery Strategy" (July 29,1988)
[9] OSWER Dir. 9833.1, "Issuance of Administrative Orders for Immediate Removal Actions,"
Memorandum from Lee Thomas to Addressees (February 21,1984)
[ 10] OSWER Dir. 9833.3A-1, "Final Guidance on Administrative Records for the Selection of
CERCLA Response Actions" (December 3, 1990)
[11] OSWER Dir. 9834.4A, "Guidance on Use and Enforcement of CERCLA Information Re-
quests and Administrative Subpoenas" (August 25,1988)
[12] OSWER Dir. 9834.10, "Interim Guidance on Notice Letters, Negotiations, and Information
Exchange" (October 19,1987)
9 Bracketed numbers appear throughout the text and correspond to the references listed in this appendix.
These references may be consulted for additional information on enforcement topics.
10 Draft document.
11 Draft document.
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[13] OSWER Dir. 9834.10-lb, Appendix C, "Model Notice Letters" (February 7,1989)
[14] OSWER Dir. 9836.0-1 A, "Community Relations During Enforcement Activities and Devel-
opment of the Administrative Record" (November 3,1988)
[15] "Use and Issuance of Administrative Orders under Section 106(a) of CERCLA," Memoran-
dum from Lee Thomas and Courtney Price to Addressees (September 8,1983)
Manuals
[16] OSWER Dir. 9837.2A, Enforcement Project Management Handbook (January 1991)
[17] OSWER Dir. 9834.3-1A, PRP Search Manual (August 27,1987)
[18] OSWER Dir. 9360.0-02B, Removal Cost Management Manual (April 1988)
Statutes and Regulations
The Comprehensive Environmental Response, Compensation, andLiability Act of 1980, as amended,
42 U.S.C. sections 9601-9675
The National Oil and Hazardous Substances Pollution Contingency Plan, 40 CFR Part 300
(March 8,1990)
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APPENDIX B. KEY WORDS INDEX
Action Memo 3,20,21,22
Action Memo/Enforcement 16,20,22
Administrative Orders
Administrative Order on Consent 2,4,12,16,17,18
Unilateral Administrative Order 2,4,12,17,18
Administrative record 3,12,19,20,21,26
Administrative Record Coordinator 9,10,11
Community Relations
Community Relations Plan 8,9,24,26
Community Relations Coordinator •. 9,25,26
Contract Resources
TAT 10
TES 10
ARCS 10
Cost Recovery
Close-out Memo 21,22,27,28
Procedures 3,12,27,28
Criminal investigations 10
Demand letters 23,27,28
Department of Justice 23,25, 27,28
Enforcement-Lead Removal Actions 18
Information requests (CERCLA section 104(e)) 13,14,16,27
Liability , , « 4,15,23,27
National Enforcement Investigations Center 10,12,14
Negotiations 12,16,17,25,28
Notice Letters 15,16,17,21
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Notification 12,15,16
Office of Regional Counsel 2, 8,9,11,28
On-Scene Coordinator 7,8
PRP
Definition of 1
Notification 11
Searches 9,11,12,13,14
Public participation 8,9,19,24,25
Regional technical enforcement staff 8,9
Removal Actions
Emergency 1,13,14,15
Non-time-critical 2,13,14,16
Time-critical 2,13,14,16
Settlement 12,16,28
Site File 18,19,21
State notification 16
* U.S. G.P.O.:1992-311-893:60318
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